Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| NEKTAR THERAPEUTICSNKTR · Entity 4364 | SVP & Chief Scientific Officer | September 05, 2019 | September 09, 2019 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
NEKTAR THERAPEUTICS
Report date September 05, 2019 · Filed September 09, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 107,668 |
Reported balance
After 2019-09-05 transaction · row 1
1 source rowRow 1 · 2019-09-05 · Purchase · Acquired 15,000 · Balance 107,668 F1: This transaction was executed in multiple trades at prices ranging from $17.18 to $17.30. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and the prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer. |
Filing footnotes · ownership attribution and instrument terms
F1: This transaction was executed in multiple trades at prices ranging from $17.18 to $17.30. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and the prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer.
Past disclosures · reporting ended (2)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Dicerna Pharmaceuticals Inc
Report date December 28, 2021 · Filed December 29, 2021
Section 16 reporting ended · disclosed 2021-12-29. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2021-12-28 transaction · row 1
1 source rowRow 1 · 2021-12-28 · Other · Disposed 3,333 · Balance 0 F1: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of November 17, 2021, by and among the Issuer, Novo Nordisk A/S, a Danish aktieselskab ("Novo"), and NNUS New Research, Inc., a Delaware corporation and a wholly owned indirect subsidiary of Novo ("Purchaser"), to which Purchaser completed a tender offer for shares of common stock of Issuer, $0.0001 par value per share (each, a "Share") and thereafter merged with and into the Issuer (the "Merger") effective as of December 28, 2021 (the "Effective Time"). At the Effective Time, each issued and outstanding Share was converted into the right to receive $38.25 per Share, in cash, without interest (the "Offer Price") and subject to any withholding of taxes, upon the terms and subject to the conditions of the Merger Agreement. From and after the Effective Time, all Shares were no longer outstanding and were automatically cancelled. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2021-12-28 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2021-12-28 · Disposition to issuer · Disposed 3,333 · Balance 0 F2: Each restricted stock unit ("RSU") represents the contingent right to receive one Share. F3: At the Effective Time, each Issuer RSU that was then outstanding was cancelled and converted into the right to receive a cash payment equal to (A) the Offer Price multiplied by (B) the total number of Shares subject to such Issuer RSU immediately prior to the Effective Time (without regard to vesting). |
| Director Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $15.61 | Direct | 0 |
Reported balance
After 2021-12-28 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2021-12-28 · Disposition to issuer · Disposed 25,000 · Balance 0 F4: Pursuant to the terms of the Merger Agreement, at the Effective Time, each option to purchase Shares granted under an Issuer equity plan (each, an "Issuer Stock Option") that was outstanding and unexercised was cancelled and converted into the right to receive a cash payment equal to (A) the excess, if any, of (x) the Offer Price over (y) the exercise price payable per Share with respect to such Issuer Stock Option, multiplied by (B) the total number of Shares subject to such Issuer Stock Option immediately prior to the Effective Time (without regard to vesting). |
| Director Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $21.61 | Direct | 0 |
Reported balance
After 2021-12-28 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2021-12-28 · Disposition to issuer · Disposed 15,000 · Balance 0 F4: Pursuant to the terms of the Merger Agreement, at the Effective Time, each option to purchase Shares granted under an Issuer equity plan (each, an "Issuer Stock Option") that was outstanding and unexercised was cancelled and converted into the right to receive a cash payment equal to (A) the excess, if any, of (x) the Offer Price over (y) the exercise price payable per Share with respect to such Issuer Stock Option, multiplied by (B) the total number of Shares subject to such Issuer Stock Option immediately prior to the Effective Time (without regard to vesting). |
| Director Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $30.47 | Direct | 0 |
Reported balance
After 2021-12-28 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2021-12-28 · Disposition to issuer · Disposed 15,000 · Balance 0 F4: Pursuant to the terms of the Merger Agreement, at the Effective Time, each option to purchase Shares granted under an Issuer equity plan (each, an "Issuer Stock Option") that was outstanding and unexercised was cancelled and converted into the right to receive a cash payment equal to (A) the excess, if any, of (x) the Offer Price over (y) the exercise price payable per Share with respect to such Issuer Stock Option, multiplied by (B) the total number of Shares subject to such Issuer Stock Option immediately prior to the Effective Time (without regard to vesting). |
Filing footnotes · ownership attribution and instrument terms
F1: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of November 17, 2021, by and among the Issuer, Novo Nordisk A/S, a Danish aktieselskab ("Novo"), and NNUS New Research, Inc., a Delaware corporation and a wholly owned indirect subsidiary of Novo ("Purchaser"), to which Purchaser completed a tender offer for shares of common stock of Issuer, $0.0001 par value per share (each, a "Share") and thereafter merged with and into the Issuer (the "Merger") effective as of December 28, 2021 (the "Effective Time"). At the Effective Time, each issued and outstanding Share was converted into the right to receive $38.25 per Share, in cash, without interest (the "Offer Price") and subject to any withholding of taxes, upon the terms and subject to the conditions of the Merger Agreement. From and after the Effective Time, all Shares were no longer outstanding and were automatically cancelled.
F2: Each restricted stock unit ("RSU") represents the contingent right to receive one Share.
F3: At the Effective Time, each Issuer RSU that was then outstanding was cancelled and converted into the right to receive a cash payment equal to (A) the Offer Price multiplied by (B) the total number of Shares subject to such Issuer RSU immediately prior to the Effective Time (without regard to vesting).
F4: Pursuant to the terms of the Merger Agreement, at the Effective Time, each option to purchase Shares granted under an Issuer equity plan (each, an "Issuer Stock Option") that was outstanding and unexercised was cancelled and converted into the right to receive a cash payment equal to (A) the excess, if any, of (x) the Offer Price over (y) the exercise price payable per Share with respect to such Issuer Stock Option, multiplied by (B) the total number of Shares subject to such Issuer Stock Option immediately prior to the Effective Time (without regard to vesting).
Forte Biosciences, Inc.
Report date August 27, 2026 · Filed August 27, 2026
Section 16 reporting ended · disclosed 2026-08-27. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $29.50 · Expires 2032-05-12 | Direct | 0 |
Reported balance
After 2026-08-27 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-08-27 · Disposition to issuer · Disposed 2,000 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger, dated July 26, 2026 (the "Merger Agreement"), by and among Forte Biosciences, Inc. ("Company"), argenx BV ("Parent"), and Avena Merger Sub Inc., a wholly owned subsidiary of Parent ("Purchaser"), each unexercised and outstanding option to purchase shares of Common Stock (a "Company Option"), whether or not vested, and which had a per share exercise price that was less than $77.00 per share ("Merger Consideration"), was canceled and converted into the right of the holder to receive (i) (subject to any applicable withholding taxes) a lump-sum cash payment equal to (x) the excess (if any) of (a) the Merger Consideration over (b) the per share exercise price subject to such Company Option, multiplied by (y) the total number of shares subject to such Company Option immediately prior to Purchaser merging with and into Company (the "Merger"), with Company surviving the Merger as a wholly owned subsidiary of Parent. F2: At the effective time of the Merger, each Company Option that is then outstanding and unexercised, whether or not vested and which has a per share exercise price that is equal to or greater than the Merger Consideration, shall be cancelled with no consideration payable therefor. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $31.75 · Expires 2032-06-01 | Direct | 0 |
Reported balance
After 2026-08-27 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2026-08-27 · Disposition to issuer · Disposed 1,000 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger, dated July 26, 2026 (the "Merger Agreement"), by and among Forte Biosciences, Inc. ("Company"), argenx BV ("Parent"), and Avena Merger Sub Inc., a wholly owned subsidiary of Parent ("Purchaser"), each unexercised and outstanding option to purchase shares of Common Stock (a "Company Option"), whether or not vested, and which had a per share exercise price that was less than $77.00 per share ("Merger Consideration"), was canceled and converted into the right of the holder to receive (i) (subject to any applicable withholding taxes) a lump-sum cash payment equal to (x) the excess (if any) of (a) the Merger Consideration over (b) the per share exercise price subject to such Company Option, multiplied by (y) the total number of shares subject to such Company Option immediately prior to Purchaser merging with and into Company (the "Merger"), with Company surviving the Merger as a wholly owned subsidiary of Parent. F2: At the effective time of the Merger, each Company Option that is then outstanding and unexercised, whether or not vested and which has a per share exercise price that is equal to or greater than the Merger Consideration, shall be cancelled with no consideration payable therefor. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $20.00 · Expires 2033-09-19 | Direct | 0 |
Reported balance
After 2026-08-27 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2026-08-27 · Disposition to issuer · Disposed 1,000 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger, dated July 26, 2026 (the "Merger Agreement"), by and among Forte Biosciences, Inc. ("Company"), argenx BV ("Parent"), and Avena Merger Sub Inc., a wholly owned subsidiary of Parent ("Purchaser"), each unexercised and outstanding option to purchase shares of Common Stock (a "Company Option"), whether or not vested, and which had a per share exercise price that was less than $77.00 per share ("Merger Consideration"), was canceled and converted into the right of the holder to receive (i) (subject to any applicable withholding taxes) a lump-sum cash payment equal to (x) the excess (if any) of (a) the Merger Consideration over (b) the per share exercise price subject to such Company Option, multiplied by (y) the total number of shares subject to such Company Option immediately prior to Purchaser merging with and into Company (the "Merger"), with Company surviving the Merger as a wholly owned subsidiary of Parent. F2: At the effective time of the Merger, each Company Option that is then outstanding and unexercised, whether or not vested and which has a per share exercise price that is equal to or greater than the Merger Consideration, shall be cancelled with no consideration payable therefor. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $8.60 · Expires 2034-08-20 | Direct | 0 |
Reported balance
After 2026-08-27 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2026-08-27 · Disposition to issuer · Disposed 2,000 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger, dated July 26, 2026 (the "Merger Agreement"), by and among Forte Biosciences, Inc. ("Company"), argenx BV ("Parent"), and Avena Merger Sub Inc., a wholly owned subsidiary of Parent ("Purchaser"), each unexercised and outstanding option to purchase shares of Common Stock (a "Company Option"), whether or not vested, and which had a per share exercise price that was less than $77.00 per share ("Merger Consideration"), was canceled and converted into the right of the holder to receive (i) (subject to any applicable withholding taxes) a lump-sum cash payment equal to (x) the excess (if any) of (a) the Merger Consideration over (b) the per share exercise price subject to such Company Option, multiplied by (y) the total number of shares subject to such Company Option immediately prior to Purchaser merging with and into Company (the "Merger"), with Company surviving the Merger as a wholly owned subsidiary of Parent. F2: At the effective time of the Merger, each Company Option that is then outstanding and unexercised, whether or not vested and which has a per share exercise price that is equal to or greater than the Merger Consideration, shall be cancelled with no consideration payable therefor. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $7.54 · Expires 2035-03-20 | Direct | 0 |
Reported balance
After 2026-08-27 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2026-08-27 · Disposition to issuer · Disposed 31,000 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger, dated July 26, 2026 (the "Merger Agreement"), by and among Forte Biosciences, Inc. ("Company"), argenx BV ("Parent"), and Avena Merger Sub Inc., a wholly owned subsidiary of Parent ("Purchaser"), each unexercised and outstanding option to purchase shares of Common Stock (a "Company Option"), whether or not vested, and which had a per share exercise price that was less than $77.00 per share ("Merger Consideration"), was canceled and converted into the right of the holder to receive (i) (subject to any applicable withholding taxes) a lump-sum cash payment equal to (x) the excess (if any) of (a) the Merger Consideration over (b) the per share exercise price subject to such Company Option, multiplied by (y) the total number of shares subject to such Company Option immediately prior to Purchaser merging with and into Company (the "Merger"), with Company surviving the Merger as a wholly owned subsidiary of Parent. F2: At the effective time of the Merger, each Company Option that is then outstanding and unexercised, whether or not vested and which has a per share exercise price that is equal to or greater than the Merger Consideration, shall be cancelled with no consideration payable therefor. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2026-08-27 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2026-08-27 · Disposition to issuer · Disposed 18,353 · Balance 0 F3: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Forte Biosciences, Inc. (the "Issuer") Common Stock. F4: Pursuant to the Merger Agreement, each outstanding restricted stock unit (a "Company RSU"), whether or not vested, was canceled and converted into the right of the holder to receive (i) (subject to any applicable withholding taxes) a lump-sum cash payment equal to (x) the Merger Consideration, multiplied by (y) the total number of shares subject to such Company RSU immediately prior to the effective time of the Merger. |
Filing footnotes · ownership attribution and instrument terms
F1: Pursuant to the Agreement and Plan of Merger, dated July 26, 2026 (the "Merger Agreement"), by and among Forte Biosciences, Inc. ("Company"), argenx BV ("Parent"), and Avena Merger Sub Inc., a wholly owned subsidiary of Parent ("Purchaser"), each unexercised and outstanding option to purchase shares of Common Stock (a "Company Option"), whether or not vested, and which had a per share exercise price that was less than $77.00 per share ("Merger Consideration"), was canceled and converted into the right of the holder to receive (i) (subject to any applicable withholding taxes) a lump-sum cash payment equal to (x) the excess (if any) of (a) the Merger Consideration over (b) the per share exercise price subject to such Company Option, multiplied by (y) the total number of shares subject to such Company Option immediately prior to Purchaser merging with and into Company (the "Merger"), with Company surviving the Merger as a wholly owned subsidiary of Parent.
F2: At the effective time of the Merger, each Company Option that is then outstanding and unexercised, whether or not vested and which has a per share exercise price that is equal to or greater than the Merger Consideration, shall be cancelled with no consideration payable therefor.
F3: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Forte Biosciences, Inc. (the "Issuer") Common Stock.
F4: Pursuant to the Merger Agreement, each outstanding restricted stock unit (a "Company RSU"), whether or not vested, was canceled and converted into the right of the holder to receive (i) (subject to any applicable withholding taxes) a lump-sum cash payment equal to (x) the Merger Consideration, multiplied by (y) the total number of shares subject to such Company RSU immediately prior to the effective time of the Merger.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| August 27, 2026 Filed Aug 27, 2026 20:30 UTC | Forte Biosciences, Inc. FBRX · Entity 9529 | Disposition to issuerRestricted Stock Units · Derivative | 18,353 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001480111-26-000003 · form4-08272026_080805.xml · derivative · entry 6 Doberstein Stephen K · CIK 0001480111 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 18,353 shares Expires not disclosed F3 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Forte Biosciences, Inc. (the "Issuer") Common Stock. F4 · price: Pursuant to the Merger Agreement, each outstanding restricted stock unit (a "Company RSU"), whether or not vested, was canceled and converted into the right of the holder to receive (i) (subject to any applicable withholding taxes) a lump-sum cash payment equal to (x) the Merger Consideration, multiplied by (y) the total number of shares subject to such Company RSU immediately prior to the effective time of the Merger. F4 · derivative.exercise_date: Pursuant to the Merger Agreement, each outstanding restricted stock unit (a "Company RSU"), whether or not vested, was canceled and converted into the right of the holder to receive (i) (subject to any applicable withholding taxes) a lump-sum cash payment equal to (x) the Merger Consideration, multiplied by (y) the total number of shares subject to such Company RSU immediately prior to the effective time of the Merger. F4 · derivative.expiration_date: Pursuant to the Merger Agreement, each outstanding restricted stock unit (a "Company RSU"), whether or not vested, was canceled and converted into the right of the holder to receive (i) (subject to any applicable withholding taxes) a lump-sum cash payment equal to (x) the Merger Consideration, multiplied by (y) the total number of shares subject to such Company RSU immediately prior to the effective time of the Merger. Read SEC document |
| August 27, 2026 Filed Aug 27, 2026 20:30 UTC | Forte Biosciences, Inc. FBRX · Entity 9529 | Disposition to issuerStock Option (right to buy) · Derivative | 31,000 | Not disclosed Strike: $7.54 | Not disclosed |
DisclosureSEC source: 0001480111-26-000003 · form4-08272026_080805.xml · derivative · entry 5 Doberstein Stephen K · CIK 0001480111 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 31,000 shares Expires 2035-03-20 F1 · price: Pursuant to the Agreement and Plan of Merger, dated July 26, 2026 (the "Merger Agreement"), by and among Forte Biosciences, Inc. ("Company"), argenx BV ("Parent"), and Avena Merger Sub Inc., a wholly owned subsidiary of Parent ("Purchaser"), each unexercised and outstanding option to purchase shares of Common Stock (a "Company Option"), whether or not vested, and which had a per share exercise price that was less than $77.00 per share ("Merger Consideration"), was canceled and converted into the right of the holder to receive (i) (subject to any applicable withholding taxes) a lump-sum cash payment equal to (x) the excess (if any) of (a) the Merger Consideration over (b) the per share exercise price subject to such Company Option, multiplied by (y) the total number of shares subject to such Company Option immediately prior to Purchaser merging with and into Company (the "Merger"), with Company surviving the Merger as a wholly owned subsidiary of Parent. F2 · price: At the effective time of the Merger, each Company Option that is then outstanding and unexercised, whether or not vested and which has a per share exercise price that is equal to or greater than the Merger Consideration, shall be cancelled with no consideration payable therefor. F1 · derivative.exercise_date: Pursuant to the Agreement and Plan of Merger, dated July 26, 2026 (the "Merger Agreement"), by and among Forte Biosciences, Inc. ("Company"), argenx BV ("Parent"), and Avena Merger Sub Inc., a wholly owned subsidiary of Parent ("Purchaser"), each unexercised and outstanding option to purchase shares of Common Stock (a "Company Option"), whether or not vested, and which had a per share exercise price that was less than $77.00 per share ("Merger Consideration"), was canceled and converted into the right of the holder to receive (i) (subject to any applicable withholding taxes) a lump-sum cash payment equal to (x) the excess (if any) of (a) the Merger Consideration over (b) the per share exercise price subject to such Company Option, multiplied by (y) the total number of shares subject to such Company Option immediately prior to Purchaser merging with and into Company (the "Merger"), with Company surviving the Merger as a wholly owned subsidiary of Parent. F2 · derivative.exercise_date: At the effective time of the Merger, each Company Option that is then outstanding and unexercised, whether or not vested and which has a per share exercise price that is equal to or greater than the Merger Consideration, shall be cancelled with no consideration payable therefor. Read SEC document |
| August 27, 2026 Filed Aug 27, 2026 20:30 UTC | Forte Biosciences, Inc. FBRX · Entity 9529 | Disposition to issuerStock Option (right to buy) · Derivative | 2,000 | Not disclosed Strike: $8.60 | Not disclosed |
DisclosureSEC source: 0001480111-26-000003 · form4-08272026_080805.xml · derivative · entry 4 Doberstein Stephen K · CIK 0001480111 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,000 shares Expires 2034-08-20 F1 · price: Pursuant to the Agreement and Plan of Merger, dated July 26, 2026 (the "Merger Agreement"), by and among Forte Biosciences, Inc. ("Company"), argenx BV ("Parent"), and Avena Merger Sub Inc., a wholly owned subsidiary of Parent ("Purchaser"), each unexercised and outstanding option to purchase shares of Common Stock (a "Company Option"), whether or not vested, and which had a per share exercise price that was less than $77.00 per share ("Merger Consideration"), was canceled and converted into the right of the holder to receive (i) (subject to any applicable withholding taxes) a lump-sum cash payment equal to (x) the excess (if any) of (a) the Merger Consideration over (b) the per share exercise price subject to such Company Option, multiplied by (y) the total number of shares subject to such Company Option immediately prior to Purchaser merging with and into Company (the "Merger"), with Company surviving the Merger as a wholly owned subsidiary of Parent. F2 · price: At the effective time of the Merger, each Company Option that is then outstanding and unexercised, whether or not vested and which has a per share exercise price that is equal to or greater than the Merger Consideration, shall be cancelled with no consideration payable therefor. Read SEC document |
| August 27, 2026 Filed Aug 27, 2026 20:30 UTC | Forte Biosciences, Inc. FBRX · Entity 9529 | Disposition to issuerStock Option (right to buy) · Derivative | 1,000 | Not disclosed Strike: $20.00 | Not disclosed |
DisclosureSEC source: 0001480111-26-000003 · form4-08272026_080805.xml · derivative · entry 3 Doberstein Stephen K · CIK 0001480111 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,000 shares Expires 2033-09-19 F1 · price: Pursuant to the Agreement and Plan of Merger, dated July 26, 2026 (the "Merger Agreement"), by and among Forte Biosciences, Inc. ("Company"), argenx BV ("Parent"), and Avena Merger Sub Inc., a wholly owned subsidiary of Parent ("Purchaser"), each unexercised and outstanding option to purchase shares of Common Stock (a "Company Option"), whether or not vested, and which had a per share exercise price that was less than $77.00 per share ("Merger Consideration"), was canceled and converted into the right of the holder to receive (i) (subject to any applicable withholding taxes) a lump-sum cash payment equal to (x) the excess (if any) of (a) the Merger Consideration over (b) the per share exercise price subject to such Company Option, multiplied by (y) the total number of shares subject to such Company Option immediately prior to Purchaser merging with and into Company (the "Merger"), with Company surviving the Merger as a wholly owned subsidiary of Parent. F2 · price: At the effective time of the Merger, each Company Option that is then outstanding and unexercised, whether or not vested and which has a per share exercise price that is equal to or greater than the Merger Consideration, shall be cancelled with no consideration payable therefor. Read SEC document |
| August 27, 2026 Filed Aug 27, 2026 20:30 UTC | Forte Biosciences, Inc. FBRX · Entity 9529 | Disposition to issuerStock Option (right to buy) · Derivative | 1,000 | Not disclosed Strike: $31.75 | Not disclosed |
DisclosureSEC source: 0001480111-26-000003 · form4-08272026_080805.xml · derivative · entry 2 Doberstein Stephen K · CIK 0001480111 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,000 shares Expires 2032-06-01 F1 · price: Pursuant to the Agreement and Plan of Merger, dated July 26, 2026 (the "Merger Agreement"), by and among Forte Biosciences, Inc. ("Company"), argenx BV ("Parent"), and Avena Merger Sub Inc., a wholly owned subsidiary of Parent ("Purchaser"), each unexercised and outstanding option to purchase shares of Common Stock (a "Company Option"), whether or not vested, and which had a per share exercise price that was less than $77.00 per share ("Merger Consideration"), was canceled and converted into the right of the holder to receive (i) (subject to any applicable withholding taxes) a lump-sum cash payment equal to (x) the excess (if any) of (a) the Merger Consideration over (b) the per share exercise price subject to such Company Option, multiplied by (y) the total number of shares subject to such Company Option immediately prior to Purchaser merging with and into Company (the "Merger"), with Company surviving the Merger as a wholly owned subsidiary of Parent. F2 · price: At the effective time of the Merger, each Company Option that is then outstanding and unexercised, whether or not vested and which has a per share exercise price that is equal to or greater than the Merger Consideration, shall be cancelled with no consideration payable therefor. Read SEC document |
| August 27, 2026 Filed Aug 27, 2026 20:30 UTC | Forte Biosciences, Inc. FBRX · Entity 9529 | Disposition to issuerStock Option (right to buy) · Derivative | 2,000 | Not disclosed Strike: $29.50 | Not disclosed |
DisclosureSEC source: 0001480111-26-000003 · form4-08272026_080805.xml · derivative · entry 1 Doberstein Stephen K · CIK 0001480111 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,000 shares Expires 2032-05-12 F1 · price: Pursuant to the Agreement and Plan of Merger, dated July 26, 2026 (the "Merger Agreement"), by and among Forte Biosciences, Inc. ("Company"), argenx BV ("Parent"), and Avena Merger Sub Inc., a wholly owned subsidiary of Parent ("Purchaser"), each unexercised and outstanding option to purchase shares of Common Stock (a "Company Option"), whether or not vested, and which had a per share exercise price that was less than $77.00 per share ("Merger Consideration"), was canceled and converted into the right of the holder to receive (i) (subject to any applicable withholding taxes) a lump-sum cash payment equal to (x) the excess (if any) of (a) the Merger Consideration over (b) the per share exercise price subject to such Company Option, multiplied by (y) the total number of shares subject to such Company Option immediately prior to Purchaser merging with and into Company (the "Merger"), with Company surviving the Merger as a wholly owned subsidiary of Parent. F2 · price: At the effective time of the Merger, each Company Option that is then outstanding and unexercised, whether or not vested and which has a per share exercise price that is equal to or greater than the Merger Consideration, shall be cancelled with no consideration payable therefor. Read SEC document |
| May 29, 2026 Filed Jun 2, 2026 20:40 UTC | Forte Biosciences, Inc. FBRX · Entity 9529 | GrantRestricted Stock Units · Derivative | 18,353 | $0.00 | $0.00 |
DisclosureSEC source: 0001480111-26-000002 · form4-06022026_080622.xml · derivative · entry 1 Doberstein Stephen K · CIK 0001480111 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 18,353 Underlying: Common Stock · 18,353 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Forte Biosciences, Inc. (the "Issuer") Common Stock. F2 · derivative.exercise_date: Subject to the Reporting Person's continuing as a Service Provider (as defined in the 2021 Equity Incentive Plan) through such date, one hundred percent (100%) of the RSUs subject to the award will vest on the date of the first annual meeting of the stockholders that occurs after May 29, 2026. F2 · derivative.expiration_date: Subject to the Reporting Person's continuing as a Service Provider (as defined in the 2021 Equity Incentive Plan) through such date, one hundred percent (100%) of the RSUs subject to the award will vest on the date of the first annual meeting of the stockholders that occurs after May 29, 2026. Read SEC document |
| March 20, 2025 Filed Mar 21, 2025 20:48 UTC | Forte Biosciences, Inc. FBRX · Entity 9529 | GrantStock Option (right to buy) · Derivative | 31,000 | $0.00 Strike: $7.54 | $0.00 |
DisclosureSEC source: 0001415889-25-008782 · form4-03212025_080357.xml · derivative · entry 1 Doberstein Stephen K · CIK 0001480111 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 31,000 Underlying: Common Stock · 31,000 shares Expires 2035-03-20 F1 · derivative.exercise_date: Subject to the Reporting Person continuing to be a Service Provider (as defined in the 2021 Equity Incentive Plan) through each applicable vesting date, the shares subject to the option shall vest in equal monthly installments over a three (3) year period such that the option shall be fully vested on the third (3rd) anniversary of the Date of Grant. "Date of Grant" shall mean March 20, 2025. Read SEC document |
| August 20, 2024 Filed Aug 22, 2024 20:09 UTC | Forte Biosciences, Inc. FBRX · Entity 9529 | GrantStock Option (right to buy) · Derivative | 50,000 | $0.00 Strike: $0.34 | $0.00 |
DisclosureSEC source: 0001415889-24-022002 · form4-08222024_080819.xml · derivative · entry 1 Doberstein Stephen K · CIK 0001480111 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Stock · 50,000 shares Expires 2034-08-20 F1 · derivative.exercise_date: Subject to the Reporting Person continuing to be a Service Provider (as defined in the 2021 Equity Incentive Plan) through each applicable vesting date, the shares subject to the option shall vest in equal monthly installments over the twelve (12) months following the Date of Grant, provided that the shares subject to the option shall be fully vested on the date of the Issuer's next annual stockholder meeting. "Date of Grant" shall mean August 20, 2024. Read SEC document |
| September 19, 2023 Filed Sep 20, 2023 21:48 UTC | Forte Biosciences, Inc. FBRX · Entity 9529 | GrantStock Option (right to buy) · Derivative | 25,000 | $0.00 Strike: $0.80 | $0.00 |
DisclosureSEC source: 0001209191-23-050190 · doc4.xml · derivative · entry 1 Doberstein Stephen K · CIK 0001480111 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 25,000 Underlying: Common Stock · 25,000 shares Expires 2033-09-19 F1 · derivative.exercise_date: Subject to the Reporting Person continuing to be a Service Provider (as defined in the 2021 Equity Incentive Plan) through each applicable vesting date, the shares subject to the option shall vest in equal monthly installments over the twelve (12) months following the Date of Grant, provided that the shares subject to the option shall be fully vested on the date of the Issuer's next annual stockholder meeting. "Date of Grant" shall mean September 19, 2023. Read SEC document |
| June 01, 2022 Filed Jun 2, 2022 21:08 UTC | Forte Biosciences, Inc. FBRX · Entity 9529 | GrantStock Option (right to buy) · Derivative | 25,000 | $0.00 Strike: $1.27 | $0.00 |
DisclosureSEC source: 0001209191-22-033612 · doc4.xml · derivative · entry 1 Doberstein Stephen K · CIK 0001480111 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 Underlying: Common Stock · 25,000 shares Expires 2032-06-01 F1 · derivative.exercise_date: Subject to the Reporting Person continuing to be a Service Provider (as defined in the 2021 Equity Incentive Plan) through each applicable vesting date, the shares subject to the option shall vest in equal monthly installments over the twelve (12) months following the Date of Grant, provided that the shares subject to the option shall be fully vested on the date of the Issuer's next annual stockholder meeting. "Date of Grant" shall mean June 1, 2022. Read SEC document |
| May 12, 2022 Filed May 16, 2022 21:11 UTC | Forte Biosciences, Inc. FBRX · Entity 9529 | GrantStock Option (right to buy) · Derivative | 50,000 | $0.00 Strike: $1.18 | $0.00 |
DisclosureSEC source: 0001209191-22-029225 · doc4.xml · derivative · entry 1 Doberstein Stephen K · CIK 0001480111 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Stock · 50,000 shares Expires 2032-05-12 F1 · derivative.exercise_date: Subject to the Reporting Person continuing to be a Service Provider (as defined in the Issuer's 2021 Equity Incentive Plan) through each applicable vesting date, the shares subject to the option shall vest in equal monthly installments over the thirty six (36) months following the Date of Grant, such that the shares subject to the option shall be fully vested on the third (3rd) anniversary of the Date of Grant. "Date of Grant" shall mean May 12, 2022. Read SEC document |
| December 28, 2021 Filed Dec 29, 2021 21:19 UTC | Dicerna Pharmaceuticals Inc DRNA · Entity 131951 | Disposition to issuerDirector Stock Option (Right to Buy) · Derivative | 15,000 | Not disclosed Strike: $30.47 | Not disclosed |
DisclosureSEC source: 0001399529-21-000197 · wf-form4_164081275082632.xml · derivative · entry 5 Doberstein Stephen K · CIK 0001480111 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 15,000 shares Expires not disclosed F4 · price: Pursuant to the terms of the Merger Agreement, at the Effective Time, each option to purchase Shares granted under an Issuer equity plan (each, an "Issuer Stock Option") that was outstanding and unexercised was cancelled and converted into the right to receive a cash payment equal to (A) the excess, if any, of (x) the Offer Price over (y) the exercise price payable per Share with respect to such Issuer Stock Option, multiplied by (B) the total number of Shares subject to such Issuer Stock Option immediately prior to the Effective Time (without regard to vesting). F4 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, at the Effective Time, each option to purchase Shares granted under an Issuer equity plan (each, an "Issuer Stock Option") that was outstanding and unexercised was cancelled and converted into the right to receive a cash payment equal to (A) the excess, if any, of (x) the Offer Price over (y) the exercise price payable per Share with respect to such Issuer Stock Option, multiplied by (B) the total number of Shares subject to such Issuer Stock Option immediately prior to the Effective Time (without regard to vesting). F4 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement, at the Effective Time, each option to purchase Shares granted under an Issuer equity plan (each, an "Issuer Stock Option") that was outstanding and unexercised was cancelled and converted into the right to receive a cash payment equal to (A) the excess, if any, of (x) the Offer Price over (y) the exercise price payable per Share with respect to such Issuer Stock Option, multiplied by (B) the total number of Shares subject to such Issuer Stock Option immediately prior to the Effective Time (without regard to vesting). Read SEC document |
| December 28, 2021 Filed Dec 29, 2021 21:19 UTC | Dicerna Pharmaceuticals Inc DRNA · Entity 131951 | Disposition to issuerDirector Stock Option (Right to Buy) · Derivative | 15,000 | Not disclosed Strike: $21.61 | Not disclosed |
DisclosureSEC source: 0001399529-21-000197 · wf-form4_164081275082632.xml · derivative · entry 4 Doberstein Stephen K · CIK 0001480111 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 15,000 shares Expires not disclosed F4 · price: Pursuant to the terms of the Merger Agreement, at the Effective Time, each option to purchase Shares granted under an Issuer equity plan (each, an "Issuer Stock Option") that was outstanding and unexercised was cancelled and converted into the right to receive a cash payment equal to (A) the excess, if any, of (x) the Offer Price over (y) the exercise price payable per Share with respect to such Issuer Stock Option, multiplied by (B) the total number of Shares subject to such Issuer Stock Option immediately prior to the Effective Time (without regard to vesting). F4 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, at the Effective Time, each option to purchase Shares granted under an Issuer equity plan (each, an "Issuer Stock Option") that was outstanding and unexercised was cancelled and converted into the right to receive a cash payment equal to (A) the excess, if any, of (x) the Offer Price over (y) the exercise price payable per Share with respect to such Issuer Stock Option, multiplied by (B) the total number of Shares subject to such Issuer Stock Option immediately prior to the Effective Time (without regard to vesting). F4 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement, at the Effective Time, each option to purchase Shares granted under an Issuer equity plan (each, an "Issuer Stock Option") that was outstanding and unexercised was cancelled and converted into the right to receive a cash payment equal to (A) the excess, if any, of (x) the Offer Price over (y) the exercise price payable per Share with respect to such Issuer Stock Option, multiplied by (B) the total number of Shares subject to such Issuer Stock Option immediately prior to the Effective Time (without regard to vesting). Read SEC document |
| December 28, 2021 Filed Dec 29, 2021 21:19 UTC | Dicerna Pharmaceuticals Inc DRNA · Entity 131951 | Disposition to issuerDirector Stock Option (Right to Buy) · Derivative | 25,000 | Not disclosed Strike: $15.61 | Not disclosed |
DisclosureSEC source: 0001399529-21-000197 · wf-form4_164081275082632.xml · derivative · entry 3 Doberstein Stephen K · CIK 0001480111 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 25,000 shares Expires not disclosed F4 · price: Pursuant to the terms of the Merger Agreement, at the Effective Time, each option to purchase Shares granted under an Issuer equity plan (each, an "Issuer Stock Option") that was outstanding and unexercised was cancelled and converted into the right to receive a cash payment equal to (A) the excess, if any, of (x) the Offer Price over (y) the exercise price payable per Share with respect to such Issuer Stock Option, multiplied by (B) the total number of Shares subject to such Issuer Stock Option immediately prior to the Effective Time (without regard to vesting). F4 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, at the Effective Time, each option to purchase Shares granted under an Issuer equity plan (each, an "Issuer Stock Option") that was outstanding and unexercised was cancelled and converted into the right to receive a cash payment equal to (A) the excess, if any, of (x) the Offer Price over (y) the exercise price payable per Share with respect to such Issuer Stock Option, multiplied by (B) the total number of Shares subject to such Issuer Stock Option immediately prior to the Effective Time (without regard to vesting). F4 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement, at the Effective Time, each option to purchase Shares granted under an Issuer equity plan (each, an "Issuer Stock Option") that was outstanding and unexercised was cancelled and converted into the right to receive a cash payment equal to (A) the excess, if any, of (x) the Offer Price over (y) the exercise price payable per Share with respect to such Issuer Stock Option, multiplied by (B) the total number of Shares subject to such Issuer Stock Option immediately prior to the Effective Time (without regard to vesting). Read SEC document |
| December 28, 2021 Filed Dec 29, 2021 21:19 UTC | Dicerna Pharmaceuticals Inc DRNA · Entity 131951 | Disposition to issuerRestricted Stock Units · Derivative | 3,333 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001399529-21-000197 · wf-form4_164081275082632.xml · derivative · entry 2 Doberstein Stephen K · CIK 0001480111 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,333 shares Expires not disclosed F2 · derivative.exercise_price: Each restricted stock unit ("RSU") represents the contingent right to receive one Share. F3 · price: At the Effective Time, each Issuer RSU that was then outstanding was cancelled and converted into the right to receive a cash payment equal to (A) the Offer Price multiplied by (B) the total number of Shares subject to such Issuer RSU immediately prior to the Effective Time (without regard to vesting). F3 · derivative.exercise_date: At the Effective Time, each Issuer RSU that was then outstanding was cancelled and converted into the right to receive a cash payment equal to (A) the Offer Price multiplied by (B) the total number of Shares subject to such Issuer RSU immediately prior to the Effective Time (without regard to vesting). F3 · derivative.expiration_date: At the Effective Time, each Issuer RSU that was then outstanding was cancelled and converted into the right to receive a cash payment equal to (A) the Offer Price multiplied by (B) the total number of Shares subject to such Issuer RSU immediately prior to the Effective Time (without regard to vesting). Read SEC document |
| December 28, 2021 Filed Dec 29, 2021 21:19 UTC | Dicerna Pharmaceuticals Inc DRNA · Entity 131951 | OtherCommon Stock | 3,333 | $38.25 | $127,487.25 |
DisclosureSEC source: 0001399529-21-000197 · wf-form4_164081275082632.xml · nonDerivative · entry 1 Doberstein Stephen K · CIK 0001480111 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · kind: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of November 17, 2021, by and among the Issuer, Novo Nordisk A/S, a Danish aktieselskab ("Novo"), and NNUS New Research, Inc., a Delaware corporation and a wholly owned indirect subsidiary of Novo ("Purchaser"), to which Purchaser completed a tender offer for shares of common stock of Issuer, $0.0001 par value per share (each, a "Share") and thereafter merged with and into the Issuer (the "Merger") effective as of December 28, 2021 (the "Effective Time"). At the Effective Time, each issued and outstanding Share was converted into the right to receive $38.25 per Share, in cash, without interest (the "Offer Price") and subject to any withholding of taxes, upon the terms and subject to the conditions of the Merger Agreement. From and after the Effective Time, all Shares were no longer outstanding and were automatically cancelled. F1 · shares: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of November 17, 2021, by and among the Issuer, Novo Nordisk A/S, a Danish aktieselskab ("Novo"), and NNUS New Research, Inc., a Delaware corporation and a wholly owned indirect subsidiary of Novo ("Purchaser"), to which Purchaser completed a tender offer for shares of common stock of Issuer, $0.0001 par value per share (each, a "Share") and thereafter merged with and into the Issuer (the "Merger") effective as of December 28, 2021 (the "Effective Time"). At the Effective Time, each issued and outstanding Share was converted into the right to receive $38.25 per Share, in cash, without interest (the "Offer Price") and subject to any withholding of taxes, upon the terms and subject to the conditions of the Merger Agreement. From and after the Effective Time, all Shares were no longer outstanding and were automatically cancelled. F1 · price: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of November 17, 2021, by and among the Issuer, Novo Nordisk A/S, a Danish aktieselskab ("Novo"), and NNUS New Research, Inc., a Delaware corporation and a wholly owned indirect subsidiary of Novo ("Purchaser"), to which Purchaser completed a tender offer for shares of common stock of Issuer, $0.0001 par value per share (each, a "Share") and thereafter merged with and into the Issuer (the "Merger") effective as of December 28, 2021 (the "Effective Time"). At the Effective Time, each issued and outstanding Share was converted into the right to receive $38.25 per Share, in cash, without interest (the "Offer Price") and subject to any withholding of taxes, upon the terms and subject to the conditions of the Merger Agreement. From and after the Effective Time, all Shares were no longer outstanding and were automatically cancelled. Read SEC document |
| June 03, 2021 Filed Jun 8, 2021 01:32 UTC | Dicerna Pharmaceuticals Inc DRNA · Entity 131951 | GrantDirector Stock Option (Right to Buy) · Derivative | 15,000 | $0.00 Strike: $30.47 | $0.00 |
DisclosureSEC source: 0001399529-21-000104 · wf-form4_162311596214632.xml · derivative · entry 4 Doberstein Stephen K · CIK 0001480111 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2031-06-02 F4 · derivative.exercise_date: This option vests monthly over 12 months from the Grant Date in substantially equal monthly installments, provided that the option will vest in full on the next regularly scheduled annual meeting of the stockholders of the Issuer that occurs following the Grant Date, subject to the Reporting Person's continued service to the Issuer as a director through each such date or, if earlier, such annual meeting. Read SEC document |
| June 03, 2021 Filed Jun 8, 2021 01:32 UTC | Dicerna Pharmaceuticals Inc DRNA · Entity 131951 | GrantRestricted Stock Units · Derivative | 3,333 | $0.00 | $0.00 |
DisclosureSEC source: 0001399529-21-000104 · wf-form4_162311596214632.xml · derivative · entry 3 Doberstein Stephen K · CIK 0001480111 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,333 Underlying: Common Stock · 3,333 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents the contingent right to receive one share of the Issuer's Common Stock. F3 · derivative.exercise_date: Represents RSUs that shall vest and become nonforfeitable with respect to one-hundred percent (100%) of the total number of RSUs on the earlier of (i) 12 months from June 3, 2021 ("Grant Date") and (ii) the next regularly scheduled annual meeting of stockholders of the Issuer that occurs following the Grant Date, subject to the Reporting Person's continued service to the Issuer as a director through such date or, if earlier, such annual meeting. F3 · derivative.expiration_date: Represents RSUs that shall vest and become nonforfeitable with respect to one-hundred percent (100%) of the total number of RSUs on the earlier of (i) 12 months from June 3, 2021 ("Grant Date") and (ii) the next regularly scheduled annual meeting of stockholders of the Issuer that occurs following the Grant Date, subject to the Reporting Person's continued service to the Issuer as a director through such date or, if earlier, such annual meeting. Read SEC document |
| June 03, 2021 Filed Jun 8, 2021 01:32 UTC | Dicerna Pharmaceuticals Inc DRNA · Entity 131951 | Exercise / conversionRestricted Stock Units · Derivative | 3,333 | $0.00 | $0.00 |
DisclosureSEC source: 0001399529-21-000104 · wf-form4_162311596214632.xml · derivative · entry 2 Doberstein Stephen K · CIK 0001480111 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,333 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents the contingent right to receive one share of the Issuer's Common Stock. F2 · derivative.exercise_date: Represents RSUs that vested and became nonforfeitable with respect to one-hundred percent (100%) of the total number of RSUs on June 3, 2021. F2 · derivative.expiration_date: Represents RSUs that vested and became nonforfeitable with respect to one-hundred percent (100%) of the total number of RSUs on June 3, 2021. Read SEC document |
| June 03, 2021 Filed Jun 8, 2021 01:32 UTC | Dicerna Pharmaceuticals Inc DRNA · Entity 131951 | Exercise / conversionCommon Stock | 3,333 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001399529-21-000104 · wf-form4_162311596214632.xml · nonDerivative · entry 1 Doberstein Stephen K · CIK 0001480111 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,333 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each restricted stock unit ("RSU") represents the contingent right to receive one share of the Issuer's Common Stock. Read SEC document |
| June 15, 2020 Filed Jun 17, 2020 00:02 UTC | Dicerna Pharmaceuticals Inc DRNA · Entity 131951 | GrantDirector Stock Option (Right to Buy) · Derivative | 15,000 | $0.00 Strike: $21.61 | $0.00 |
DisclosureSEC source: 0000899243-20-016728 · doc4.xml · derivative · entry 2 Doberstein Stephen K · CIK 0001480111 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2030-06-14 F2 · derivative.exercise_date: This option vests monthly over 12 months from the Grant Date in substantially equal monthly installments, provided that the option vests in full on the Issuer's next regularly scheduled annual meeting of stockholders that occurs following the Grant Date, subject to the Reporting Person's continued service to the Issuer through each applicable vesting date or, if earlier, such annual meeting. Read SEC document |
| June 15, 2020 Filed Jun 17, 2020 00:02 UTC | Dicerna Pharmaceuticals Inc DRNA · Entity 131951 | GrantRestricted Stock Units · Derivative | 3,333 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-20-016728 · doc4.xml · derivative · entry 1 Doberstein Stephen K · CIK 0001480111 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,333 Underlying: Common Stock · 3,333 shares Expires not disclosed F1 · derivative.exercise_price: Represents restricted stock units ("RSUs") that vest 12 months from June 15, 2020 ("Grant Date"), provided that these RSUs vest in full on the Issuer's next regularly scheduled annual meeting of stockholders that occurs following the Grant Date, subject to the Reporting Person's continued service to the Issuer through such vesting date or, if earlier, such annual meeting. Each RSU represents the contingent right to receive one share of the Issuer's Common Stock. F1 · derivative.exercise_date: Represents restricted stock units ("RSUs") that vest 12 months from June 15, 2020 ("Grant Date"), provided that these RSUs vest in full on the Issuer's next regularly scheduled annual meeting of stockholders that occurs following the Grant Date, subject to the Reporting Person's continued service to the Issuer through such vesting date or, if earlier, such annual meeting. Each RSU represents the contingent right to receive one share of the Issuer's Common Stock. F1 · derivative.expiration_date: Represents restricted stock units ("RSUs") that vest 12 months from June 15, 2020 ("Grant Date"), provided that these RSUs vest in full on the Issuer's next regularly scheduled annual meeting of stockholders that occurs following the Grant Date, subject to the Reporting Person's continued service to the Issuer through such vesting date or, if earlier, such annual meeting. Each RSU represents the contingent right to receive one share of the Issuer's Common Stock. Read SEC document |
| March 12, 2020 Filed Mar 17, 2020 00:31 UTC | Dicerna Pharmaceuticals Inc DRNA · Entity 131951 | GrantDirector Stock Option (Right to Buy) · Derivative | 25,000 | $0.00 Strike: $15.61 | $0.00 |
DisclosureSEC source: 0000899243-20-008529 · doc4.xml · derivative · entry 1 Doberstein Stephen K · CIK 0001480111 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 Underlying: Common Stock · 25,000 shares Expires 2030-03-11 F1 · derivative.exercise_date: This option vests as to one-third of the underlying shares on the one year anniversary of the vesting start date of February 4, 2020 and as to the remaining two-thirds of the shares in eight quarterly installments thereafter, subject in each case to the Reporting Person's continued service on the board of directors of the Issuer through each applicable vesting date. Read SEC document |
| September 05, 2019 Filed Sep 9, 2019 21:09 UTC | NEKTAR THERAPEUTICS NKTR · Entity 4364 | PurchaseCommon Stock | 15,000 | $17.28 | $259,200.00 |
DisclosureSEC source: 0001209191-19-048922 · doc4.xml · nonDerivative · entry 1 Doberstein Stephen K · CIK 0001480111 · SVP & Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 107,668 F1 · price: This transaction was executed in multiple trades at prices ranging from $17.18 to $17.30. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and the prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer. Read SEC document |
| August 16, 2019 Filed Aug 19, 2019 23:06 UTC | NEKTAR THERAPEUTICS NKTR · Entity 4364 | SaleCommon Stock | 3,245 | $18.15 | $58,896.75 |
DisclosureSEC source: 0001209191-19-046714 · doc4.xml · nonDerivative · entry 1 Doberstein Stephen K · CIK 0001480111 · SVP & Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 92,668 F1 · shares: Represents the number of shares required to be sold by the reporting person to cover tax withholding obligations in connection with the vesting of the RSUs held by the reporting person. This sale is mandated by the Issuer's election under its equity incentive plans to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the reporting person. F2 · price: This transaction was executed in multiple trades at prices ranging from $17.87 to $18.37. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and the prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer. Read SEC document |
| May 16, 2019 Filed May 18, 2019 00:18 UTC | NEKTAR THERAPEUTICS NKTR · Entity 4364 | SaleCommon Stock | 3,461 | $31.37 | $108,571.57 |
DisclosureSEC source: 0001209191-19-031184 · doc4.xml · nonDerivative · entry 1 Doberstein Stephen K · CIK 0001480111 · SVP & Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 95,913 F1 · shares: Represents the number of shares required to be sold by the reporting person to cover tax withholding obligations in connection with the vesting of the RSUs held by the reporting person. This sale is mandated by the Issuer's election under its equity incentive plans to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the reporting person. F2 · price: This transaction was executed in multiple trades at prices ranging from $30.86 to $32.68. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and the prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer. Read SEC document |
| February 19, 2019 Filed Feb 22, 2019 01:13 UTC | NEKTAR THERAPEUTICS NKTR · Entity 4364 | SaleCommon Stock | 3,310 | $42.39 | $140,310.90 |
DisclosureSEC source: 0001209191-19-012332 · doc4.xml · nonDerivative · entry 1 Doberstein Stephen K · CIK 0001480111 · SVP & Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 99,374 F1 · shares: Represents the number of shares required to be sold by the reporting person to cover tax withholding obligations in connection with the vesting of the RSUs held by the reporting person. This sale is mandated by the Issuer's election under its equity incentive plans to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the reporting person. F2 · price: This transaction was executed in multiple trades at prices ranging from $41.90 to $42.96. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and the prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer. Read SEC document |
| December 14, 2018 Filed Dec 18, 2018 23:10 UTC | NEKTAR THERAPEUTICS NKTR · Entity 4364 | GrantStock Option · Derivative | 48,400 | $0.00 Strike: $36.51 | $0.00 |
DisclosureSEC source: 0001209191-18-063297 · doc4.xml · derivative · entry 2 Doberstein Stephen K · CIK 0001480111 · SVP & Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,400 Underlying: Common Stock · 48,400 shares Expires 2026-12-13 F2 · derivative.exercise_date: This stock option vests over four years in equal monthly installments based on continued service. Read SEC document |
| December 14, 2018 Filed Dec 18, 2018 23:10 UTC | NEKTAR THERAPEUTICS NKTR · Entity 4364 | GrantCommon Stock | 23,950 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-063297 · doc4.xml · nonDerivative · entry 1 Doberstein Stephen K · CIK 0001480111 · SVP & Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 102,684 F1 · security: This stock award was acquired pursuant to a grant of restricted stock units ("RSUs"). Each RSU represents a contingent right to receive, upon vesting of the unit, one share of the issuer's common stock. These RSUs vest over three years in substantially equal quarterly installments based on continued service. Read SEC document |
| November 16, 2018 Filed Nov 19, 2018 23:11 UTC | NEKTAR THERAPEUTICS NKTR · Entity 4364 | SaleCommon Stock | 4,524 | $38.25 | $173,043.00 |
DisclosureSEC source: 0001209191-18-059288 · doc4.xml · nonDerivative · entry 1 Doberstein Stephen K · CIK 0001480111 · SVP & Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 78,734 F1 · shares: Represents the number of shares required to be sold by the reporting person to cover tax withholding obligations in connection with the vesting of the RSUs held by the reporting person. This sale is mandated by the Issuer's election under its equity incentive plans to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the reporting person. F2 · price: This transaction was executed in multiple trades at prices ranging from $37.47 to $38.97. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and the prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer. Read SEC document |
| August 16, 2018 Filed Aug 17, 2018 01:43 UTC | NEKTAR THERAPEUTICS NKTR · Entity 4364 | Disposition to issuerCommon Stock | 6,701 | $58.40 | $391,338.40 |
DisclosureSEC source: 0001209191-18-047237 · doc4.xml · nonDerivative · entry 2 Doberstein Stephen K · CIK 0001480111 · SVP & Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 83,258 F2 · shares: Represents the number of shares required to be sold by the reporting person to cover tax withholding obligations in connection with the vesting of the RSUs held by the reporting person. This sale is mandated by the Issuer's election under its equity incentive plans to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the reporting person. F3 · price: This transaction was executed in multiple trades at prices ranging from $56.37 to $59.72. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and the prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer. Read SEC document |
| August 15, 2018 Filed Aug 17, 2018 01:43 UTC | NEKTAR THERAPEUTICS NKTR · Entity 4364 | GrantStock Option · Derivative | 65,000 | $0.00 Strike: $56.90 | $0.00 |
DisclosureSEC source: 0001209191-18-047237 · doc4.xml · derivative · entry 3 Doberstein Stephen K · CIK 0001480111 · SVP & Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,000 Underlying: Common Stock · 65,000 shares Expires 2025-12-14 F4 · security: These options, at the time of their grant were subject to both performance-based and time-based vesting requirements. On August 15, 2018, the performance-based condition vesting was satisfied. The time-based vesting is on a monthly pro-rata basis over a period of four years from the grant date (December 15, 2017). F5 · date: These stock options were granted on December 15, 2017 and the performance-based vesting requirement for these stock options was satisfied on August 15, 2018 upon the Compensation Committee's certification of the successful acceptance of the New Drug Application by the FDA for NKTR-181. F6 · derivative.exercise_date: This stock option vests on a monthly pro-rata basis over a period of four years from the grant date. Read SEC document |
| August 15, 2018 Filed Aug 17, 2018 01:43 UTC | NEKTAR THERAPEUTICS NKTR · Entity 4364 | GrantCommon Stock | 26,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-047237 · doc4.xml · nonDerivative · entry 1 Doberstein Stephen K · CIK 0001480111 · SVP & Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 89,959 F1 · security: Represents restricted stock units ("RSUs"), convertible on a one-for-one basis into shares of Common Stock of the Company. These RSUs, at the time of their grant on December 15, 2017, were subject to both performance-based and time-based vesting requirements. On August 15, 2018, the performance-based condition vesting was satisfied. The time-based vesting is on a quarterly pro-rata basis over a period of three (3) years from the date of grant. Read SEC document |
| May 16, 2018 Filed May 18, 2018 23:01 UTC | NEKTAR THERAPEUTICS NKTR · Entity 4364 | SaleCommon Stock | 3,435 | $83.39 | $286,444.65 |
DisclosureSEC source: 0001209191-18-031589 · doc4.xml · nonDerivative · entry 1 Doberstein Stephen K · CIK 0001480111 · SVP & Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,959 F1 · shares: Represents the number of shares required to be sold by the reporting person to cover tax withholding obligations in connection with the vesting of the RSUs held by the reporting person. This sale is mandated by the Issuer's election under its equity incentive plans to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the reporting person. F2 · price: This transaction was executed in multiple trades at prices ranging from $81.35 to $84.80. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and the prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer. Read SEC document |
| April 09, 2018 Filed Apr 10, 2018 00:21 UTC | NEKTAR THERAPEUTICS NKTR · Entity 4364 | Exercise / conversionStock Option · Derivative | 49,500 | $0.00 Strike: $7.21 | $0.00 |
DisclosureSEC source: 0001209191-18-024451 · doc4.xml · derivative · entry 10 Doberstein Stephen K · CIK 0001480111 · SVP & Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 49,500 shares Expires 2020-02-07 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. Read SEC document |
| April 09, 2018 Filed Apr 10, 2018 00:21 UTC | NEKTAR THERAPEUTICS NKTR · Entity 4364 | SaleCommon Stock | 49,500 | $96.13 | $4,758,435.00 |
DisclosureSEC source: 0001209191-18-024451 · doc4.xml · nonDerivative · entry 6 Doberstein Stephen K · CIK 0001480111 · SVP & Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 67,394 F1 · security: This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. F3 · price: This transaction was executed in multiple trades at prices ranging from $94.99 to $96.75. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and the prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer. Read SEC document |
| April 09, 2018 Filed Apr 10, 2018 00:21 UTC | NEKTAR THERAPEUTICS NKTR · Entity 4364 | Exercise / conversionCommon Stock | 49,500 | $7.21 | $356,895.00 |
DisclosureSEC source: 0001209191-18-024451 · doc4.xml · nonDerivative · entry 5 Doberstein Stephen K · CIK 0001480111 · SVP & Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 116,894 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. Read SEC document |
| April 06, 2018 Filed Apr 10, 2018 00:21 UTC | NEKTAR THERAPEUTICS NKTR · Entity 4364 | Exercise / conversionStock Option · Derivative | 500 | $0.00 Strike: $7.21 | $0.00 |
DisclosureSEC source: 0001209191-18-024451 · doc4.xml · derivative · entry 9 Doberstein Stephen K · CIK 0001480111 · SVP & Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,500 Underlying: Common Stock · 500 shares Expires 2020-02-07 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. Read SEC document |
| April 06, 2018 Filed Apr 10, 2018 00:21 UTC | NEKTAR THERAPEUTICS NKTR · Entity 4364 | Exercise / conversionStock Option · Derivative | 50,000 | $0.00 Strike: $7.21 | $0.00 |
DisclosureSEC source: 0001209191-18-024451 · doc4.xml · derivative · entry 8 Doberstein Stephen K · CIK 0001480111 · SVP & Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 50,000 shares Expires 2020-02-07 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. Read SEC document |
| April 06, 2018 Filed Apr 10, 2018 00:21 UTC | NEKTAR THERAPEUTICS NKTR · Entity 4364 | Exercise / conversionStock Option · Derivative | 60,000 | $0.00 Strike: $10.69 | $0.00 |
DisclosureSEC source: 0001209191-18-024451 · doc4.xml · derivative · entry 7 Doberstein Stephen K · CIK 0001480111 · SVP & Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 60,000 shares Expires 2019-02-07 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. Read SEC document |
| April 06, 2018 Filed Apr 10, 2018 00:21 UTC | NEKTAR THERAPEUTICS NKTR · Entity 4364 | SaleCommon Stock | 110,500 | $91.69 | $10,131,745.00 |
DisclosureSEC source: 0001209191-18-024451 · doc4.xml · nonDerivative · entry 4 Doberstein Stephen K · CIK 0001480111 · SVP & Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 67,394 F1 · security: This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. F2 · price: This transaction was executed in multiple trades at prices ranging from $89.98 to $94.99. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and the prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer. Read SEC document |
| April 06, 2018 Filed Apr 10, 2018 00:21 UTC | NEKTAR THERAPEUTICS NKTR · Entity 4364 | Exercise / conversionCommon Stock | 500 | $7.21 | $3,605.00 |
DisclosureSEC source: 0001209191-18-024451 · doc4.xml · nonDerivative · entry 3 Doberstein Stephen K · CIK 0001480111 · SVP & Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 177,894 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. Read SEC document |
| April 06, 2018 Filed Apr 10, 2018 00:21 UTC | NEKTAR THERAPEUTICS NKTR · Entity 4364 | Exercise / conversionCommon Stock | 50,000 | $7.21 | $360,500.00 |
DisclosureSEC source: 0001209191-18-024451 · doc4.xml · nonDerivative · entry 2 Doberstein Stephen K · CIK 0001480111 · SVP & Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 177,394 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. Read SEC document |
| April 06, 2018 Filed Apr 10, 2018 00:21 UTC | NEKTAR THERAPEUTICS NKTR · Entity 4364 | Exercise / conversionCommon Stock | 60,000 | $10.69 | $641,400.00 |
DisclosureSEC source: 0001209191-18-024451 · doc4.xml · nonDerivative · entry 1 Doberstein Stephen K · CIK 0001480111 · SVP & Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 127,394 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. Read SEC document |
| February 16, 2018 Filed Feb 21, 2018 00:07 UTC | NEKTAR THERAPEUTICS NKTR · Entity 4364 | SaleCommon Stock | 2,426 | $82.94 | $201,212.44 |
DisclosureSEC source: 0001209191-18-011587 · doc4.xml · nonDerivative · entry 1 Doberstein Stephen K · CIK 0001480111 · SVP & Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 67,394 F1 · shares: Represents the number of shares required to be sold by the reporting person to cover tax withholding obligations in connection with the vesting of the RSUs held by the reporting person. This sale is mandated by the Issuer's election under its equity incentive plans to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the reporting person. F2 · price: This transaction was executed in multiple trades at prices ranging from $81.57 to $84.00. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and the prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer. Read SEC document |
| December 15, 2017 Filed Dec 19, 2017 23:25 UTC | NEKTAR THERAPEUTICS NKTR · Entity 4364 | GrantStock Option · Derivative | 65,000 | $0.00 Strike: $56.90 | $0.00 |
DisclosureSEC source: 0001209191-17-066475 · doc4.xml · derivative · entry 2 Doberstein Stephen K · CIK 0001480111 · SVP & Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,000 Underlying: Common Stock · 65,000 shares Expires 2025-12-14 F2 · derivative.exercise_date: This stock option vests over four years in equal monthly installments based on continued service. Read SEC document |
| December 15, 2017 Filed Dec 19, 2017 23:25 UTC | NEKTAR THERAPEUTICS NKTR · Entity 4364 | GrantCommon Stock | 26,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-066475 · doc4.xml · nonDerivative · entry 1 Doberstein Stephen K · CIK 0001480111 · SVP & Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,820 F1 · security: This stock award was acquired pursuant to a grant of restricted stock units ("RSUs"). Each RSU represents a contingent right to receive, upon vesting of the unit, one share of the issuer's common stock. These RSUs vest over three years in substantially equal quarterly installments based on continued service. Read SEC document |
| November 16, 2017 Filed Nov 17, 2017 23:03 UTC | NEKTAR THERAPEUTICS NKTR · Entity 4364 | Disposition to issuerCommon Stock | 4,782 | $44.23 | $211,507.86 |
DisclosureSEC source: 0001209191-17-061588 · doc4.xml · nonDerivative · entry 2 Doberstein Stephen K · CIK 0001480111 · SVP & Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,820 F3 · shares: Represents the number of shares required to be sold by the reporting person to cover tax withholding obligations in connection with the vesting of the RSUs held by the reporting person. This sale is mandated by the Issuer's election under its equity incentive plans to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the reporting person. F4 · price: This transaction was executed in multiple trades at prices ranging from $41.98 to $45.47. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and the prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer. Read SEC document |
| November 15, 2017 Filed Nov 17, 2017 23:03 UTC | NEKTAR THERAPEUTICS NKTR · Entity 4364 | GrantStock Option · Derivative | 43,750 | $0.00 Strike: $14.41 | $0.00 |
DisclosureSEC source: 0001209191-17-061588 · doc4.xml · derivative · entry 3 Doberstein Stephen K · CIK 0001480111 · SVP & Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,750 Underlying: Common Stock · 43,750 shares Expires 2024-12-12 F5 · security: These options, at the time of their grant were subject to both performance-based and time-based vesting requirements. On November 15, 2017, the performance-based condition vesting was satisfied. The time-based vesting is on a monthly pro-rata basis over a period of four years from the grant date (December 13, 2016). F6 · date: These stock options were granted on December 13, 2016 and the performance-based vesting requirement for these stock options was satisfied on November 15, 2017 upon the Compensation Committee's certification of the successful acceptance of the New Drug Application by the FDA for Ciprofloxacin Dry Powder Inhalation (Cipro CPI). F7 · derivative.exercise_date: This stock option vests on a monthly pro-rata basis over a period of four years from the grant date. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.