Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Carisma Therapeutics Inc.CARM · Entity 74418 | Director | June 06, 2023 | June 08, 2023 |
| Rainier Acquisition CorpRNAQ · Entity 527 | Director | August 26, 2026 | August 26, 2026 |
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.
Carisma Therapeutics Inc.
Report date June 06, 2023 · Filed June 08, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $7.25 · Expires 2033-06-06 | Direct | 38,700 |
Reported balance
After 2023-06-06 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2023-06-06 · Grant · Acquired 38,700 · Balance 38,700 F1: The shares underlying this option vest over three years in equal monthly installments following June 6, 2023, subject to continued service to Carisma Therapeutics Inc. through the applicable vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares underlying this option vest over three years in equal monthly installments following June 6, 2023, subject to continued service to Carisma Therapeutics Inc. through the applicable vesting date.
Rainier Acquisition Corp
Report date August 26, 2026 · Filed August 26, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class B ordinary sharesSEC Table II · derivative / convertible security | Direct | Not disclosed |
Reported balance
Holding disclosure · report date 2026-08-26 · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · Balance Not disclosed F1: Each Class B ordinary share is convertible into one Class A ordinary share at the option of the holder, and will automatically convert at the time of the Issuer's initial business combination or earlier at the option of the holder, on a one-for-one basis. The Class B ordinary shares have no expiration date. |
Filing footnotes · ownership attribution and instrument terms
F1: Each Class B ordinary share is convertible into one Class A ordinary share at the option of the holder, and will automatically convert at the time of the Issuer's initial business combination or earlier at the option of the holder, on a one-for-one basis. The Class B ordinary shares have no expiration date.
Past disclosures · reporting ended (2)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Clene Inc.
Report date July 17, 2026 · Filed August 06, 2026
Section 16 reporting ended · disclosed 2026-08-06. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Warrant to Purchase Common Stock (Tranche B, $30.00 strike)SEC Table II · derivative / convertible security · Conversion / exercise price $30.00 · Expires 2030-06-16 | IndirectBy SymBiosis II LLC | 0 |
Reported balance
After 2026-07-17 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-07-17 · Other · Disposed 375,000 · Balance 0 F1: The Reporting Person was deemed to beneficially own the Warrants reported herein indirectly through SymBiosis II, LLC (the "Fund") by virtue of the Reporting Person's role as Managing Partner of the Fund and the resulting voting and investment power over the Fund's holdings. Effective July 17, 2026, management of the Fund's investment portfolio was transferred to a different, unaffiliated third party manager, and the Reporting Person ceased to have voting or investment power over the securities held by the Fund, including the Warrants. Accordingly, the Reporting Person no longer beneficially owns the Warrants reported herein. No consideration was paid or received in connection with this change, and no Warrants were exercised, sold, or transferred. F3: The Reporting Person was deemed to beneficially own the Warrants indirectly through SymBiosis II LLC by virtue of voting and investment power over the Fund's holdings. Effective July 17, 2026, such power was transferred to a different, unaffiliated third party manager, and the Reporting Person ceased to beneficially own the Warrants reported herein. No consideration was paid or received. F2: Currently exercisable |
| Common Stock Purchase Warrant ($4.82 strike)SEC Table II · derivative / convertible security · Conversion / exercise price $4.82 · Expires 2029-09-30 | IndirectBy SymBiosis II LLC | 0 |
Reported balance
After 2026-07-17 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2026-07-17 · Other · Disposed 424,358 · Balance 0 F1: The Reporting Person was deemed to beneficially own the Warrants reported herein indirectly through SymBiosis II, LLC (the "Fund") by virtue of the Reporting Person's role as Managing Partner of the Fund and the resulting voting and investment power over the Fund's holdings. Effective July 17, 2026, management of the Fund's investment portfolio was transferred to a different, unaffiliated third party manager, and the Reporting Person ceased to have voting or investment power over the securities held by the Fund, including the Warrants. Accordingly, the Reporting Person no longer beneficially owns the Warrants reported herein. No consideration was paid or received in connection with this change, and no Warrants were exercised, sold, or transferred. F3: The Reporting Person was deemed to beneficially own the Warrants indirectly through SymBiosis II LLC by virtue of voting and investment power over the Fund's holdings. Effective July 17, 2026, such power was transferred to a different, unaffiliated third party manager, and the Reporting Person ceased to beneficially own the Warrants reported herein. No consideration was paid or received. F2: Currently exercisable |
Filing footnotes · ownership attribution and instrument terms
F1: The Reporting Person was deemed to beneficially own the Warrants reported herein indirectly through SymBiosis II, LLC (the "Fund") by virtue of the Reporting Person's role as Managing Partner of the Fund and the resulting voting and investment power over the Fund's holdings. Effective July 17, 2026, management of the Fund's investment portfolio was transferred to a different, unaffiliated third party manager, and the Reporting Person ceased to have voting or investment power over the securities held by the Fund, including the Warrants. Accordingly, the Reporting Person no longer beneficially owns the Warrants reported herein. No consideration was paid or received in connection with this change, and no Warrants were exercised, sold, or transferred.
F2: Currently exercisable
F3: The Reporting Person was deemed to beneficially own the Warrants indirectly through SymBiosis II LLC by virtue of voting and investment power over the Fund's holdings. Effective July 17, 2026, such power was transferred to a different, unaffiliated third party manager, and the Reporting Person ceased to beneficially own the Warrants reported herein. No consideration was paid or received.
Tessera Defense & Homeland Security Inc.
Report date October 17, 2022 · Filed November 14, 2022
Section 16 reporting ended · disclosed 2022-11-14. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy SymBiosis, LLC | 2,997,025 |
Last balance in matching sequence
After 2022-11-04 transaction · row 15
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
15 source rowsRow 1 · 2022-10-17 · Sale · Disposed 8,098 · Balance 3,063,882 F1: The shares are directly held by SymBiosis, LLC. Row 2 · 2022-10-18 · Sale · Disposed 15,300 · Balance 3,048,582 F1: The shares are directly held by SymBiosis, LLC. Row 3 · 2022-10-19 · Sale · Disposed 4,501 · Balance 3,044,081 F1: The shares are directly held by SymBiosis, LLC. Row 4 · 2022-10-20 · Sale · Disposed 6,636 · Balance 3,037,445 F1: The shares are directly held by SymBiosis, LLC. Row 5 · 2022-10-21 · Sale · Disposed 5,400 · Balance 3,032,045 F1: The shares are directly held by SymBiosis, LLC. Row 6 · 2022-10-24 · Sale · Disposed 5,900 · Balance 3,026,145 F1: The shares are directly held by SymBiosis, LLC. Row 7 · 2022-10-25 · Sale · Disposed 3,072 · Balance 3,023,073 F1: The shares are directly held by SymBiosis, LLC. Row 8 · 2022-10-26 · Sale · Disposed 12,500 · Balance 3,010,573 F1: The shares are directly held by SymBiosis, LLC. Row 9 · 2022-10-27 · Sale · Disposed 1,505 · Balance 3,009,068 F1: The shares are directly held by SymBiosis, LLC. Row 10 · 2022-10-28 · Sale · Disposed 1,526 · Balance 3,007,542 F1: The shares are directly held by SymBiosis, LLC. Row 11 · 2022-10-31 · Sale · Disposed 3,300 · Balance 3,004,242 F1: The shares are directly held by SymBiosis, LLC. Row 12 · 2022-11-01 · Sale · Disposed 1,300 · Balance 3,002,942 F1: The shares are directly held by SymBiosis, LLC. Row 13 · 2022-11-02 · Sale · Disposed 2,416 · Balance 3,000,526 F1: The shares are directly held by SymBiosis, LLC. Row 14 · 2022-11-03 · Sale · Disposed 2,000 · Balance 2,998,526 F1: The shares are directly held by SymBiosis, LLC. Row 15 · 2022-11-04 · Sale · Disposed 1,501 · Balance 2,997,025 F1: The shares are directly held by SymBiosis, LLC. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares are directly held by SymBiosis, LLC.
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 |
|---|---|---|---|---|---|---|
| December 23, 2025 Filed Dec 31, 2025 02:03 UTC | Clene Inc. CLNN · Entity 7166 | SaleCommon Stock | 6,831 | $6.27 | $42,830.37 |
DisclosureSEC source: 0001835544-25-000005 · primary_doc.xml · nonDerivative · entry 2 Ugwumba Chidozie · CIK 0001835544 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · By Symbiosis II, LLC Disclosed balance after: 800,664 Read SEC document |
| December 23, 2025 Filed Dec 31, 2025 02:03 UTC | Clene Inc. CLNN · Entity 7166 | OtherCommon Stock | 424,358 | $0.00 | $424.36 |
DisclosureSEC source: 0001835544-25-000005 · primary_doc.xml · nonDerivative · entry 1 Ugwumba Chidozie · CIK 0001835544 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · By Symbiosis II, LLC Disclosed balance after: 807,495 F1 · balance_after: In connection with the cashless exercise of the pre-funded warrants, the issuer withheld shares of common stock to satisfy the $0.001 per-share exercise price, resulting in the issuance of fewer shares than the number of shares underlying the warrants exercised. Read SEC document |
| December 22, 2025 Filed Dec 23, 2025 21:37 UTC | Clene Inc. CLNN · Entity 7166 | SaleCommon Stock | 4,367 | $6.54 | $28,560.18 |
DisclosureSEC source: 0001835544-25-000004 · primary_doc.xml · nonDerivative · entry 2 Ugwumba Chidozie · CIK 0001835544 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · By Symbiosis II, LLC Disclosed balance after: 383,201 Read SEC document |
| December 19, 2025 Filed Dec 23, 2025 21:37 UTC | Clene Inc. CLNN · Entity 7166 | SaleCommon Stock | 5,582 | $6.45 | $36,003.90 |
DisclosureSEC source: 0001835544-25-000004 · primary_doc.xml · nonDerivative · entry 1 Ugwumba Chidozie · CIK 0001835544 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · By Symbiosis II, LLC Disclosed balance after: 387,568 Read SEC document |
| December 18, 2025 Filed Dec 18, 2025 22:08 UTC | Clene Inc. CLNN · Entity 7166 | SaleCommon Stock | 5,816 | $6.33 | $36,815.28 |
DisclosureSEC source: 0001835544-25-000002 · primary_doc.xml · nonDerivative · entry 12 Ugwumba Chidozie · CIK 0001835544 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · By Symbiosis II, LLC Disclosed balance after: 393,150 Read SEC document |
| December 17, 2025 Filed Dec 18, 2025 22:08 UTC | Clene Inc. CLNN · Entity 7166 | SaleCommon Stock | 2,884 | $6.61 | $19,063.24 |
DisclosureSEC source: 0001835544-25-000002 · primary_doc.xml · nonDerivative · entry 11 Ugwumba Chidozie · CIK 0001835544 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · By Symbiosis II, LLC Disclosed balance after: 398,966 Read SEC document |
| December 16, 2025 Filed Dec 18, 2025 22:08 UTC | Clene Inc. CLNN · Entity 7166 | SaleCommon Stock | 7,030 | $6.31 | $44,359.30 |
DisclosureSEC source: 0001835544-25-000002 · primary_doc.xml · nonDerivative · entry 10 Ugwumba Chidozie · CIK 0001835544 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · By Symbiosis II, LLC Disclosed balance after: 401,850 Read SEC document |
| December 15, 2025 Filed Dec 18, 2025 22:08 UTC | Clene Inc. CLNN · Entity 7166 | SaleCommon Stock | 10,580 | $6.49 | $68,664.20 |
DisclosureSEC source: 0001835544-25-000002 · primary_doc.xml · nonDerivative · entry 9 Ugwumba Chidozie · CIK 0001835544 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · By Symbiosis II, LLC Disclosed balance after: 408,880 Read SEC document |
| December 12, 2025 Filed Dec 18, 2025 22:08 UTC | Clene Inc. CLNN · Entity 7166 | SaleCommon Stock | 7,603 | $6.79 | $51,624.37 |
DisclosureSEC source: 0001835544-25-000002 · primary_doc.xml · nonDerivative · entry 8 Ugwumba Chidozie · CIK 0001835544 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · By Symbiosis II, LLC Disclosed balance after: 419,460 Read SEC document |
| December 11, 2025 Filed Dec 18, 2025 22:08 UTC | Clene Inc. CLNN · Entity 7166 | SaleCommon Stock | 10,907 | $6.81 | $74,276.67 |
DisclosureSEC source: 0001835544-25-000002 · primary_doc.xml · nonDerivative · entry 7 Ugwumba Chidozie · CIK 0001835544 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · By Symbiosis II, LLC Disclosed balance after: 427,063 Read SEC document |
| December 10, 2025 Filed Dec 18, 2025 22:08 UTC | Clene Inc. CLNN · Entity 7166 | SaleCommon Stock | 9,921 | $6.42 | $63,692.82 |
DisclosureSEC source: 0001835544-25-000002 · primary_doc.xml · nonDerivative · entry 6 Ugwumba Chidozie · CIK 0001835544 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · By Symbiosis II, LLC Disclosed balance after: 437,970 Read SEC document |
| December 09, 2025 Filed Dec 18, 2025 22:08 UTC | Clene Inc. CLNN · Entity 7166 | SaleCommon Stock | 15,031 | $5.95 | $89,434.45 |
DisclosureSEC source: 0001835544-25-000002 · primary_doc.xml · nonDerivative · entry 5 Ugwumba Chidozie · CIK 0001835544 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · By Symbiosis II, LLC Disclosed balance after: 447,891 Read SEC document |
| December 08, 2025 Filed Dec 18, 2025 22:08 UTC | Clene Inc. CLNN · Entity 7166 | SaleCommon Stock | 21,463 | $5.70 | $122,339.10 |
DisclosureSEC source: 0001835544-25-000002 · primary_doc.xml · nonDerivative · entry 4 Ugwumba Chidozie · CIK 0001835544 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · By Symbiosis II, LLC Disclosed balance after: 462,922 Read SEC document |
| December 05, 2025 Filed Dec 18, 2025 22:08 UTC | Clene Inc. CLNN · Entity 7166 | SaleCommon Stock | 37,235 | $5.94 | $221,175.90 |
DisclosureSEC source: 0001835544-25-000002 · primary_doc.xml · nonDerivative · entry 3 Ugwumba Chidozie · CIK 0001835544 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · By Symbiosis II, LLC Disclosed balance after: 484,385 Read SEC document |
| December 04, 2025 Filed Dec 18, 2025 22:08 UTC | Clene Inc. CLNN · Entity 7166 | SaleCommon Stock | 72,748 | $6.73 | $489,594.04 |
DisclosureSEC source: 0001835544-25-000002 · primary_doc.xml · nonDerivative · entry 2 Ugwumba Chidozie · CIK 0001835544 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · By Symbiosis II, LLC Disclosed balance after: 521,620 Read SEC document |
| December 03, 2025 Filed Dec 18, 2025 22:08 UTC | Clene Inc. CLNN · Entity 7166 | SaleCommon Stock | 56,577 | $7.86 | $444,695.22 |
DisclosureSEC source: 0001835544-25-000002 · primary_doc.xml · nonDerivative · entry 1 Ugwumba Chidozie · CIK 0001835544 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · By Symbiosis II, LLC Disclosed balance after: 594,368 Read SEC document |
| September 30, 2024 Filed Oct 2, 2024 19:58 UTC | Clene Inc. CLNN · Entity 7166 | GrantWarrants (Right to buy) · Derivative | 424,358 | Not disclosed Strike: $4.71 | Not disclosed |
DisclosureSEC source: 0001014108-24-000049 · form4.xml · derivative · entry 2 Ugwumba Chidozie · CIK 0001835544 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · By Symbiosis II, LLC Disclosed balance after: 424,358 Underlying: Common Stock · 424,358 shares Expires not disclosed F1 · price: The reported securities are included within 424,358 units purchased by the reporting person for $4.712 per Unit. Each Unit consists of one prefunded warrant exercisable at $4.712 and one warrant exercisable at $4.82. F2 · derivative.expiration_date: There is no expiration date on this prefunded warrant. Read SEC document |
| September 30, 2024 Filed Oct 2, 2024 19:58 UTC | Clene Inc. CLNN · Entity 7166 | GrantWarrants (Right to buy) · Derivative | 424,358 | Not disclosed Strike: $4.82 | Not disclosed |
DisclosureSEC source: 0001014108-24-000049 · form4.xml · derivative · entry 1 Ugwumba Chidozie · CIK 0001835544 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · By Symbiosis II, LLC Disclosed balance after: 424,358 Underlying: Common Stock · 424,358 shares Expires 2029-10-01 F1 · price: The reported securities are included within 424,358 units purchased by the reporting person for $4.712 per Unit. Each Unit consists of one prefunded warrant exercisable at $4.712 and one warrant exercisable at $4.82. Read SEC document |
| June 16, 2023 Filed Sep 8, 2023 20:33 UTC | Clene Inc. CLNN · Entity 7166 | GrantWarrants (Right to buy) · Derivative | 7,500,000 | Not disclosed Strike: $1.10 | Not disclosed |
DisclosureSEC source: 0001014108-23-000136 · primary_doc.xml · derivative · entry 3 Ugwumba Chidozie · CIK 0001835544 · 10% owner · Resigned as director 2/15/2023 10b5-1 filing: No plan indicated Ownership: Indirect · By Symbiosis II, LLC Disclosed balance after: 7,500,000 Underlying: Common Stock · 7,500,000 shares Expires not disclosed F1 · price: The price for each Unit is $0.80; one Unit consists of one share of Common Stock of Clene, one Tranche A Warrant and one Tranche B Warrant. F3 · derivative.expiration_date: The reporting person purchased a unit consisting of one share of Common Stock of Clene Inc., one Tranche A Warrant, and one Tranche B Warrant. The Tranche A Warrant is for 7,500,000 shares of Common Stock of Clene Inc. at an exercise price of $1.10 per share. The Tranche A Warrant will expire on the earlier of (a) June 16, 2026, or (b) 60 days after the Food and Drug Administration accepts a New Drug Application from Clene Inc. Read SEC document |
| June 16, 2023 Filed Sep 8, 2023 20:33 UTC | Clene Inc. CLNN · Entity 7166 | GrantWarrants (Right to buy) · Derivative | 7,500,000 | Not disclosed Strike: $1.50 | Not disclosed |
DisclosureSEC source: 0001014108-23-000136 · primary_doc.xml · derivative · entry 2 Ugwumba Chidozie · CIK 0001835544 · 10% owner · Resigned as director 2/15/2023 10b5-1 filing: No plan indicated Ownership: Indirect · By Symbiosis II, LLC Disclosed balance after: 7,500,000 Underlying: Common Stock · 7,500,000 shares Expires not disclosed F1 · price: The price for each Unit is $0.80; one Unit consists of one share of Common Stock of Clene, one Tranche A Warrant and one Tranche B Warrant. F2 · derivative.expiration_date: The reporting person purchased a unit consisting of one share of Common Stock of Clene Inc., one Tranche A Warrant, and one Tranche B Warrant. The Tranche B Warrant is for 7,500,000 shares of Common Stock of Clene Inc. at an exercise price of $1.50 per share. The Tranche B Warrant will expire on the earlier of (a) June 16, 2030, or (b) 60 days after the Food and Drug Administration accepts a New Drug Application from Clene Inc. Read SEC document |
| June 16, 2023 Filed Sep 8, 2023 20:33 UTC | Clene Inc. CLNN · Entity 7166 | PurchaseCommon Stock | 7,500,000 | $0.80 | $6,000,000.00 |
DisclosureSEC source: 0001014108-23-000136 · primary_doc.xml · nonDerivative · entry 1 Ugwumba Chidozie · CIK 0001835544 · 10% owner · Resigned as director 2/15/2023 10b5-1 filing: No plan indicated Ownership: Indirect · By Symbiosis II, LLC Disclosed balance after: 13,018,908 F1 · price: The price for each Unit is $0.80; one Unit consists of one share of Common Stock of Clene, one Tranche A Warrant and one Tranche B Warrant. Read SEC document |
| June 06, 2023 Filed Jun 8, 2023 18:13 UTC | Carisma Therapeutics Inc. CARM · Entity 74418 | GrantStock Option (Right to Buy) · Derivative | 38,700 | $0.00 Strike: $7.25 | $0.00 |
DisclosureSEC source: 0001104659-23-069497 · tm2318219-2_4seq.xml · derivative · entry 1 Ugwumba Chidozie · CIK 0001835544 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 38,700 Underlying: Common Stock · 38,700 shares Expires 2033-06-06 F1 · derivative.exercise_date: The shares underlying this option vest over three years in equal monthly installments following June 6, 2023, subject to continued service to Carisma Therapeutics Inc. through the applicable vesting date. Read SEC document |
| March 07, 2023 Filed Mar 9, 2023 21:31 UTC | Carisma Therapeutics Inc. CARM · Entity 74418 | GrantCommon Stock | 2,215,877 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-23-030752 · tm238905-3_4seq1.xml · nonDerivative · entry 1 Ugwumba Chidozie · CIK 0001835544 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,215,877 F1 · price: In connection with the merger of Sesen Bio, Inc. ("Sesen Bio") and private company CARISMA Therapeutics Inc. ("Carisma"), pursuant to the Agreement and Plan of Merger and Reorganization dated as of September 20, 2022, as amended by the First Amendment thereto dated as of December 29, 2022 and the Second Amendment thereto dated as of February 13, 2023 (as amended, the "Merger Agreement"), which closed on March 7, 2023 (the "Closing"), (i) each share of Carisma common stock was converted into the right to receive 1.8994 shares of Sesen Bio common stock (the "Exchange Ratio") and (ii) each outstanding and unexercised option to purchase shares of Carisma common stock converted into an option to purchase shares of Sesen Bio common stock, with necessary adjustments to reflect the Exchange Ratio but otherwise the same terms and conditions. F2 · price: The Exchange Ratio gives effect to the 1-for-20 reverse stock split of Sesen Bio's common stock. On the Closing date, the closing price of Sesen Bio common stock was $0.6288 (unadjuted). Upon Closing, Sesen Bio was renamed "Carisma Therapeutics Inc." F3 · ownership.nature: These shares are held of record by SymBiosis II, LLC, which exercises voting and investment control of the shares. The Reporting Person is the Managing Partner of Symbiosis II, LLC and as such has sole voting and investment control over the shares. Read SEC document |
| February 02, 2023 Filed Feb 3, 2023 21:01 UTC | Clene Inc. CLNN · Entity 7166 | GrantStock Options (Right to buy) · Derivative | 9,679 | $0.00 Strike: $1.62 | $0.00 |
DisclosureSEC source: 0001562180-23-000897 · primarydocument.xml · derivative · entry 1 Ugwumba Chidozie · CIK 0001835544 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,679 Underlying: Common Stock · 9,679 shares Expires 2033-02-02 F1 · derivative.exercise_date: This option was granted on February 2, 2023 as an option for 9,679 shares of Common Stock under the Clene Inc. 2020 Stock Plan at an exercise price of $1.62 per share. The options vest immediately upon grant. Read SEC document |
| December 31, 2022 Filed Feb 13, 2023 17:21 UTC | Clene Inc. CLNN · Entity 7166 | OtherCommon Stock | 1,019,210 | $0.00 | $0.00 |
DisclosureSEC source: 0001014108-23-000032 · primary_doc.xml · nonDerivative · entry 1 Ugwumba Chidozie · CIK 0001835544 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By SymBiosis II, LLC Disclosed balance after: 5,548,019 F1 · kind: The shares are directly held by SymBiosis II, LLC. Amount reflects an additional 1,019,210 shares located in a separate brokerage account during the issuer's fiscal year. Read SEC document |
| November 04, 2022 Filed Nov 14, 2022 23:37 UTC | Tessera Defense & Homeland Security Inc. PHGE · Entity 8384 | SaleCommon Stock | 1,501 | $0.38 | $567.38 |
DisclosureSEC source: 0001014108-22-000163 · primary_doc.xml · nonDerivative · entry 15 Ugwumba Chidozie · CIK 0001835544 · Exit Form 4 - former 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By SymBiosis, LLC Disclosed balance after: 2,997,025 F1 · balance_after: The shares are directly held by SymBiosis, LLC. Read SEC document |
| November 03, 2022 Filed Nov 4, 2022 19:46 UTC | Clene Inc. CLNN · Entity 7166 | GrantStock Options (Right to buy) · Derivative | 13,078 | $0.00 Strike: $1.19 | $0.00 |
DisclosureSEC source: 0001562180-22-007505 · primarydocument.xml · derivative · entry 1 Ugwumba Chidozie · CIK 0001835544 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,078 Underlying: Common Stock · 13,078 shares Expires 2032-11-03 F1 · derivative.exercise_date: This option was granted on November 3, 2022 as an option for 13,078 shares of Common Stock under the Clene Inc. 2020 Stock Plan at an exercise price of $1.19 per share. The options vest immediately upon grant. Read SEC document |
| November 03, 2022 Filed Nov 14, 2022 23:37 UTC | Tessera Defense & Homeland Security Inc. PHGE · Entity 8384 | SaleCommon Stock | 2,000 | $0.37 | $732.00 |
DisclosureSEC source: 0001014108-22-000163 · primary_doc.xml · nonDerivative · entry 14 Ugwumba Chidozie · CIK 0001835544 · Exit Form 4 - former 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By SymBiosis, LLC Disclosed balance after: 2,998,526 F1 · balance_after: The shares are directly held by SymBiosis, LLC. Read SEC document |
| November 02, 2022 Filed Nov 3, 2022 11:58 UTC | Clene Inc. CLNN · Entity 7166 | PurchaseCommon Stock | 990,099 | $1.01 | $999,999.99 |
DisclosureSEC source: 0001562180-22-007456 · primarydocument.xml · nonDerivative · entry 1 Ugwumba Chidozie · CIK 0001835544 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Symbiosis II, LLC Disclosed balance after: 5,518,908 Read SEC document |
| November 02, 2022 Filed Nov 14, 2022 23:37 UTC | Tessera Defense & Homeland Security Inc. PHGE · Entity 8384 | SaleCommon Stock | 2,416 | $0.36 | $867.34 |
DisclosureSEC source: 0001014108-22-000163 · primary_doc.xml · nonDerivative · entry 13 Ugwumba Chidozie · CIK 0001835544 · Exit Form 4 - former 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By SymBiosis, LLC Disclosed balance after: 3,000,526 F1 · balance_after: The shares are directly held by SymBiosis, LLC. Read SEC document |
| November 01, 2022 Filed Nov 14, 2022 23:37 UTC | Tessera Defense & Homeland Security Inc. PHGE · Entity 8384 | SaleCommon Stock | 1,300 | $0.36 | $473.20 |
DisclosureSEC source: 0001014108-22-000163 · primary_doc.xml · nonDerivative · entry 12 Ugwumba Chidozie · CIK 0001835544 · Exit Form 4 - former 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By SymBiosis, LLC Disclosed balance after: 3,002,942 F1 · balance_after: The shares are directly held by SymBiosis, LLC. Read SEC document |
| October 31, 2022 Filed Nov 14, 2022 23:37 UTC | Tessera Defense & Homeland Security Inc. PHGE · Entity 8384 | SaleCommon Stock | 3,300 | $0.37 | $1,224.30 |
DisclosureSEC source: 0001014108-22-000163 · primary_doc.xml · nonDerivative · entry 11 Ugwumba Chidozie · CIK 0001835544 · Exit Form 4 - former 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By SymBiosis, LLC Disclosed balance after: 3,004,242 F1 · balance_after: The shares are directly held by SymBiosis, LLC. Read SEC document |
| October 28, 2022 Filed Nov 14, 2022 23:37 UTC | Tessera Defense & Homeland Security Inc. PHGE · Entity 8384 | SaleCommon Stock | 1,526 | $0.36 | $543.26 |
DisclosureSEC source: 0001014108-22-000163 · primary_doc.xml · nonDerivative · entry 10 Ugwumba Chidozie · CIK 0001835544 · Exit Form 4 - former 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By SymBiosis, LLC Disclosed balance after: 3,007,542 F1 · balance_after: The shares are directly held by SymBiosis, LLC. Read SEC document |
| October 27, 2022 Filed Nov 14, 2022 23:37 UTC | Tessera Defense & Homeland Security Inc. PHGE · Entity 8384 | SaleCommon Stock | 1,505 | $0.36 | $547.82 |
DisclosureSEC source: 0001014108-22-000163 · primary_doc.xml · nonDerivative · entry 9 Ugwumba Chidozie · CIK 0001835544 · Exit Form 4 - former 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By SymBiosis, LLC Disclosed balance after: 3,009,068 F1 · balance_after: The shares are directly held by SymBiosis, LLC. Read SEC document |
| October 26, 2022 Filed Nov 14, 2022 23:37 UTC | Tessera Defense & Homeland Security Inc. PHGE · Entity 8384 | SaleCommon Stock | 12,500 | $0.35 | $4,325.00 |
DisclosureSEC source: 0001014108-22-000163 · primary_doc.xml · nonDerivative · entry 8 Ugwumba Chidozie · CIK 0001835544 · Exit Form 4 - former 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By SymBiosis, LLC Disclosed balance after: 3,010,573 F1 · balance_after: The shares are directly held by SymBiosis, LLC. Read SEC document |
| October 25, 2022 Filed Nov 14, 2022 23:37 UTC | Tessera Defense & Homeland Security Inc. PHGE · Entity 8384 | SaleCommon Stock | 3,072 | $0.37 | $1,121.28 |
DisclosureSEC source: 0001014108-22-000163 · primary_doc.xml · nonDerivative · entry 7 Ugwumba Chidozie · CIK 0001835544 · Exit Form 4 - former 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By SymBiosis, LLC Disclosed balance after: 3,023,073 F1 · balance_after: The shares are directly held by SymBiosis, LLC. Read SEC document |
| October 24, 2022 Filed Nov 14, 2022 23:37 UTC | Tessera Defense & Homeland Security Inc. PHGE · Entity 8384 | SaleCommon Stock | 5,900 | $0.35 | $2,059.10 |
DisclosureSEC source: 0001014108-22-000163 · primary_doc.xml · nonDerivative · entry 6 Ugwumba Chidozie · CIK 0001835544 · Exit Form 4 - former 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By SymBiosis, LLC Disclosed balance after: 3,026,145 F1 · balance_after: The shares are directly held by SymBiosis, LLC. Read SEC document |
| October 21, 2022 Filed Nov 14, 2022 23:37 UTC | Tessera Defense & Homeland Security Inc. PHGE · Entity 8384 | SaleCommon Stock | 5,400 | $0.37 | $1,998.00 |
DisclosureSEC source: 0001014108-22-000163 · primary_doc.xml · nonDerivative · entry 5 Ugwumba Chidozie · CIK 0001835544 · Exit Form 4 - former 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By SymBiosis, LLC Disclosed balance after: 3,032,045 F1 · balance_after: The shares are directly held by SymBiosis, LLC. Read SEC document |
| October 20, 2022 Filed Nov 14, 2022 23:37 UTC | Tessera Defense & Homeland Security Inc. PHGE · Entity 8384 | SaleCommon Stock | 6,636 | $0.37 | $2,481.86 |
DisclosureSEC source: 0001014108-22-000163 · primary_doc.xml · nonDerivative · entry 4 Ugwumba Chidozie · CIK 0001835544 · Exit Form 4 - former 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By SymBiosis, LLC Disclosed balance after: 3,037,445 F1 · balance_after: The shares are directly held by SymBiosis, LLC. Read SEC document |
| October 19, 2022 Filed Nov 14, 2022 23:37 UTC | Tessera Defense & Homeland Security Inc. PHGE · Entity 8384 | SaleCommon Stock | 4,501 | $0.37 | $1,651.87 |
DisclosureSEC source: 0001014108-22-000163 · primary_doc.xml · nonDerivative · entry 3 Ugwumba Chidozie · CIK 0001835544 · Exit Form 4 - former 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By SymBiosis, LLC Disclosed balance after: 3,044,081 F1 · balance_after: The shares are directly held by SymBiosis, LLC. Read SEC document |
| October 18, 2022 Filed Nov 14, 2022 23:37 UTC | Tessera Defense & Homeland Security Inc. PHGE · Entity 8384 | SaleCommon Stock | 15,300 | $0.35 | $5,293.80 |
DisclosureSEC source: 0001014108-22-000163 · primary_doc.xml · nonDerivative · entry 2 Ugwumba Chidozie · CIK 0001835544 · Exit Form 4 - former 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By SymBiosis, LLC Disclosed balance after: 3,048,582 F1 · balance_after: The shares are directly held by SymBiosis, LLC. Read SEC document |
| October 17, 2022 Filed Nov 14, 2022 23:37 UTC | Tessera Defense & Homeland Security Inc. PHGE · Entity 8384 | SaleCommon Stock | 8,098 | $0.34 | $2,712.83 |
DisclosureSEC source: 0001014108-22-000163 · primary_doc.xml · nonDerivative · entry 1 Ugwumba Chidozie · CIK 0001835544 · Exit Form 4 - former 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By SymBiosis, LLC Disclosed balance after: 3,063,882 F1 · balance_after: The shares are directly held by SymBiosis, LLC. Read SEC document |
| October 14, 2022 Filed Nov 14, 2022 23:17 UTC | Tessera Defense & Homeland Security Inc. PHGE · Entity 8384 | SaleCommon Stock | 3,420 | $0.33 | $1,132.02 |
DisclosureSEC source: 0001014108-22-000162 · primary_doc.xml · nonDerivative · entry 21 Ugwumba Chidozie · CIK 0001835544 · Exit Form 4 - former 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By SymBiosis, LLC Disclosed balance after: 3,071,980 F1 · balance_after: The shares are directly held by SymBiosis, LLC. Read SEC document |
| October 13, 2022 Filed Nov 14, 2022 23:17 UTC | Tessera Defense & Homeland Security Inc. PHGE · Entity 8384 | SaleCommon Stock | 11,314 | $0.33 | $3,733.62 |
DisclosureSEC source: 0001014108-22-000162 · primary_doc.xml · nonDerivative · entry 20 Ugwumba Chidozie · CIK 0001835544 · Exit Form 4 - former 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By SymBiosis, LLC Disclosed balance after: 3,075,400 F1 · balance_after: The shares are directly held by SymBiosis, LLC. Read SEC document |
| October 12, 2022 Filed Nov 14, 2022 23:17 UTC | Tessera Defense & Homeland Security Inc. PHGE · Entity 8384 | SaleCommon Stock | 9,700 | $0.33 | $3,230.10 |
DisclosureSEC source: 0001014108-22-000162 · primary_doc.xml · nonDerivative · entry 19 Ugwumba Chidozie · CIK 0001835544 · Exit Form 4 - former 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By SymBiosis, LLC Disclosed balance after: 3,086,714 F1 · balance_after: The shares are directly held by SymBiosis, LLC. Read SEC document |
| October 11, 2022 Filed Nov 14, 2022 23:17 UTC | Tessera Defense & Homeland Security Inc. PHGE · Entity 8384 | SaleCommon Stock | 5,988 | $0.33 | $1,988.02 |
DisclosureSEC source: 0001014108-22-000162 · primary_doc.xml · nonDerivative · entry 18 Ugwumba Chidozie · CIK 0001835544 · Exit Form 4 - former 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By SymBiosis, LLC Disclosed balance after: 3,096,414 F1 · balance_after: The shares are directly held by SymBiosis, LLC. Read SEC document |
| October 10, 2022 Filed Nov 14, 2022 23:17 UTC | Tessera Defense & Homeland Security Inc. PHGE · Entity 8384 | SaleCommon Stock | 10,043 | $0.33 | $3,274.02 |
DisclosureSEC source: 0001014108-22-000162 · primary_doc.xml · nonDerivative · entry 17 Ugwumba Chidozie · CIK 0001835544 · Exit Form 4 - former 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By SymBiosis, LLC Disclosed balance after: 3,102,402 F1 · balance_after: The shares are directly held by SymBiosis, LLC. Read SEC document |
| October 07, 2022 Filed Nov 14, 2022 23:17 UTC | Tessera Defense & Homeland Security Inc. PHGE · Entity 8384 | SaleCommon Stock | 24,708 | $0.36 | $8,845.46 |
DisclosureSEC source: 0001014108-22-000162 · primary_doc.xml · nonDerivative · entry 16 Ugwumba Chidozie · CIK 0001835544 · Exit Form 4 - former 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By SymBiosis, LLC Disclosed balance after: 3,112,445 F1 · balance_after: The shares are directly held by SymBiosis, LLC. Read SEC document |
| October 06, 2022 Filed Nov 14, 2022 23:17 UTC | Tessera Defense & Homeland Security Inc. PHGE · Entity 8384 | SaleCommon Stock | 25,098 | $0.44 | $11,143.51 |
DisclosureSEC source: 0001014108-22-000162 · primary_doc.xml · nonDerivative · entry 15 Ugwumba Chidozie · CIK 0001835544 · Exit Form 4 - former 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By SymBiosis, LLC Disclosed balance after: 3,137,153 F1 · balance_after: The shares are directly held by SymBiosis, LLC. Read SEC document |
| October 05, 2022 Filed Nov 14, 2022 23:17 UTC | Tessera Defense & Homeland Security Inc. PHGE · Entity 8384 | SaleCommon Stock | 46,785 | $0.44 | $20,351.48 |
DisclosureSEC source: 0001014108-22-000162 · primary_doc.xml · nonDerivative · entry 14 Ugwumba Chidozie · CIK 0001835544 · Exit Form 4 - former 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By SymBiosis, LLC Disclosed balance after: 3,162,251 F1 · balance_after: The shares are directly held by SymBiosis, LLC. 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.