Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CalciMedica, Inc.CALC · Entity 7804 | Director · CHIEF BUSINESS OFFICER | August 19, 2026 | August 21, 2026 |
| VIVUS INCVVUS · Entity 151460 | Director | February 28, 2019 | March 04, 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.
CalciMedica, Inc.
Report date August 19, 2026 · Filed August 21, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| WarrantSEC Table II · derivative / convertible security · Conversion / exercise price $0.80 · Expires 2027-12-25 | Direct | 186,729 |
Reported balance
After 2026-08-19 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-08-19 · Grant · Acquired 186,729 · Balance 186,729 F1: The securities were acquired from the Issuer pursuant to a Securities Purchase Agreement dated June 23, 2026, with a closing date of June 25, 2026. The Securities Purchase Agreement and the issuance of the securities thereunder was approved by an independent committee of the Issuer's Board of Directors. F2: The warrant may be exercised on or after August 19, 2026, and on or prior to the earlier of (i) December 25, 2027 and (ii) thirty (30) days following the Issuer's public disclosure of the clearance of its Investigational New Drug Application by the U.S. Food and Drug Administration for CM5480; provided, however, that the holder will be prohibited, subject to certain exceptions, from exercising such warrant for shares of common stock of the Issuer to the extent that immediately prior to or after giving effect to such exercise, the holder, together with its affiliates and other attribution parties, would own more than 19.99% of the total number of shares of common stock of the Issuer then issued and outstanding, which percentage may be changed at the holder's election to a lower percentage at any time or to a higher percentage upon 61 days' notice to the Issuer. |
| WarrantSEC Table II · derivative / convertible security · Conversion / exercise price $1.00 · Expires 2031-06-25 | Direct | 186,729 |
Reported balance
After 2026-08-19 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2026-08-19 · Grant · Acquired 186,729 · Balance 186,729 F1: The securities were acquired from the Issuer pursuant to a Securities Purchase Agreement dated June 23, 2026, with a closing date of June 25, 2026. The Securities Purchase Agreement and the issuance of the securities thereunder was approved by an independent committee of the Issuer's Board of Directors. F3: The warrant may be exercised on or after August 19, 2026 and on or prior to June 25, 2031; provided, however, that the holder will be prohibited, subject to certain exceptions, from exercising such warrant for shares of common stock of the Issuer to the extent that immediately prior to or after giving effect to such exercise, the holder, together with its affiliates and other attribution parties, would own more than 19.99% of the total number of shares of common stock of the Issuer then issued and outstanding, which percentage may be changed at the holder's election to a lower percentage at any time or to a higher percentage upon 61 days' notice to the Issuer. |
Filing footnotes · ownership attribution and instrument terms
F1: The securities were acquired from the Issuer pursuant to a Securities Purchase Agreement dated June 23, 2026, with a closing date of June 25, 2026. The Securities Purchase Agreement and the issuance of the securities thereunder was approved by an independent committee of the Issuer's Board of Directors.
F2: The warrant may be exercised on or after August 19, 2026, and on or prior to the earlier of (i) December 25, 2027 and (ii) thirty (30) days following the Issuer's public disclosure of the clearance of its Investigational New Drug Application by the U.S. Food and Drug Administration for CM5480; provided, however, that the holder will be prohibited, subject to certain exceptions, from exercising such warrant for shares of common stock of the Issuer to the extent that immediately prior to or after giving effect to such exercise, the holder, together with its affiliates and other attribution parties, would own more than 19.99% of the total number of shares of common stock of the Issuer then issued and outstanding, which percentage may be changed at the holder's election to a lower percentage at any time or to a higher percentage upon 61 days' notice to the Issuer.
F3: The warrant may be exercised on or after August 19, 2026 and on or prior to June 25, 2031; provided, however, that the holder will be prohibited, subject to certain exceptions, from exercising such warrant for shares of common stock of the Issuer to the extent that immediately prior to or after giving effect to such exercise, the holder, together with its affiliates and other attribution parties, would own more than 19.99% of the total number of shares of common stock of the Issuer then issued and outstanding, which percentage may be changed at the holder's election to a lower percentage at any time or to a higher percentage upon 61 days' notice to the Issuer.
VIVUS INC
Report date February 28, 2019 · Filed March 04, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 16,660 |
Reported balance
After 2019-02-28 transaction · row 1
1 source rowRow 1 · 2019-02-28 · Purchase · Acquired 8,500 · Balance 16,660 F1: This is the weighted average purchase price. Shares were purchased in multiple transactions at prices from $4.78 to $4.8998. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in footnote (1) to this Form 4. The amount reflected has been rounded to 4 decimal points. |
Filing footnotes · ownership attribution and instrument terms
F1: This is the weighted average purchase price. Shares were purchased in multiple transactions at prices from $4.78 to $4.8998. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in footnote (1) to this Form 4. The amount reflected has been rounded to 4 decimal points.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Invuity, Inc.
Report date October 23, 2018 · Filed October 23, 2018
Section 16 reporting ended · disclosed 2018-10-23. 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 |
Ending reported balance
After 2018-10-23 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2018-10-23 · Disposition to issuer · Disposed 163,795 · Balance 34,246 F1: Disposed of pursuant to that certain Agreement and Plan of Merger between the Issuer, Stryker Corporation and Accipiter Corp., dated as of September 10, 2018 (the "Merger Agreement"), in exchange for a cash payment of $7.40 per share, without interest, subject to any required withholding of taxes (the "Offer Price"). Row 2 · 2018-10-23 · Disposition to issuer · Disposed 34,246 · Balance 0 F2: These securities were restricted stock units ("RSUs"), each of which represented a contingent right to receive one share of the Issuer's Common Stock. F3: The RSUs were cancelled pursuant to the Merger Agreement in exchange for an amount in cash per underlying share equal to the Offer Price. |
| Director Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $4.87 · Expires 2021-05-19 | Direct | 0 |
Reported balance
After 2018-10-23 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2018-10-23 · Disposition to issuer · Disposed 28,900 · Balance 0 F4: The option was cancelled pursuant to the Merger Agreement in exchange for an amount in cash equal to the product of (a) the excess of the Offer Price over the per-share exercise price of such option multiplied by (b) the number of unexercised shares subject to such option. |
Filing footnotes · ownership attribution and instrument terms
F1: Disposed of pursuant to that certain Agreement and Plan of Merger between the Issuer, Stryker Corporation and Accipiter Corp., dated as of September 10, 2018 (the "Merger Agreement"), in exchange for a cash payment of $7.40 per share, without interest, subject to any required withholding of taxes (the "Offer Price").
F2: These securities were restricted stock units ("RSUs"), each of which represented a contingent right to receive one share of the Issuer's Common Stock.
F3: The RSUs were cancelled pursuant to the Merger Agreement in exchange for an amount in cash per underlying share equal to the Offer Price.
F4: The option was cancelled pursuant to the Merger Agreement in exchange for an amount in cash equal to the product of (a) the excess of the Offer Price over the per-share exercise price of such option multiplied by (b) the number of unexercised shares subject to such option.
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 |
|---|---|---|---|---|---|---|
| May 18, 2017 Filed May 19, 2017 18:19 UTC | Invuity, Inc. IVTY · Entity 162847 | PurchaseCommon Stock | 2,000 | $7.13 | $14,250.00 |
DisclosureSEC source: 0001104659-17-034097 · a4.xml · nonDerivative · entry 2 Roberts Eric W · CIK 0001576244 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 108,029 Read SEC document |
| May 17, 2017 Filed May 19, 2017 18:19 UTC | Invuity, Inc. IVTY · Entity 162847 | PurchaseCommon Stock | 4,500 | $7.05 | $31,725.00 |
DisclosureSEC source: 0001104659-17-034097 · a4.xml · nonDerivative · entry 1 Roberts Eric W · CIK 0001576244 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 106,029 F1 · price: This transaction was executed in multiple trades at prices ranging from $6.9500 to $7.2500. The price reported above reflects the weighted average purchase price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| May 15, 2017 Filed May 17, 2017 16:06 UTC | Invuity, Inc. IVTY · Entity 162847 | PurchaseCommon Stock | 5,000 | $7.88 | $39,378.50 |
DisclosureSEC source: 0001104659-17-033461 · a4.xml · nonDerivative · entry 1 Roberts Eric W · CIK 0001576244 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 101,529 F1 · price: This transaction was executed in multiple trades at prices ranging from $7.4443 to $8.2450. The price reported above reflects the weighted average purchase price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| May 09, 2017 Filed May 11, 2017 16:01 UTC | Invuity, Inc. IVTY · Entity 162847 | PurchaseCommon Stock | 2,000 | $8.80 | $17,600.00 |
DisclosureSEC source: 0001104659-17-031890 · a4.xml · nonDerivative · entry 1 Roberts Eric W · CIK 0001576244 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 96,529 Read SEC document |
| May 08, 2017 Filed Jun 19, 2017 18:53 UTC | VIVUS INC VVUS · Entity 151460 | Exercise / conversionRestricted Stock Units · Derivative | 12,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001123292-17-001146 · edgar.xml · derivative · entry 5 Roberts Eric W · CIK 0001576244 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 Underlying: Common Stock · 12,500 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: Restricted stock units converted into VIVUS, Inc. common stock on a 1-for-1 basis upon vesting. F3 · derivative.exercise_date: The restricted stock units (RSUs) vest according to the following schedule: Commencing on November 8, 2016, 1/4th of the total RSUs originally granted shall vest on each of February 8, 2017, May 8, 2017, August 8, 2017 and November 8, 2017; provided, however, that (a) if the next annual stockholder meeting occurs prior to November 8, 2017 and the individual has remained a Service Provider (as defined in the VIVUS, Inc. 2010 Equity Incentive Plan), the vesting of the RSUs shall accelerate in full as of the date of the next annual stockholder meeting and (b) if the individual ceases to be a Service Provider (other than removal for cause) prior to any of the foregoing vesting dates, then 1/12th of the shares underlying the RSUs shall accelerate for each month elapsed from the most recent vesting date until the month in which the individual (i) ceases to be a Service Provider and (ii) has remained a Service Provider through at least the 8th day of such month. F3 · derivative.expiration_date: The restricted stock units (RSUs) vest according to the following schedule: Commencing on November 8, 2016, 1/4th of the total RSUs originally granted shall vest on each of February 8, 2017, May 8, 2017, August 8, 2017 and November 8, 2017; provided, however, that (a) if the next annual stockholder meeting occurs prior to November 8, 2017 and the individual has remained a Service Provider (as defined in the VIVUS, Inc. 2010 Equity Incentive Plan), the vesting of the RSUs shall accelerate in full as of the date of the next annual stockholder meeting and (b) if the individual ceases to be a Service Provider (other than removal for cause) prior to any of the foregoing vesting dates, then 1/12th of the shares underlying the RSUs shall accelerate for each month elapsed from the most recent vesting date until the month in which the individual (i) ceases to be a Service Provider and (ii) has remained a Service Provider through at least the 8th day of such month. Read SEC document |
| May 08, 2017 Filed Jun 19, 2017 18:53 UTC | VIVUS INC VVUS · Entity 151460 | Exercise / conversionCommon Stock | 12,500 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001123292-17-001146 · edgar.xml · nonDerivative · entry 1 Roberts Eric W · CIK 0001576244 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,877 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: Restricted stock units converted into VIVUS, Inc. common stock on a 1-for-1 basis upon vesting. Read SEC document |
| April 15, 2017 Filed Apr 18, 2017 17:46 UTC | VIVUS INC VVUS · Entity 151460 | Exercise / conversionRestricted Stock Units · Derivative | 1,389 | $0.00 | $0.00 |
DisclosureSEC source: 0001123292-17-000837 · edgar.xml · derivative · entry 3 Roberts Eric W · CIK 0001576244 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,612 Underlying: Common Stock · 1,389 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: Restricted stock units converted into VIVUS, Inc. common stock on a 1-for-1 basis upon vesting. F3 · derivative.exercise_date: The restricted stock units vest according to the following schedule: 8/36ths of the total restricted stock units originally granted vested on May 15, 2016, and an additional 1/36th of the total restricted stock units originally granted vest on the 15th of each month thereafter, subject to the individual continuing to be a Service Provider (as defined in the VIVUS, Inc. 2010 Equity Incentive Plan) on the relevant vesting dates. F3 · derivative.expiration_date: The restricted stock units vest according to the following schedule: 8/36ths of the total restricted stock units originally granted vested on May 15, 2016, and an additional 1/36th of the total restricted stock units originally granted vest on the 15th of each month thereafter, subject to the individual continuing to be a Service Provider (as defined in the VIVUS, Inc. 2010 Equity Incentive Plan) on the relevant vesting dates. Read SEC document |
| April 15, 2017 Filed Apr 18, 2017 17:46 UTC | VIVUS INC VVUS · Entity 151460 | Disposition to issuerCommon Stock | 540 | $1.03 | $556.20 |
DisclosureSEC source: 0001123292-17-000837 · edgar.xml · nonDerivative · entry 2 Roberts Eric W · CIK 0001576244 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,377 F2 · kind: The reporting person did not sell or otherwise dispose of any of the shares reported on this Form 4 for any reason other than by way of forfeiture to VIVUS, Inc. in order to cover estimated tax liability. Read SEC document |
| April 15, 2017 Filed Apr 18, 2017 17:46 UTC | VIVUS INC VVUS · Entity 151460 | Exercise / conversionCommon Stock | 1,389 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001123292-17-000837 · edgar.xml · nonDerivative · entry 1 Roberts Eric W · CIK 0001576244 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,917 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: Restricted stock units converted into VIVUS, Inc. common stock on a 1-for-1 basis upon vesting. Read SEC document |
| March 15, 2017 Filed Mar 17, 2017 11:16 UTC | VIVUS INC VVUS · Entity 151460 | Exercise / conversionRestricted Stock Units · Derivative | 1,389 | $0.00 | $0.00 |
DisclosureSEC source: 0001123292-17-000696 · edgar.xml · derivative · entry 3 Roberts Eric W · CIK 0001576244 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,001 Underlying: Common Stock · 1,389 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: Restricted stock units converted into VIVUS, Inc. common stock on a 1-for-1 basis upon vesting. F3 · derivative.exercise_date: The restricted stock units vest according to the following schedule: 8/36ths of the total restricted stock units originally granted vested on May 15, 2016, and an additional 1/36th of the total restricted stock units originally granted vest on the 15th of each month thereafter, subject to the individual continuing to be a Service Provider (as defined in the VIVUS, Inc. 2010 Equity Incentive Plan) on the relevant vesting dates. F3 · derivative.expiration_date: The restricted stock units vest according to the following schedule: 8/36ths of the total restricted stock units originally granted vested on May 15, 2016, and an additional 1/36th of the total restricted stock units originally granted vest on the 15th of each month thereafter, subject to the individual continuing to be a Service Provider (as defined in the VIVUS, Inc. 2010 Equity Incentive Plan) on the relevant vesting dates. Read SEC document |
| March 15, 2017 Filed Mar 17, 2017 11:16 UTC | VIVUS INC VVUS · Entity 151460 | Disposition to issuerCommon Stock | 539 | $1.11 | $598.29 |
DisclosureSEC source: 0001123292-17-000696 · edgar.xml · nonDerivative · entry 2 Roberts Eric W · CIK 0001576244 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,528 F2 · kind: The reporting person did not sell or otherwise dispose of any of the shares reported on this Form 4 for any reason other than by way of forfeiture to VIVUS, Inc. in order to cover estimated tax liability. Read SEC document |
| March 15, 2017 Filed Mar 17, 2017 11:16 UTC | VIVUS INC VVUS · Entity 151460 | Exercise / conversionCommon Stock | 1,389 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001123292-17-000696 · edgar.xml · nonDerivative · entry 1 Roberts Eric W · CIK 0001576244 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,067 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: Restricted stock units converted into VIVUS, Inc. common stock on a 1-for-1 basis upon vesting. Read SEC document |
| February 15, 2017 Filed Feb 17, 2017 16:10 UTC | VIVUS INC VVUS · Entity 151460 | Exercise / conversionRestricted Stock Units · Derivative | 1,389 | $0.00 | $0.00 |
DisclosureSEC source: 0001123292-17-000443 · edgar.xml · derivative · entry 3 Roberts Eric W · CIK 0001576244 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,390 Underlying: Common Stock · 1,389 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: Restricted stock units converted into VIVUS, Inc. common stock on a 1-for-1 basis upon vesting. F3 · derivative.exercise_date: The restricted stock units vest according to the following schedule: 8/36ths of the total restricted stock units originally granted vested on May 15, 2016, and an additional 1/36th of the total restricted stock units originally granted vest on the 15th of each month thereafter, subject to the individual continuing to be a Service Provider (as defined in the VIVUS, Inc. 2010 Equity Incentive Plan) on the relevant vesting dates. F3 · derivative.expiration_date: The restricted stock units vest according to the following schedule: 8/36ths of the total restricted stock units originally granted vested on May 15, 2016, and an additional 1/36th of the total restricted stock units originally granted vest on the 15th of each month thereafter, subject to the individual continuing to be a Service Provider (as defined in the VIVUS, Inc. 2010 Equity Incentive Plan) on the relevant vesting dates. Read SEC document |
| February 15, 2017 Filed Feb 17, 2017 16:10 UTC | VIVUS INC VVUS · Entity 151460 | Disposition to issuerCommon Stock | 539 | $1.10 | $592.90 |
DisclosureSEC source: 0001123292-17-000443 · edgar.xml · nonDerivative · entry 2 Roberts Eric W · CIK 0001576244 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,678 F2 · kind: The reporting person did not sell or otherwise dispose of any of the shares reported on this Form 4 for any reason other than by way of forfeiture to VIVUS, Inc. in order to cover estimated tax liability. Read SEC document |
| February 15, 2017 Filed Feb 17, 2017 16:10 UTC | VIVUS INC VVUS · Entity 151460 | Exercise / conversionCommon Stock | 1,389 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001123292-17-000443 · edgar.xml · nonDerivative · entry 1 Roberts Eric W · CIK 0001576244 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,217 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: Restricted stock units converted into VIVUS, Inc. common stock on a 1-for-1 basis upon vesting. Read SEC document |
| February 08, 2017 Filed Feb 10, 2017 16:04 UTC | VIVUS INC VVUS · Entity 151460 | Exercise / conversionRestricted Stock Units · Derivative | 12,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001123292-17-000339 · edgar.xml · derivative · entry 3 Roberts Eric W · CIK 0001576244 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,500 Underlying: Common Stock · 12,500 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: Restricted stock units converted into VIVUS, Inc. common stock on a 1-for-1 basis upon vesting. F3 · derivative.exercise_date: The restricted stock units (RSUs) vest according to the following schedule: Commencing on November 8, 2016, 1/4th of the total RSUs originally granted shall vest on each of February 8, 2017, May 8, 2017, August 8, 2017 and November 8, 2017; provided, however, that (a) if the next annual stockholder meeting occurs prior to November 8, 2017 and the individual has remained a Service Provider (as defined in the VIVUS, Inc. 2010 Equity Incentive Plan), the vesting of the RSUs shall accelerate in full as of the date of the next annual stockholder meeting and (b) if the individual ceases to be a Service Provider (other than removal for cause) prior to any of the foregoing vesting dates, then 1/12th of the shares underlying the RSUs shall accelerate for each month elapsed from the most recent vesting date until the month in which the individual (i) ceases to be a Service Provider and (ii) has remained a Service Provider through at least the 8th day of such month. F3 · derivative.expiration_date: The restricted stock units (RSUs) vest according to the following schedule: Commencing on November 8, 2016, 1/4th of the total RSUs originally granted shall vest on each of February 8, 2017, May 8, 2017, August 8, 2017 and November 8, 2017; provided, however, that (a) if the next annual stockholder meeting occurs prior to November 8, 2017 and the individual has remained a Service Provider (as defined in the VIVUS, Inc. 2010 Equity Incentive Plan), the vesting of the RSUs shall accelerate in full as of the date of the next annual stockholder meeting and (b) if the individual ceases to be a Service Provider (other than removal for cause) prior to any of the foregoing vesting dates, then 1/12th of the shares underlying the RSUs shall accelerate for each month elapsed from the most recent vesting date until the month in which the individual (i) ceases to be a Service Provider and (ii) has remained a Service Provider through at least the 8th day of such month. Read SEC document |
| February 08, 2017 Filed Feb 10, 2017 16:04 UTC | VIVUS INC VVUS · Entity 151460 | Disposition to issuerCommon Stock | 4,859 | $1.08 | $5,247.72 |
DisclosureSEC source: 0001123292-17-000339 · edgar.xml · nonDerivative · entry 2 Roberts Eric W · CIK 0001576244 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,828 F2 · kind: The reporting person did not sell or otherwise dispose of any of the shares reported on this Form 4 for any reason other than by way of forfeiture to VIVUS, Inc. in order to cover estimated tax liability. Read SEC document |
| February 08, 2017 Filed Feb 10, 2017 16:04 UTC | VIVUS INC VVUS · Entity 151460 | Exercise / conversionCommon Stock | 12,500 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001123292-17-000339 · edgar.xml · nonDerivative · entry 1 Roberts Eric W · CIK 0001576244 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,687 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: Restricted stock units converted into VIVUS, Inc. common stock on a 1-for-1 basis upon vesting. Read SEC document |
| January 15, 2017 Filed Jan 18, 2017 16:07 UTC | VIVUS INC VVUS · Entity 151460 | Exercise / conversionRestricted Stock Units · Derivative | 1,389 | $0.00 | $0.00 |
DisclosureSEC source: 0001123292-17-000179 · edgar.xml · derivative · entry 4 Roberts Eric W · CIK 0001576244 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,779 Underlying: Common Stock · 1,389 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: Restricted stock units converted into VIVUS, Inc. common stock on a 1-for-1 basis upon vesting. F5 · derivative.exercise_date: The restricted stock units vest according to the following schedule: 8/36ths of the total restricted stock units originally granted vested on May 15, 2016, and an additional 1/36th of the total restricted stock units originally granted vest on the 15th of each month thereafter, subject to the individual continuing to be a Service Provider (as defined in the VIVUS, Inc. 2010 Equity Incentive Plan) on the relevant vesting dates. F5 · derivative.expiration_date: The restricted stock units vest according to the following schedule: 8/36ths of the total restricted stock units originally granted vested on May 15, 2016, and an additional 1/36th of the total restricted stock units originally granted vest on the 15th of each month thereafter, subject to the individual continuing to be a Service Provider (as defined in the VIVUS, Inc. 2010 Equity Incentive Plan) on the relevant vesting dates. Read SEC document |
| January 15, 2017 Filed Jan 18, 2017 16:07 UTC | VIVUS INC VVUS · Entity 151460 | Disposition to issuerCommon Stock | 539 | $1.20 | $646.80 |
DisclosureSEC source: 0001123292-17-000179 · edgar.xml · nonDerivative · entry 2 Roberts Eric W · CIK 0001576244 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,187 F2 · kind: The reporting person did not sell or otherwise dispose of any of the shares reported on this Form 4 for any reason other than by way of forfeiture to VIVUS, Inc. in order to cover estimated tax liability. Read SEC document |
| January 15, 2017 Filed Jan 18, 2017 16:07 UTC | VIVUS INC VVUS · Entity 151460 | Exercise / conversionCommon Stock | 1,389 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001123292-17-000179 · edgar.xml · nonDerivative · entry 1 Roberts Eric W · CIK 0001576244 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,726 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: Restricted stock units converted into VIVUS, Inc. common stock on a 1-for-1 basis upon vesting. Read SEC document |
| January 13, 2017 Filed Jan 18, 2017 16:07 UTC | VIVUS INC VVUS · Entity 151460 | GrantRestricted Stock Units · Derivative | 50,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001123292-17-000179 · edgar.xml · derivative · entry 3 Roberts Eric W · CIK 0001576244 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Stock · 50,000 shares Expires not disclosed F3 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of VIVUS, Inc. common stock. F4 · derivative.exercise_date: The restricted stock units (RSUs) vest according to the following schedule: Commencing on November 8, 2016, 1/4th of the total RSUs originally granted shall vest on each of February 8, 2017, May 8, 2017, August 8, 2017 and November 8, 2017; provided, however, that (a) if the next annual stockholder meeting occurs prior to November 8, 2017 and the individual has remained a Service Provider (as defined in the VIVUS, Inc. 2010 Equity Incentive Plan), the vesting of the RSUs shall accelerate in full as of the date of the next annual stockholder meeting and (b) if the individual ceases to be a Service Provider (other than removal for cause) prior to any of the foregoing vesting dates, then 1/12th of the shares underlying the RSUs shall accelerate for each month elapsed from the most recent vesting date until the month in which the individual (i) ceases to be a Service Provider and (ii) has remained a Service Provider through at least the 8th day of such month. F4 · derivative.expiration_date: The restricted stock units (RSUs) vest according to the following schedule: Commencing on November 8, 2016, 1/4th of the total RSUs originally granted shall vest on each of February 8, 2017, May 8, 2017, August 8, 2017 and November 8, 2017; provided, however, that (a) if the next annual stockholder meeting occurs prior to November 8, 2017 and the individual has remained a Service Provider (as defined in the VIVUS, Inc. 2010 Equity Incentive Plan), the vesting of the RSUs shall accelerate in full as of the date of the next annual stockholder meeting and (b) if the individual ceases to be a Service Provider (other than removal for cause) prior to any of the foregoing vesting dates, then 1/12th of the shares underlying the RSUs shall accelerate for each month elapsed from the most recent vesting date until the month in which the individual (i) ceases to be a Service Provider and (ii) has remained a Service Provider through at least the 8th day of such month. Read SEC document |
| December 15, 2016 Filed Dec 19, 2016 17:14 UTC | VIVUS INC VVUS · Entity 151460 | Exercise / conversionRestricted Stock Units · Derivative | 1,389 | $0.00 | $0.00 |
DisclosureSEC source: 0001123292-16-003079 · edgar.xml · derivative · entry 3 Roberts Eric W · CIK 0001576244 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,168 Underlying: Common Stock · 1,389 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: Restricted stock units converted into VIVUS, Inc. common stock on a 1-for-1 basis upon vesting. F3 · derivative.exercise_date: The restricted stock units vest according to the following schedule: 8/36ths of the total restricted stock units originally granted vested on May 15, 2016, and an additional 1/36th of the total restricted stock units originally granted vest on the 15th of each month thereafter, subject to the individual continuing to be a Service Provider (as defined in the 2010 Equity Incentive Plan) on the relevant vesting dates. F3 · derivative.expiration_date: The restricted stock units vest according to the following schedule: 8/36ths of the total restricted stock units originally granted vested on May 15, 2016, and an additional 1/36th of the total restricted stock units originally granted vest on the 15th of each month thereafter, subject to the individual continuing to be a Service Provider (as defined in the 2010 Equity Incentive Plan) on the relevant vesting dates. Read SEC document |
| December 15, 2016 Filed Dec 19, 2016 17:14 UTC | VIVUS INC VVUS · Entity 151460 | Disposition to issuerCommon Stock | 539 | $1.38 | $743.82 |
DisclosureSEC source: 0001123292-16-003079 · edgar.xml · nonDerivative · entry 2 Roberts Eric W · CIK 0001576244 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,337 F2 · kind: The reporting person did not sell or otherwise dispose of any of the shares reported on this Form 4 for any reason other than by way of forfeiture to VIVUS, Inc. in order to cover estimated tax liability. Read SEC document |
| December 15, 2016 Filed Dec 19, 2016 17:14 UTC | VIVUS INC VVUS · Entity 151460 | Exercise / conversionCommon Stock | 1,389 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001123292-16-003079 · edgar.xml · nonDerivative · entry 1 Roberts Eric W · CIK 0001576244 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,876 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: Restricted stock units converted into VIVUS, Inc. common stock on a 1-for-1 basis upon vesting. Read SEC document |
| December 07, 2016 Filed Dec 8, 2016 12:49 UTC | Invuity, Inc. IVTY · Entity 162847 | OtherCommon Stock | 24,584 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-16-161225 · a4.xml · nonDerivative · entry 2 Roberts Eric W · CIK 0001576244 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 94,529 F1 · kind: 46,602 of the shares were distributed by Valence Life Sciences GP II, LLC ("Valence") to its members. The Reporting Person is a Managing Member of Valence. Read SEC document |
| December 07, 2016 Filed Dec 8, 2016 12:49 UTC | Invuity, Inc. IVTY · Entity 162847 | OtherCommon Stock | 46,602 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-16-161225 · a4.xml · nonDerivative · entry 1 Roberts Eric W · CIK 0001576244 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Valence Disclosed balance after: 0 F1 · kind: 46,602 of the shares were distributed by Valence Life Sciences GP II, LLC ("Valence") to its members. The Reporting Person is a Managing Member of Valence. Read SEC document |
| November 17, 2016 Filed Nov 21, 2016 12:54 UTC | Invuity, Inc. IVTY · Entity 162847 | OtherCommon Stock | 46,602 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-16-033995 · doc4.xml · nonDerivative · entry 2 Roberts Eric W · CIK 0001576244 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Valence Disclosed balance after: 46,602 F1 · kind: 203,030 of the shares were distributed by Valence CDK SPV, L.P. ("Valence CDK") to its sole limited partner and 46,602 of the shares were distributed by Valence CDK to Valence Life Sciences GP II, LLC ("Valence"). The Reporting Person is a Managing Member of Valence, which is the General Partner of Valence CDK. The Reporting Person disclaims beneficial ownership of the shares held by Valence, except to the extent of his pecuniary interest therein. Read SEC document |
| November 17, 2016 Filed Nov 21, 2016 12:54 UTC | Invuity, Inc. IVTY · Entity 162847 | OtherCommon Stock | 249,632 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-16-033995 · doc4.xml · nonDerivative · entry 1 Roberts Eric W · CIK 0001576244 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Valence CDK Disclosed balance after: 0 F1 · kind: 203,030 of the shares were distributed by Valence CDK SPV, L.P. ("Valence CDK") to its sole limited partner and 46,602 of the shares were distributed by Valence CDK to Valence Life Sciences GP II, LLC ("Valence"). The Reporting Person is a Managing Member of Valence, which is the General Partner of Valence CDK. The Reporting Person disclaims beneficial ownership of the shares held by Valence, except to the extent of his pecuniary interest therein. Read SEC document |
| November 15, 2016 Filed Nov 16, 2016 16:52 UTC | VIVUS INC VVUS · Entity 151460 | Exercise / conversionRestricted Stock Units · Derivative | 1,389 | $0.00 | $0.00 |
DisclosureSEC source: 0001123292-16-002966 · edgar.xml · derivative · entry 3 Roberts Eric W · CIK 0001576244 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,557 Underlying: Common Stock · 1,389 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: Restricted stock units converted into VIVUS, Inc. common stock on a 1-for-1 basis upon vesting. F3 · derivative.exercise_date: The restricted stock units vest according to the following schedule: 8/36ths of the total restricted stock units originally granted vested on May 15, 2016, and an additional 1/36th of the total restricted stock units originally granted vest on the 15th of each month thereafter, subject to the individual continuing to be a Service Provider (as defined in the 2010 Equity Incentive Plan) on the relevant vesting dates. F3 · derivative.expiration_date: The restricted stock units vest according to the following schedule: 8/36ths of the total restricted stock units originally granted vested on May 15, 2016, and an additional 1/36th of the total restricted stock units originally granted vest on the 15th of each month thereafter, subject to the individual continuing to be a Service Provider (as defined in the 2010 Equity Incentive Plan) on the relevant vesting dates. Read SEC document |
| November 15, 2016 Filed Nov 16, 2016 16:52 UTC | VIVUS INC VVUS · Entity 151460 | Disposition to issuerCommon Stock | 539 | $1.10 | $592.90 |
DisclosureSEC source: 0001123292-16-002966 · edgar.xml · nonDerivative · entry 2 Roberts Eric W · CIK 0001576244 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,487 F2 · kind: The reporting person did not sell or otherwise dispose of any of the shares reported on this Form 4 for any reason other than by way of forfeiture to VIVUS, Inc. in order to cover estimated tax liability. Read SEC document |
| November 15, 2016 Filed Nov 16, 2016 16:52 UTC | VIVUS INC VVUS · Entity 151460 | Exercise / conversionCommon Stock | 1,389 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001123292-16-002966 · edgar.xml · nonDerivative · entry 1 Roberts Eric W · CIK 0001576244 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,026 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: Restricted stock units converted into VIVUS, Inc. common stock on a 1-for-1 basis upon vesting. Read SEC document |
| October 17, 2016 Filed Oct 19, 2016 20:31 UTC | Invuity, Inc. IVTY · Entity 162847 | SaleCommon Stock | 1,000 | $12.08 | $12,075.00 |
DisclosureSEC source: 0000899243-16-031997 · doc4.xml · nonDerivative · entry 1 Roberts Eric W · CIK 0001576244 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 249,632 F1 · kind: The shares were sold pursuant to the Rule 10b5-1 trading plan entered into by Valence CDK SPV, L.P. ("Valence CDK") on December 1, 2015. F2 · price: This transaction was executed in multiple trades at prices ranging from $12.00 to $12.25. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F3 · ownership.nature: The shares are held by Valence CDK. Valence Life Sciences GP II, LLC ("Valence") is the General Partner of Valence CDK. The Reporting Person is a Managing Member of Valence and disclaims beneficial ownership of the shares held by Valence CDK, except to the extent of his pecuniary interest therein. Read SEC document |
| October 15, 2016 Filed Oct 18, 2016 16:42 UTC | VIVUS INC VVUS · Entity 151460 | Exercise / conversionRestricted Stock Units · Derivative | 1,389 | $0.00 | $0.00 |
DisclosureSEC source: 0001123292-16-002871 · edgar.xml · derivative · entry 3 Roberts Eric W · CIK 0001576244 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,946 Underlying: Common Stock · 1,389 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: Restricted stock units converted into VIVUS, Inc. common stock on a 1-for-1 basis upon vesting. F3 · derivative.exercise_date: The restricted stock units vest according to the following schedule: 8/36ths of the total restricted stock units originally granted vested on May 15, 2016, and an additional 1/36th of the total restricted stock units originally granted vest on the 15th of each month thereafter, subject to the individual continuing to be a Service Provider (as defined in the 2010 Equity Incentive Plan) on the relevant vesting dates. F3 · derivative.expiration_date: The restricted stock units vest according to the following schedule: 8/36ths of the total restricted stock units originally granted vested on May 15, 2016, and an additional 1/36th of the total restricted stock units originally granted vest on the 15th of each month thereafter, subject to the individual continuing to be a Service Provider (as defined in the 2010 Equity Incentive Plan) on the relevant vesting dates. Read SEC document |
| October 15, 2016 Filed Oct 18, 2016 16:42 UTC | VIVUS INC VVUS · Entity 151460 | Disposition to issuerCommon Stock | 540 | $1.06 | $572.40 |
DisclosureSEC source: 0001123292-16-002871 · edgar.xml · nonDerivative · entry 2 Roberts Eric W · CIK 0001576244 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,637 F2 · kind: The reporting person did not sell or otherwise dispose of any of the shares reported on this Form 4 for any reason other than by way of forfeiture to VIVUS, Inc. in order to cover estimated tax liability. Read SEC document |
| October 15, 2016 Filed Oct 18, 2016 16:42 UTC | VIVUS INC VVUS · Entity 151460 | Exercise / conversionCommon Stock | 1,389 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001123292-16-002871 · edgar.xml · nonDerivative · entry 1 Roberts Eric W · CIK 0001576244 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,177 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: Restricted stock units converted into VIVUS, Inc. common stock on a 1-for-1 basis upon vesting. Read SEC document |
| September 22, 2016 Filed Sep 23, 2016 19:13 UTC | Invuity, Inc. IVTY · Entity 162847 | SaleCommon Stock | 798 | $14.00 | $11,172.00 |
DisclosureSEC source: 0000899243-16-029965 · doc4.xml · nonDerivative · entry 2 Roberts Eric W · CIK 0001576244 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 250,632 F1 · kind: The shares were sold pursuant to the Rule 10b5-1 trading plan entered into by Valence CDK SPV, L.P. ("Valence CDK") on December 1, 2015. F2 · ownership.nature: The shares are held by Valence CDK. Valence Life Sciences GP II, LLC ("Valence") is the General Partner of Valence CDK. The Reporting Person is a Managing Member of Valence and disclaims beneficial ownership of the shares held by Valence CDK, except to the extent of his pecuniary interest therein. Read SEC document |
| September 21, 2016 Filed Sep 23, 2016 19:13 UTC | Invuity, Inc. IVTY · Entity 162847 | SaleCommon Stock | 1,403 | $14.00 | $19,642.00 |
DisclosureSEC source: 0000899243-16-029965 · doc4.xml · nonDerivative · entry 1 Roberts Eric W · CIK 0001576244 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 251,430 F1 · kind: The shares were sold pursuant to the Rule 10b5-1 trading plan entered into by Valence CDK SPV, L.P. ("Valence CDK") on December 1, 2015. F2 · ownership.nature: The shares are held by Valence CDK. Valence Life Sciences GP II, LLC ("Valence") is the General Partner of Valence CDK. The Reporting Person is a Managing Member of Valence and disclaims beneficial ownership of the shares held by Valence CDK, except to the extent of his pecuniary interest therein. Read SEC document |
| September 15, 2016 Filed Sep 19, 2016 17:02 UTC | VIVUS INC VVUS · Entity 151460 | Exercise / conversionRestricted Stock Units · Derivative | 1,389 | $0.00 | $0.00 |
DisclosureSEC source: 0001123292-16-002755 · edgar.xml · derivative · entry 3 Roberts Eric W · CIK 0001576244 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,335 Underlying: Common Stock · 1,389 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: Restricted stock units converted into VIVUS, Inc. common stock on a 1-for-1 basis upon vesting. F3 · derivative.exercise_date: The restricted stock units vest according to the following schedule: 8/36ths of the total restricted stock units originally granted vested on May 15, 2016, and an additional 1/36th of the total restricted stock units originally granted vest on the 15th of each month thereafter, subject to the individual continuing to be a Service Provider (as defined in the 2010 Equity Incentive Plan) on the relevant vesting dates. F3 · derivative.expiration_date: The restricted stock units vest according to the following schedule: 8/36ths of the total restricted stock units originally granted vested on May 15, 2016, and an additional 1/36th of the total restricted stock units originally granted vest on the 15th of each month thereafter, subject to the individual continuing to be a Service Provider (as defined in the 2010 Equity Incentive Plan) on the relevant vesting dates. Read SEC document |
| September 15, 2016 Filed Sep 19, 2016 17:02 UTC | VIVUS INC VVUS · Entity 151460 | Disposition to issuerCommon Stock | 540 | $1.06 | $572.40 |
DisclosureSEC source: 0001123292-16-002755 · edgar.xml · nonDerivative · entry 2 Roberts Eric W · CIK 0001576244 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,788 F2 · kind: The reporting person did not sell or otherwise dispose of any of the shares reported on this Form 4 for any reason other than by way of forfeiture to VIVUS, Inc. in order to cover estimated tax liability. Read SEC document |
| September 15, 2016 Filed Sep 19, 2016 17:02 UTC | VIVUS INC VVUS · Entity 151460 | Exercise / conversionCommon Stock | 1,389 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001123292-16-002755 · edgar.xml · nonDerivative · entry 1 Roberts Eric W · CIK 0001576244 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,328 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: Restricted stock units converted into VIVUS, Inc. common stock on a 1-for-1 basis upon vesting. Read SEC document |
| September 15, 2016 Filed Sep 19, 2016 17:57 UTC | Invuity, Inc. IVTY · Entity 162847 | SaleCommon Stock | 5,000 | $13.47 | $67,360.50 |
DisclosureSEC source: 0000899243-16-029278 · doc4.xml · nonDerivative · entry 1 Roberts Eric W · CIK 0001576244 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 252,833 F1 · kind: The shares were sold pursuant to the Rule 10b5-1 trading plan entered into by Valence CDK SPV, L.P. ("Valence CDK") on December 1, 2015. F2 · price: This transaction was executed in multiple trades at prices ranging from $13.02 to $13.64. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F3 · ownership.nature: The shares are held by Valence CDK. Valence Life Sciences GP II, LLC ("Valence") is the General Partner of Valence CDK. The Reporting Person is a Managing Member of Valence and disclaims beneficial ownership of the shares held by Valence CDK, except to the extent of his pecuniary interest therein. Read SEC document |
| September 06, 2016 Filed Sep 8, 2016 17:29 UTC | Invuity, Inc. IVTY · Entity 162847 | SaleCommon Stock | 1,414 | $14.00 | $19,796.00 |
DisclosureSEC source: 0000899243-16-028700 · doc4.xml · nonDerivative · entry 1 Roberts Eric W · CIK 0001576244 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 257,833 F1 · kind: The shares were sold pursuant to the Rule 10b5-1 trading plan entered into by Valence CDK SPV, L.P. ("Valence CDK") on December 1, 2015 F2 · ownership.nature: The shares are held by Valence CDK. Valence Life Sciences GP II, LLC ("Valence") is the General Partner of Valence CDK. The Reporting Person is a Managing Member of Valence and disclaims beneficial ownership of the shares held by Valence CDK, except to the extent of his pecuniary interest therein. Read SEC document |
| September 02, 2016 Filed Sep 6, 2016 12:34 UTC | Invuity, Inc. IVTY · Entity 162847 | SaleCommon Stock | 400 | $14.00 | $5,600.00 |
DisclosureSEC source: 0000899243-16-028513 · doc4.xml · nonDerivative · entry 2 Roberts Eric W · CIK 0001576244 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 259,247 F1 · kind: The shares were sold pursuant to the Rule 10b5-1 trading plan entered into by Valence CDK SPV, L.P. ("Valence CDK") on December 1, 2015. F2 · ownership.nature: The shares are held by Valence CDK. Valence Life Sciences GP II, LLC ("Valence") is the General Partner of Valence CDK. The Reporting Person is a Managing Member of Valence and disclaims beneficial ownership of the shares held by Valence CDK, except to the extent of his pecuniary interest therein. Read SEC document |
| September 01, 2016 Filed Sep 6, 2016 12:34 UTC | Invuity, Inc. IVTY · Entity 162847 | SaleCommon Stock | 26,439 | $14.00 | $370,146.00 |
DisclosureSEC source: 0000899243-16-028513 · doc4.xml · nonDerivative · entry 1 Roberts Eric W · CIK 0001576244 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 259,647 F1 · kind: The shares were sold pursuant to the Rule 10b5-1 trading plan entered into by Valence CDK SPV, L.P. ("Valence CDK") on December 1, 2015. F2 · ownership.nature: The shares are held by Valence CDK. Valence Life Sciences GP II, LLC ("Valence") is the General Partner of Valence CDK. The Reporting Person is a Managing Member of Valence and disclaims beneficial ownership of the shares held by Valence CDK, except to the extent of his pecuniary interest therein. 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.