person · Reporting owner

GRANO JOSEPH J JR

Disclosed activity across 3 companies

Tapewire entity: 21200
SEC CIK: 0001304755

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
Virtu Financial, Inc.VIRT · Entity 3811	Director	August 19, 2026	August 20, 2026
root9B Holdings, Inc.RTNB · Entity 173596	Director · CEO and Chairman	January 25, 2017	January 27, 2017

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.

Virtu Financial, Inc.

Report date August 19, 2026 · Filed August 20, 2026

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Class A common stockSEC Table I · non-derivative	Direct	33,814	Reported balance After 2026-08-19 transaction · row 1 1 source row Row 1 · 2026-08-19 · Sale · Disposed 8,400 · Balance 33,814 F1: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $60.50 to $61.20, inclusive. The reporting person undertakes to provide to the staff of the Securities and Exchange Commission, to any security holder of Virtu Financial, Inc., or to Virtu Financial, Inc., upon request, full information regarding the number of shares sold at each separate price within the range set forth above.
Restricted Stock UnitSEC Table II · derivative / convertible security	Direct	2,504	Reported balance Holding disclosure · report date 2026-08-19 · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · Balance 2,504 F2: Each RSU is granted under the Issuer's Second Amended and Restated 2015 Management Incentive Plan and represents a contingent right to receive one share of Class A common stock of the Issuer. F3: The RSUs vest on July 1, 2027.

Filing footnotes · ownership attribution and instrument terms

F1: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $60.50 to $61.20, inclusive. The reporting person undertakes to provide to the staff of the Securities and Exchange Commission, to any security holder of Virtu Financial, Inc., or to Virtu Financial, Inc., upon request, full information regarding the number of shares sold at each separate price within the range set forth above.

F2: Each RSU is granted under the Issuer's Second Amended and Restated 2015 Management Incentive Plan and represents a contingent right to receive one share of Class A common stock of the Issuer.

F3: The RSUs vest on July 1, 2027.

root9B Holdings, Inc.

Report date January 25, 2017 · Filed January 27, 2017

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Convertible Promissory NoteSEC Table II · derivative / convertible security · Conversion / exercise price $12.00 · Expires 2020-01-25	Direct	20,833	Reported balance After 2017-01-25 transaction · row 1 Instrument identity requires review; Table II rows are not merged. 1 source row Row 1 · 2017-01-25 · Purchase · Acquired 20,833 · Balance 20,833 F1: In consideration of Mr. Grano?s purchase of a convertible promissory note, root9B Holdings, Inc. (the ?Company?) issued to Mr. Grano a Convertible Promissory Note in the principal amount of $250,000 (the ?Note?). The Note accrues interest at a rate of 10.00% per annum. At the option of Mr. Grano, at any time on or after July 25, 2017 and subject to the conditions described in footnote 2 to this Form 4, any and all amounts of outstanding principal and accrued interest under the Note may be converted into shares of the Company?s common stock ( ?Common Stock?), at a conversion price per share of (i) for any principal amount, $12.00 and (ii) for any amount of interest accrued, 85% of the five (5) day volume weighted average price per share of Common Stock, but in no event less than $12.00. A description of the material terms of the Note can be found in the Company?s Current Report on Form 8-K filed with the Securities and Exchange Commission (?SEC?) on January 26, 2017. F2: Mr. Grano may not be issued shares of Common Stock if, after giving effect to the conversion or exercise, as applicable, Mr. Grano, together with his affiliates, would beneficially own in excess of 9.99% of the then outstanding shares of Common Stock.
Common Stock Purchase WarrantSEC Table II · derivative / convertible security · Conversion / exercise price $12.00 · Expires 2020-01-25	Direct	10,416	Reported balance After 2017-01-25 transaction · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · 2017-01-25 · Purchase · Acquired 10,416 · Balance 10,416 F3: A description of the material terms of the warrants can be found in the Company?s Current Report on Form 8-K filed with the SEC on January 26, 2017. F2: Mr. Grano may not be issued shares of Common Stock if, after giving effect to the conversion or exercise, as applicable, Mr. Grano, together with his affiliates, would beneficially own in excess of 9.99% of the then outstanding shares of Common Stock.

Filing footnotes · ownership attribution and instrument terms

F1: In consideration of Mr. Grano?s purchase of a convertible promissory note, root9B Holdings, Inc. (the ?Company?) issued to Mr. Grano a Convertible Promissory Note in the principal amount of $250,000 (the ?Note?). The Note accrues interest at a rate of 10.00% per annum. At the option of Mr. Grano, at any time on or after July 25, 2017 and subject to the conditions described in footnote 2 to this Form 4, any and all amounts of outstanding principal and accrued interest under the Note may be converted into shares of the Company?s common stock ( ?Common Stock?), at a conversion price per share of (i) for any principal amount, $12.00 and (ii) for any amount of interest accrued, 85% of the five (5) day volume weighted average price per share of Common Stock, but in no event less than $12.00. A description of the material terms of the Note can be found in the Company?s Current Report on Form 8-K filed with the Securities and Exchange Commission (?SEC?) on January 26, 2017.

F2: Mr. Grano may not be issued shares of Common Stock if, after giving effect to the conversion or exercise, as applicable, Mr. Grano, together with his affiliates, would beneficially own in excess of 9.99% of the then outstanding shares of Common Stock.

F3: A description of the material terms of the warrants can be found in the Company?s Current Report on Form 8-K filed with the SEC on January 26, 2017.

Past disclosures · reporting ended (1)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

Aevi Genomic Medicine, LLC

Report date February 03, 2020 · Filed February 05, 2020

Section 16 reporting ended · disclosed 2020-02-05. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosure context
Common StockSEC Table I · non-derivative	Direct	Reported balance After 2020-02-03 transaction · row 1 1 source row Row 1 · 2020-02-03 · Disposition to issuer · Disposed 75,683 · Balance 0 F1: Disposed of as a result of the merger pursuant to the previously announced Agreement and Plan of Merger and Reorganization by and among Cerecor Inc. ("Cerecor"), Genie Merger Sub, Inc., Second Genie Merger Sub, LLC and issuer (the "Merger"). At the effective time of the Merger, holders of issuer common stock received (A) the fraction of a share of Cerecor common stock equal to the exchange ratio of 0.0334 (B) one contingent value right, which represents the right to receive contingent payments upon the achievement of certain milestones and (C) cash in lieu of any fractional shares of Cerecor common stock.
Common StockSEC Table I · non-derivative	IndirectBy wife	Reported balance After 2020-02-03 transaction · row 2 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 2 · 2020-02-03 · Disposition to issuer · Disposed 27,000 · Balance 0 F1: Disposed of as a result of the merger pursuant to the previously announced Agreement and Plan of Merger and Reorganization by and among Cerecor Inc. ("Cerecor"), Genie Merger Sub, Inc., Second Genie Merger Sub, LLC and issuer (the "Merger"). At the effective time of the Merger, holders of issuer common stock received (A) the fraction of a share of Cerecor common stock equal to the exchange ratio of 0.0334 (B) one contingent value right, which represents the right to receive contingent payments upon the achievement of certain milestones and (C) cash in lieu of any fractional shares of Cerecor common stock.
Common StockSEC Table I · non-derivative	IndirectBy The Grano Children's Trust Robert Silver and Joseph C Grano Trustees	Reported balance After 2020-02-03 transaction · row 3 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 3 · 2020-02-03 · Disposition to issuer · Disposed 56,780 · Balance 0 F1: Disposed of as a result of the merger pursuant to the previously announced Agreement and Plan of Merger and Reorganization by and among Cerecor Inc. ("Cerecor"), Genie Merger Sub, Inc., Second Genie Merger Sub, LLC and issuer (the "Merger"). At the effective time of the Merger, holders of issuer common stock received (A) the fraction of a share of Cerecor common stock equal to the exchange ratio of 0.0334 (B) one contingent value right, which represents the right to receive contingent payments upon the achievement of certain milestones and (C) cash in lieu of any fractional shares of Cerecor common stock.
Common StockSEC Table I · non-derivative	IndirectBy The Garano Family Foundation	Reported balance After 2020-02-03 transaction · row 4 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 4 · 2020-02-03 · Disposition to issuer · Disposed 15,384 · Balance 0 F1: Disposed of as a result of the merger pursuant to the previously announced Agreement and Plan of Merger and Reorganization by and among Cerecor Inc. ("Cerecor"), Genie Merger Sub, Inc., Second Genie Merger Sub, LLC and issuer (the "Merger"). At the effective time of the Merger, holders of issuer common stock received (A) the fraction of a share of Cerecor common stock equal to the exchange ratio of 0.0334 (B) one contingent value right, which represents the right to receive contingent payments upon the achievement of certain milestones and (C) cash in lieu of any fractional shares of Cerecor common stock.
Stock Option (Right to Purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $6.50 · Expires 2024-01-02	Direct	Reported balance After 2020-02-03 transaction · row 5 Instrument identity requires review; Table II rows are not merged. 1 source row Row 5 · 2020-02-03 · Disposition to issuer · Disposed 15,000 · Balance 0 F2: This option which became exercisable on January 2, 2015, was automatically cancelled and ceased to exist without any consideration or payment pursuant to the Merger.
Stock Option (Right to Purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $7.01 · Expires 2025-02-18	Direct	Reported balance After 2020-02-03 transaction · row 6 Instrument identity requires review; Table II rows are not merged. 1 source row Row 6 · 2020-02-03 · Disposition to issuer · Disposed 20,000 · Balance 0 F3: This option which became exercisable on February 18, 2016, was automatically cancelled and ceased to exist without any consideration or payment pursuant to the Merger.
Stock Option (Right to Purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $1.32 · Expires 2027-06-22	Direct	Reported balance After 2020-02-03 transaction · row 7 Instrument identity requires review; Table II rows are not merged. 1 source row Row 7 · 2020-02-03 · Disposition to issuer · Disposed 20,000 · Balance 0 F4: This option which became exercisable on June 22, 2018, was automatically cancelled and ceased to exist without any consideration or payment pursuant to the Merger.
Stock Option (Right to Purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $1.55 · Expires 2028-04-17	Direct	Reported balance After 2020-02-03 transaction · row 8 Instrument identity requires review; Table II rows are not merged. 1 source row Row 8 · 2020-02-03 · Disposition to issuer · Disposed 50,000 · Balance 0 F5: This option which became exercisable on April 17, 2019, was automatically cancelled and ceased to exist without any consideration or payment pursuant to the Merger.
Stock Option (Right to Purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $4.83 · Expires 2026-04-15	Direct	Reported balance After 2020-02-03 transaction · row 9 Instrument identity requires review; Table II rows are not merged. 1 source row Row 9 · 2020-02-03 · Disposition to issuer · Disposed 20,000 · Balance 0 F6: This option which became exercisable on April 15, 2017, was automatically cancelled and ceased to exist without any consideration or payment pursuant to the Merger.
Warrant (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.84 · Expires 2022-10-17	Direct	Reported balance After 2020-02-03 transaction · row 10 Instrument identity requires review; Table II rows are not merged. 1 source row Row 10 · 2020-02-03 · Disposition to issuer · Disposed 7,061 · Balance 0 F7: This warrant, which was issued pursuant to a Securities Purchase Agreement dated August 9, 2017, was subsequently amended by the Amendment Agreement of Warrants to Purchase Common Stock dated December 5, 2019, whereby immediately prior to the Merger the warrants were automatically exercised in a cashless exercise. Given the exercise price of the outstanding warrants, the cashless exercise resulted in no shares of common stock being issued and the warrant was rendered null and void.

Filing footnotes · ownership attribution and instrument terms

F1: Disposed of as a result of the merger pursuant to the previously announced Agreement and Plan of Merger and Reorganization by and among Cerecor Inc. ("Cerecor"), Genie Merger Sub, Inc., Second Genie Merger Sub, LLC and issuer (the "Merger"). At the effective time of the Merger, holders of issuer common stock received (A) the fraction of a share of Cerecor common stock equal to the exchange ratio of 0.0334 (B) one contingent value right, which represents the right to receive contingent payments upon the achievement of certain milestones and (C) cash in lieu of any fractional shares of Cerecor common stock.

F2: This option which became exercisable on January 2, 2015, was automatically cancelled and ceased to exist without any consideration or payment pursuant to the Merger.

F3: This option which became exercisable on February 18, 2016, was automatically cancelled and ceased to exist without any consideration or payment pursuant to the Merger.

F4: This option which became exercisable on June 22, 2018, was automatically cancelled and ceased to exist without any consideration or payment pursuant to the Merger.

F5: This option which became exercisable on April 17, 2019, was automatically cancelled and ceased to exist without any consideration or payment pursuant to the Merger.

F6: This option which became exercisable on April 15, 2017, was automatically cancelled and ceased to exist without any consideration or payment pursuant to the Merger.

F7: This warrant, which was issued pursuant to a Securities Purchase Agreement dated August 9, 2017, was subsequently amended by the Amendment Agreement of Warrants to Purchase Common Stock dated December 5, 2019, whereby immediately prior to the Merger the warrants were automatically exercised in a cashless exercise. Given the exercise price of the outstanding warrants, the cashless exercise resulted in no shares of common stock being issued and the warrant was rendered null and void.

Transaction history

JSON API

Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction date	Company	Activity / security	Shares / units	Reported price	Reported value	Details
August 19, 2026 Filed Aug 20, 2026 22:22 UTC	Virtu Financial, Inc. VIRT · Entity 3811	SaleClass A common stock	8,400	$60.94	$511,855.68	Disclosure SEC source: 0001304755-26-000005 · wk-form4_1787264564.xml · nonDerivative · entry 1 GRANO JOSEPH J JR · CIK 0001304755 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 33,814 F1 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $60.50 to $61.20, inclusive. The reporting person undertakes to provide to the staff of the Securities and Exchange Commission, to any security holder of Virtu Financial, Inc., or to Virtu Financial, Inc., upon request, full information regarding the number of shares sold at each separate price within the range set forth above. Read SEC document
July 01, 2026 Filed Jul 6, 2026 20:35 UTC	Virtu Financial, Inc. VIRT · Entity 3811	GrantRestricted Stock Unit · Derivative	2,504	$0.00	$0.00	Disclosure SEC source: 0001304755-26-000003 · wk-form4_1783370104.xml · derivative · entry 3 GRANO JOSEPH J JR · CIK 0001304755 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,504 Underlying: Class A common stock · 2,504 shares Expires not disclosed F2 · derivative.exercise_price: Each RSU is granted under the Issuer's Second Amended and Restated 2015 Management Incentive Plan and represents a contingent right to receive one share of Class A common stock of the Issuer. F4 · derivative.exercise_date: The RSUs will vest on July 1, 2027. F4 · derivative.expiration_date: The RSUs will vest on July 1, 2027. Read SEC document
July 01, 2026 Filed Jul 6, 2026 20:35 UTC	Virtu Financial, Inc. VIRT · Entity 3811	Exercise / conversionRestricted Stock Unit · Derivative	3,392	$0.00	$0.00	Disclosure SEC source: 0001304755-26-000003 · wk-form4_1783370104.xml · derivative · entry 2 GRANO JOSEPH J JR · CIK 0001304755 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Class A common stock · 3,392 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. F2 · derivative.exercise_price: Each RSU is granted under the Issuer's Second Amended and Restated 2015 Management Incentive Plan and represents a contingent right to receive one share of Class A common stock of the Issuer. F3 · derivative.exercise_date: The RSUs vested on July 1, 2026. F3 · derivative.expiration_date: The RSUs vested on July 1, 2026. Read SEC document
July 01, 2026 Filed Jul 6, 2026 20:35 UTC	Virtu Financial, Inc. VIRT · Entity 3811	Exercise / conversionClass A common stock	3,392	Not disclosed	Not disclosed	Disclosure SEC source: 0001304755-26-000003 · wk-form4_1783370104.xml · nonDerivative · entry 1 GRANO JOSEPH J JR · CIK 0001304755 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 42,214 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: Shares of Class A common stock issued in settlement of vested restricted stock units ("RSUs") granted under the Issuer's Second Amended and Restated 2015 Management Incentive Plan. Read SEC document
July 03, 2025 Filed Jul 3, 2025 17:24 UTC	Virtu Financial, Inc. VIRT · Entity 3811	Exercise / conversionRestricted Stock Unit · Derivative	6,681	$0.00	$0.00	Disclosure SEC source: 0001592386-25-000095 · wk-form4_1751563452.xml · derivative · entry 3 GRANO JOSEPH J JR · CIK 0001304755 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 3,392 Underlying: Class A common stock · 6,681 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. F2 · derivative.exercise_price: Each RSU is granted under the Issuer's Amended and Restated 2015 Management Incentive Plan and represents a contingent right to receive one share of Class A common stock of the Issuer. F4 · derivative.exercise_date: The RSUs vested on July 3, 2025. F4 · derivative.expiration_date: The RSUs vested on July 3, 2025. Read SEC document
July 03, 2025 Filed Jul 3, 2025 17:24 UTC	Virtu Financial, Inc. VIRT · Entity 3811	Exercise / conversionClass A common stock	6,681	Not disclosed	Not disclosed	Disclosure SEC source: 0001592386-25-000095 · wk-form4_1751563452.xml · nonDerivative · entry 1 GRANO JOSEPH J JR · CIK 0001304755 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 38,822 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: Shares of Class A common stock issued in settlement of vested restricted stock units ("RSUs") granted under the Issuer's Amended and Restated 2015 Management Incentive Plan. Read SEC document
July 01, 2025 Filed Jul 3, 2025 17:24 UTC	Virtu Financial, Inc. VIRT · Entity 3811	GrantRestricted Stock Unit · Derivative	3,392	$0.00	$0.00	Disclosure SEC source: 0001592386-25-000095 · wk-form4_1751563452.xml · derivative · entry 2 GRANO JOSEPH J JR · CIK 0001304755 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 10,073 Underlying: Class A common stock · 3,392 shares Expires not disclosed F2 · derivative.exercise_price: Each RSU is granted under the Issuer's Amended and Restated 2015 Management Incentive Plan and represents a contingent right to receive one share of Class A common stock of the Issuer. F3 · derivative.exercise_date: The RSUs vest on July 1, 2026. F3 · derivative.expiration_date: The RSUs vest on July 1, 2026. Read SEC document
July 03, 2024 Filed Jul 3, 2024 17:48 UTC	Virtu Financial, Inc. VIRT · Entity 3811	GrantRestricted Stock Unit · Derivative	6,681	$0.00	$0.00	Disclosure SEC source: 0001592386-24-000063 · wk-form4_1720028883.xml · derivative · entry 3 GRANO JOSEPH J JR · CIK 0001304755 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 6,681 Underlying: Class A common stock · 6,681 shares Expires not disclosed F2 · derivative.exercise_price: Each RSU is granted under the Issuer's Amended and Restated 2015 Management Incentive Plan and represents a contingent right to receive one share of Class A common stock of the Issuer. F4 · derivative.exercise_date: The RSUs vest on July 3, 2025. F4 · derivative.expiration_date: The RSUs vest on July 3, 2025. Read SEC document
July 03, 2024 Filed Jul 3, 2024 17:48 UTC	Virtu Financial, Inc. VIRT · Entity 3811	Exercise / conversionRestricted Stock Unit · Derivative	8,760	$0.00	$0.00	Disclosure SEC source: 0001592386-24-000063 · wk-form4_1720028883.xml · derivative · entry 2 GRANO JOSEPH J JR · CIK 0001304755 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Class A common stock · 8,760 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. F2 · derivative.exercise_price: Each RSU is granted under the Issuer's Amended and Restated 2015 Management Incentive Plan and represents a contingent right to receive one share of Class A common stock of the Issuer. F3 · derivative.exercise_date: The RSUs vested on July 3, 2024. F3 · derivative.expiration_date: The RSUs vested on July 3, 2024. Read SEC document
July 03, 2024 Filed Jul 3, 2024 17:48 UTC	Virtu Financial, Inc. VIRT · Entity 3811	Exercise / conversionClass A common stock	8,760	Not disclosed	Not disclosed	Disclosure SEC source: 0001592386-24-000063 · wk-form4_1720028883.xml · nonDerivative · entry 1 GRANO JOSEPH J JR · CIK 0001304755 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 32,141 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: Shares of Class A common stock issued in settlement of vested restricted stock units ("RSUs") granted under the Issuer's Amended and Restated 2015 Management Incentive Plan. Read SEC document
July 01, 2023 Filed Jul 3, 2023 17:48 UTC	Virtu Financial, Inc. VIRT · Entity 3811	GrantRestricted Stock Unit · Derivative	8,760	$0.00	$0.00	Disclosure SEC source: 0001592386-23-000037 · wf-form4_168840652816613.xml · derivative · entry 3 GRANO JOSEPH J JR · CIK 0001304755 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 8,760 Underlying: Class A common stock · 8,760 shares Expires not disclosed F2 · derivative.exercise_price: Each RSU is granted under the Issuer's Amended and Restated 2015 Management Incentive Plan and represents a contingent right to receive one share of Class A common stock of the Issuer. F4 · derivative.exercise_date: The RSUs vest on July 1, 2024. F4 · derivative.expiration_date: The RSUs vest on July 1, 2024. Read SEC document
July 01, 2023 Filed Jul 3, 2023 17:48 UTC	Virtu Financial, Inc. VIRT · Entity 3811	Exercise / conversionRestricted Stock Unit · Derivative	6,365	$0.00	$0.00	Disclosure SEC source: 0001592386-23-000037 · wf-form4_168840652816613.xml · derivative · entry 2 GRANO JOSEPH J JR · CIK 0001304755 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Class A common stock · 6,365 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. F2 · derivative.exercise_price: Each RSU is granted under the Issuer's Amended and Restated 2015 Management Incentive Plan and represents a contingent right to receive one share of Class A common stock of the Issuer. F3 · derivative.exercise_date: The RSUs vested on July 1, 2023. F3 · derivative.expiration_date: The RSUs vested on July 1, 2023. Read SEC document
July 01, 2023 Filed Jul 3, 2023 17:48 UTC	Virtu Financial, Inc. VIRT · Entity 3811	Exercise / conversionClass A common stock	6,365	Not disclosed	Not disclosed	Disclosure SEC source: 0001592386-23-000037 · wf-form4_168840652816613.xml · nonDerivative · entry 1 GRANO JOSEPH J JR · CIK 0001304755 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 23,381 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: Shares of Class A common stock issued in settlement of vested restricted stock units ("RSUs") granted under the Issuer's Amended and Restated 2015 Management Incentive Plan. Read SEC document
July 01, 2022 Filed Jul 1, 2022 20:21 UTC	Virtu Financial, Inc. VIRT · Entity 3811	GrantRestricted Stock Unit · Derivative	6,365	$0.00	$0.00	Disclosure SEC source: 0001592386-22-000066 · wf-form4_165670688452982.xml · derivative · entry 3 GRANO JOSEPH J JR · CIK 0001304755 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,365 Underlying: Class A common stock · 6,365 shares Expires not disclosed F2 · derivative.exercise_price: Each RSU is granted under the Issuer's Amended and Restated 2015 Management Incentive Plan and represents a contingent right to receive one share of Class A common stock of the Issuer. F4 · derivative.exercise_date: The RSUs vest on July 1, 2023. F4 · derivative.expiration_date: The RSUs vest on July 1, 2023. Read SEC document
July 01, 2022 Filed Jul 1, 2022 20:21 UTC	Virtu Financial, Inc. VIRT · Entity 3811	Exercise / conversionRestricted Stock Unit · Derivative	4,880	$0.00	$0.00	Disclosure SEC source: 0001592386-22-000066 · wf-form4_165670688452982.xml · derivative · entry 2 GRANO JOSEPH J JR · CIK 0001304755 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A common stock · 4,880 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. F2 · derivative.exercise_price: Each RSU is granted under the Issuer's Amended and Restated 2015 Management Incentive Plan and represents a contingent right to receive one share of Class A common stock of the Issuer. F3 · derivative.exercise_date: The RSUs vested on July 1, 2022. F3 · derivative.expiration_date: The RSUs vested on July 1, 2022. Read SEC document
July 01, 2022 Filed Jul 1, 2022 20:21 UTC	Virtu Financial, Inc. VIRT · Entity 3811	Exercise / conversionClass A common stock	4,880	Not disclosed	Not disclosed	Disclosure SEC source: 0001592386-22-000066 · wf-form4_165670688452982.xml · nonDerivative · entry 1 GRANO JOSEPH J JR · CIK 0001304755 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,016 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: Shares of Class A common stock issued in settlement of vested restricted stock units ("RSUs") granted under the Issuer's Amended and Restated 2015 Management Incentive Plan. Read SEC document
July 01, 2021 Filed Jul 2, 2021 20:25 UTC	Virtu Financial, Inc. VIRT · Entity 3811	GrantRestricted Stock Unit · Derivative	4,880	$0.00	$0.00	Disclosure SEC source: 0001592386-21-000027 · wf-form4_162525748371869.xml · derivative · entry 3 GRANO JOSEPH J JR · CIK 0001304755 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,880 Underlying: Class A common stock · 4,880 shares Expires not disclosed F2 · derivative.exercise_price: Each RSU is granted under the Issuer's Amended and Restated 2015 Management Incentive Plan and represents a contingent right to receive one share of Class A common stock of the Issuer. F4 · derivative.exercise_date: The RSUs vest on July 1, 2022. F4 · derivative.expiration_date: The RSUs vest on July 1, 2022. Read SEC document
July 01, 2021 Filed Jul 2, 2021 20:25 UTC	Virtu Financial, Inc. VIRT · Entity 3811	Exercise / conversionRestricted Stock Unit · Derivative	5,811	$0.00	$0.00	Disclosure SEC source: 0001592386-21-000027 · wf-form4_162525748371869.xml · derivative · entry 2 GRANO JOSEPH J JR · CIK 0001304755 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A common stock · 5,811 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. F2 · derivative.exercise_price: Each RSU is granted under the Issuer's Amended and Restated 2015 Management Incentive Plan and represents a contingent right to receive one share of Class A common stock of the Issuer. F3 · derivative.exercise_date: The RSUs vested on July 1, 2021. F3 · derivative.expiration_date: The RSUs vested on July 1, 2021. Read SEC document
July 01, 2021 Filed Jul 2, 2021 20:25 UTC	Virtu Financial, Inc. VIRT · Entity 3811	Exercise / conversionClass A common stock	5,811	Not disclosed	Not disclosed	Disclosure SEC source: 0001592386-21-000027 · wf-form4_162525748371869.xml · nonDerivative · entry 1 GRANO JOSEPH J JR · CIK 0001304755 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,136 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: Shares of Class A common stock issued in settlement of vested restricted stock units ("RSUs") granted under the Issuer's Amended and Restated 2015 Management Incentive Plan. Read SEC document
February 03, 2020 Filed Feb 5, 2020 16:20 UTC	Aevi Genomic Medicine, LLC GNMX · Entity 148532	Disposition to issuerWarrant (Right to Buy) · Derivative	7,061	$0.00 Strike: $2.84	$0.00	Disclosure SEC source: 0001192482-20-000119 · edgar.xml · derivative · entry 10 GRANO JOSEPH J JR · CIK 0001304755 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 7,061 shares Expires 2022-10-17 F7 · derivative.exercise_date: This warrant, which was issued pursuant to a Securities Purchase Agreement dated August 9, 2017, was subsequently amended by the Amendment Agreement of Warrants to Purchase Common Stock dated December 5, 2019, whereby immediately prior to the Merger the warrants were automatically exercised in a cashless exercise. Given the exercise price of the outstanding warrants, the cashless exercise resulted in no shares of common stock being issued and the warrant was rendered null and void. Read SEC document
February 03, 2020 Filed Feb 5, 2020 16:20 UTC	Aevi Genomic Medicine, LLC GNMX · Entity 148532	Disposition to issuerStock Option (Right to Purchase) · Derivative	20,000	$0.00 Strike: $4.83	$0.00	Disclosure SEC source: 0001192482-20-000119 · edgar.xml · derivative · entry 9 GRANO JOSEPH J JR · CIK 0001304755 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 20,000 shares Expires 2026-04-15 F6 · derivative.exercise_date: This option which became exercisable on April 15, 2017, was automatically cancelled and ceased to exist without any consideration or payment pursuant to the Merger. Read SEC document
February 03, 2020 Filed Feb 5, 2020 16:20 UTC	Aevi Genomic Medicine, LLC GNMX · Entity 148532	Disposition to issuerStock Option (Right to Purchase) · Derivative	50,000	$0.00 Strike: $1.55	$0.00	Disclosure SEC source: 0001192482-20-000119 · edgar.xml · derivative · entry 8 GRANO JOSEPH J JR · CIK 0001304755 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 50,000 shares Expires 2028-04-17 F5 · derivative.exercise_date: This option which became exercisable on April 17, 2019, was automatically cancelled and ceased to exist without any consideration or payment pursuant to the Merger. Read SEC document
February 03, 2020 Filed Feb 5, 2020 16:20 UTC	Aevi Genomic Medicine, LLC GNMX · Entity 148532	Disposition to issuerStock Option (Right to Purchase) · Derivative	20,000	$0.00 Strike: $1.32	$0.00	Disclosure SEC source: 0001192482-20-000119 · edgar.xml · derivative · entry 7 GRANO JOSEPH J JR · CIK 0001304755 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 20,000 shares Expires 2027-06-22 F4 · derivative.exercise_date: This option which became exercisable on June 22, 2018, was automatically cancelled and ceased to exist without any consideration or payment pursuant to the Merger. Read SEC document
February 03, 2020 Filed Feb 5, 2020 16:20 UTC	Aevi Genomic Medicine, LLC GNMX · Entity 148532	Disposition to issuerStock Option (Right to Purchase) · Derivative	20,000	$0.00 Strike: $7.01	$0.00	Disclosure SEC source: 0001192482-20-000119 · edgar.xml · derivative · entry 6 GRANO JOSEPH J JR · CIK 0001304755 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 20,000 shares Expires 2025-02-18 F3 · derivative.exercise_date: This option which became exercisable on February 18, 2016, was automatically cancelled and ceased to exist without any consideration or payment pursuant to the Merger. Read SEC document
February 03, 2020 Filed Feb 5, 2020 16:20 UTC	Aevi Genomic Medicine, LLC GNMX · Entity 148532	Disposition to issuerStock Option (Right to Purchase) · Derivative	15,000	$0.00 Strike: $6.50	$0.00	Disclosure SEC source: 0001192482-20-000119 · edgar.xml · derivative · entry 5 GRANO JOSEPH J JR · CIK 0001304755 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 15,000 shares Expires 2024-01-02 F2 · derivative.exercise_date: This option which became exercisable on January 2, 2015, was automatically cancelled and ceased to exist without any consideration or payment pursuant to the Merger. Read SEC document
February 03, 2020 Filed Feb 5, 2020 16:20 UTC	Aevi Genomic Medicine, LLC GNMX · Entity 148532	Disposition to issuerCommon Stock	15,384	Not disclosed	Not disclosed	Disclosure SEC source: 0001192482-20-000119 · edgar.xml · nonDerivative · entry 4 GRANO JOSEPH J JR · CIK 0001304755 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By The Garano Family Foundation Disclosed balance after: 0 F1 · price: Disposed of as a result of the merger pursuant to the previously announced Agreement and Plan of Merger and Reorganization by and among Cerecor Inc. ("Cerecor"), Genie Merger Sub, Inc., Second Genie Merger Sub, LLC and issuer (the "Merger"). At the effective time of the Merger, holders of issuer common stock received (A) the fraction of a share of Cerecor common stock equal to the exchange ratio of 0.0334 (B) one contingent value right, which represents the right to receive contingent payments upon the achievement of certain milestones and (C) cash in lieu of any fractional shares of Cerecor common stock. Read SEC document
February 03, 2020 Filed Feb 5, 2020 16:20 UTC	Aevi Genomic Medicine, LLC GNMX · Entity 148532	Disposition to issuerCommon Stock	56,780	Not disclosed	Not disclosed	Disclosure SEC source: 0001192482-20-000119 · edgar.xml · nonDerivative · entry 3 GRANO JOSEPH J JR · CIK 0001304755 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By The Grano Children's Trust Robert Silver and Joseph C Grano Trustees Disclosed balance after: 0 F1 · price: Disposed of as a result of the merger pursuant to the previously announced Agreement and Plan of Merger and Reorganization by and among Cerecor Inc. ("Cerecor"), Genie Merger Sub, Inc., Second Genie Merger Sub, LLC and issuer (the "Merger"). At the effective time of the Merger, holders of issuer common stock received (A) the fraction of a share of Cerecor common stock equal to the exchange ratio of 0.0334 (B) one contingent value right, which represents the right to receive contingent payments upon the achievement of certain milestones and (C) cash in lieu of any fractional shares of Cerecor common stock. Read SEC document
February 03, 2020 Filed Feb 5, 2020 16:20 UTC	Aevi Genomic Medicine, LLC GNMX · Entity 148532	Disposition to issuerCommon Stock	27,000	Not disclosed	Not disclosed	Disclosure SEC source: 0001192482-20-000119 · edgar.xml · nonDerivative · entry 2 GRANO JOSEPH J JR · CIK 0001304755 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By wife Disclosed balance after: 0 F1 · price: Disposed of as a result of the merger pursuant to the previously announced Agreement and Plan of Merger and Reorganization by and among Cerecor Inc. ("Cerecor"), Genie Merger Sub, Inc., Second Genie Merger Sub, LLC and issuer (the "Merger"). At the effective time of the Merger, holders of issuer common stock received (A) the fraction of a share of Cerecor common stock equal to the exchange ratio of 0.0334 (B) one contingent value right, which represents the right to receive contingent payments upon the achievement of certain milestones and (C) cash in lieu of any fractional shares of Cerecor common stock. Read SEC document
February 03, 2020 Filed Feb 5, 2020 16:20 UTC	Aevi Genomic Medicine, LLC GNMX · Entity 148532	Disposition to issuerCommon Stock	75,683	Not disclosed	Not disclosed	Disclosure SEC source: 0001192482-20-000119 · edgar.xml · nonDerivative · entry 1 GRANO JOSEPH J JR · CIK 0001304755 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · price: Disposed of as a result of the merger pursuant to the previously announced Agreement and Plan of Merger and Reorganization by and among Cerecor Inc. ("Cerecor"), Genie Merger Sub, Inc., Second Genie Merger Sub, LLC and issuer (the "Merger"). At the effective time of the Merger, holders of issuer common stock received (A) the fraction of a share of Cerecor common stock equal to the exchange ratio of 0.0334 (B) one contingent value right, which represents the right to receive contingent payments upon the achievement of certain milestones and (C) cash in lieu of any fractional shares of Cerecor common stock. Read SEC document
November 07, 2018 Filed Nov 13, 2018 16:17 UTC	Aevi Genomic Medicine, LLC GNMX · Entity 148532	PurchaseCommon Stock	21,000	$1.15	$24,150.00	Disclosure SEC source: 0001192482-18-000474 · edgar.xml · nonDerivative · entry 3 GRANO JOSEPH J JR · CIK 0001304755 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By The Grano Children's Trust Robert Silver and Joseph C Grano Trustees Disclosed balance after: 56,780 F4 · balance_after: Includes 35,780 shares of common stock previously reported as held directly by the reporting person. Read SEC document
November 07, 2018 Filed Nov 13, 2018 16:17 UTC	Aevi Genomic Medicine, LLC GNMX · Entity 148532	PurchaseCommon Stock	21,000	$1.17	$24,570.00	Disclosure SEC source: 0001192482-18-000474 · edgar.xml · nonDerivative · entry 2 GRANO JOSEPH J JR · CIK 0001304755 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By wife Disclosed balance after: 27,000 F3 · balance_after: Includes 6,000 shares of common stock previously reported as held directly by the reporting person. Read SEC document
November 07, 2018 Filed Nov 13, 2018 16:17 UTC	Aevi Genomic Medicine, LLC GNMX · Entity 148532	PurchaseCommon Stock	26,000	$1.16	$30,212.00	Disclosure SEC source: 0001192482-18-000474 · edgar.xml · nonDerivative · entry 1 GRANO JOSEPH J JR · CIK 0001304755 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,683 F1 · price: The price reported in column 4 is a weighted average price. The shares were purchased in multiple transactions ranging from $1.15 to $1.17, inclusive. The reporting person undertakes to provide to 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 this footnote. F2 · balance_after: Total amount revised to reflect 7,000 shares of common stock incorrectly reported as owned by the reporting person. Read SEC document
June 14, 2018 Filed Jun 18, 2018 16:22 UTC	Aevi Genomic Medicine, LLC GNMX · Entity 148532	GrantStock Option (Right to Purchase) · Derivative	50,000	$0.00 Strike: $1.55	$0.00	Disclosure SEC source: 0001192482-18-000301 · edgar.xml · derivative · entry 1 GRANO JOSEPH J JR · CIK 0001304755 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Stock · 50,000 shares Expires 2028-04-17 F1 · date: The option award was granted on April 17, 2018 and was subject to forfeiture if stockholder approval of a proposed amendment to the Issuer's stock incentive plan to increase the number of shares reserved for issuance under the plan was not obtained. The Issuer's stockholders approved the amendment to the Issuer's stock incentive plan at the Issuer's annual meeting of stockholders on June 14, 2018. F2 · derivative.exercise_date: The option award vests and becomes exercisable as follows (rounded up to the nearest whole share of common stock): one-third on April 17, 2019, then in 24 equal monthly installments on the 17th day of each subsequent calendar month, subject to the reporting person's continued service with the issuer. Read SEC document
June 14, 2018 Filed Jul 18, 2018 16:26 UTC Amendment	Aevi Genomic Medicine, LLC GNMX · Entity 148532	GrantStock Option (Right to Purchase) · Derivative	50,000	$0.00 Strike: $1.55	$0.00	Disclosure SEC source: 0001192482-18-000348 · edgar.xml · derivative · entry 1 GRANO JOSEPH J JR · CIK 0001304755 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Stock · 50,000 shares Expires 2028-04-17 F1 · date: The option award was granted on April 17, 2018 and was subject to forfeiture if stockholder approval of a proposed amendment to the Issuer's stock incentive plan to increase the number of shares reserved for issuance under the plan was not obtained. The Issuer's stockholders approved the amendment to the Issuer's stock incentive plan at the Issuer's annual meeting of stockholders on June 14, 2018. F2 · derivative.exercise_date: This amendment is being filed to amend the vesting schedule of the option award. The entire option vests and becomes exercisable on April 17, 2019, subject to the reporting person's continued service with the Issuer. Read SEC document
October 17, 2017 Filed Oct 18, 2017 16:15 UTC	Aevi Genomic Medicine, LLC GNMX · Entity 148532	PurchaseWarrant (right to buy) · Derivative	7,061	$0.00 Strike: $2.84	$0.00	Disclosure SEC source: 0001144204-17-053026 · tv477165_4.xml · derivative · entry 3 GRANO JOSEPH J JR · CIK 0001304755 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,061 Underlying: Common Stock · 7,061 shares Expires 2022-10-17 Read SEC document
October 17, 2017 Filed Oct 18, 2017 16:15 UTC	Aevi Genomic Medicine, LLC GNMX · Entity 148532	PurchaseCommon Stock	39,683	$1.26	$50,000.58	Disclosure SEC source: 0001144204-17-053026 · tv477165_4.xml · nonDerivative · entry 1 GRANO JOSEPH J JR · CIK 0001304755 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 98,463 Read SEC document
June 22, 2017 Filed Aug 10, 2017 21:28 UTC	Aevi Genomic Medicine, LLC GNMX · Entity 148532	GrantOption Award (right to buy) · Derivative	20,000	$0.00 Strike: $1.32	$0.00	Disclosure SEC source: 0001144204-17-042179 · v473003_form4.xml · derivative · entry 1 GRANO JOSEPH J JR · CIK 0001304755 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2027-06-22 Read SEC document
January 25, 2017 Filed Jan 27, 2017 18:38 UTC	root9B Holdings, Inc. RTNB · Entity 173596	PurchaseCommon Stock Purchase Warrant · Derivative	10,416	$12.00 Strike: $12.00	$124,992.00	Disclosure SEC source: 0001354488-17-000174 · issuerdirect_section16.xml · derivative · entry 2 GRANO JOSEPH J JR · CIK 0001304755 · Director · CEO and Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,416 Underlying: Common Stock · 10,416 shares Expires 2020-01-25 F3 · security: A description of the material terms of the warrants can be found in the Company?s Current Report on Form 8-K filed with the SEC on January 26, 2017. F2 · shares: Mr. Grano may not be issued shares of Common Stock if, after giving effect to the conversion or exercise, as applicable, Mr. Grano, together with his affiliates, would beneficially own in excess of 9.99% of the then outstanding shares of Common Stock. F2 · derivative.underlying_shares: Mr. Grano may not be issued shares of Common Stock if, after giving effect to the conversion or exercise, as applicable, Mr. Grano, together with his affiliates, would beneficially own in excess of 9.99% of the then outstanding shares of Common Stock. F2 · balance_after: Mr. Grano may not be issued shares of Common Stock if, after giving effect to the conversion or exercise, as applicable, Mr. Grano, together with his affiliates, would beneficially own in excess of 9.99% of the then outstanding shares of Common Stock. Read SEC document
January 25, 2017 Filed Jan 27, 2017 18:38 UTC	root9B Holdings, Inc. RTNB · Entity 173596	PurchaseConvertible Promissory Note · Derivative	20,833	$12.00 Strike: $12.00	$249,996.00	Disclosure SEC source: 0001354488-17-000174 · issuerdirect_section16.xml · derivative · entry 1 GRANO JOSEPH J JR · CIK 0001304755 · Director · CEO and Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,833 Underlying: Common Stock · 20,833 shares Expires 2020-01-25 F1 · derivative.exercise_price: In consideration of Mr. Grano?s purchase of a convertible promissory note, root9B Holdings, Inc. (the ?Company?) issued to Mr. Grano a Convertible Promissory Note in the principal amount of $250,000 (the ?Note?). The Note accrues interest at a rate of 10.00% per annum. At the option of Mr. Grano, at any time on or after July 25, 2017 and subject to the conditions described in footnote 2 to this Form 4, any and all amounts of outstanding principal and accrued interest under the Note may be converted into shares of the Company?s common stock ( ?Common Stock?), at a conversion price per share of (i) for any principal amount, $12.00 and (ii) for any amount of interest accrued, 85% of the five (5) day volume weighted average price per share of Common Stock, but in no event less than $12.00. A description of the material terms of the Note can be found in the Company?s Current Report on Form 8-K filed with the Securities and Exchange Commission (?SEC?) on January 26, 2017. F1 · shares: In consideration of Mr. Grano?s purchase of a convertible promissory note, root9B Holdings, Inc. (the ?Company?) issued to Mr. Grano a Convertible Promissory Note in the principal amount of $250,000 (the ?Note?). The Note accrues interest at a rate of 10.00% per annum. At the option of Mr. Grano, at any time on or after July 25, 2017 and subject to the conditions described in footnote 2 to this Form 4, any and all amounts of outstanding principal and accrued interest under the Note may be converted into shares of the Company?s common stock ( ?Common Stock?), at a conversion price per share of (i) for any principal amount, $12.00 and (ii) for any amount of interest accrued, 85% of the five (5) day volume weighted average price per share of Common Stock, but in no event less than $12.00. A description of the material terms of the Note can be found in the Company?s Current Report on Form 8-K filed with the Securities and Exchange Commission (?SEC?) on January 26, 2017. F2 · shares: Mr. Grano may not be issued shares of Common Stock if, after giving effect to the conversion or exercise, as applicable, Mr. Grano, together with his affiliates, would beneficially own in excess of 9.99% of the then outstanding shares of Common Stock. F1 · price: In consideration of Mr. Grano?s purchase of a convertible promissory note, root9B Holdings, Inc. (the ?Company?) issued to Mr. Grano a Convertible Promissory Note in the principal amount of $250,000 (the ?Note?). The Note accrues interest at a rate of 10.00% per annum. At the option of Mr. Grano, at any time on or after July 25, 2017 and subject to the conditions described in footnote 2 to this Form 4, any and all amounts of outstanding principal and accrued interest under the Note may be converted into shares of the Company?s common stock ( ?Common Stock?), at a conversion price per share of (i) for any principal amount, $12.00 and (ii) for any amount of interest accrued, 85% of the five (5) day volume weighted average price per share of Common Stock, but in no event less than $12.00. A description of the material terms of the Note can be found in the Company?s Current Report on Form 8-K filed with the Securities and Exchange Commission (?SEC?) on January 26, 2017. F1 · derivative.underlying_shares: In consideration of Mr. Grano?s purchase of a convertible promissory note, root9B Holdings, Inc. (the ?Company?) issued to Mr. Grano a Convertible Promissory Note in the principal amount of $250,000 (the ?Note?). The Note accrues interest at a rate of 10.00% per annum. At the option of Mr. Grano, at any time on or after July 25, 2017 and subject to the conditions described in footnote 2 to this Form 4, any and all amounts of outstanding principal and accrued interest under the Note may be converted into shares of the Company?s common stock ( ?Common Stock?), at a conversion price per share of (i) for any principal amount, $12.00 and (ii) for any amount of interest accrued, 85% of the five (5) day volume weighted average price per share of Common Stock, but in no event less than $12.00. A description of the material terms of the Note can be found in the Company?s Current Report on Form 8-K filed with the Securities and Exchange Commission (?SEC?) on January 26, 2017. F2 · derivative.underlying_shares: Mr. Grano may not be issued shares of Common Stock if, after giving effect to the conversion or exercise, as applicable, Mr. Grano, together with his affiliates, would beneficially own in excess of 9.99% of the then outstanding shares of Common Stock. F1 · balance_after: In consideration of Mr. Grano?s purchase of a convertible promissory note, root9B Holdings, Inc. (the ?Company?) issued to Mr. Grano a Convertible Promissory Note in the principal amount of $250,000 (the ?Note?). The Note accrues interest at a rate of 10.00% per annum. At the option of Mr. Grano, at any time on or after July 25, 2017 and subject to the conditions described in footnote 2 to this Form 4, any and all amounts of outstanding principal and accrued interest under the Note may be converted into shares of the Company?s common stock ( ?Common Stock?), at a conversion price per share of (i) for any principal amount, $12.00 and (ii) for any amount of interest accrued, 85% of the five (5) day volume weighted average price per share of Common Stock, but in no event less than $12.00. A description of the material terms of the Note can be found in the Company?s Current Report on Form 8-K filed with the Securities and Exchange Commission (?SEC?) on January 26, 2017. F2 · balance_after: Mr. Grano may not be issued shares of Common Stock if, after giving effect to the conversion or exercise, as applicable, Mr. Grano, together with his affiliates, would beneficially own in excess of 9.99% of the then outstanding shares of Common Stock. Read SEC document
December 08, 2016 Filed Dec 12, 2016 17:22 UTC	Aevi Genomic Medicine, LLC MDGN · Entity 148532	PurchaseCommon Stock	3,000	$5.27	$15,798.00	Disclosure SEC source: 0001192482-16-000773 · edgar.xml · nonDerivative · entry 1 GRANO JOSEPH J JR · CIK 0001304755 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,780 F1 · price: The price reported represents the weighted average purchase price of the shares purchased. The shares were purchased at varying prices in the range of $5.265 to $5.27. The Reporting Person hereby undertakes, upon request of the Staff of the U.S. Securities Exchange Commission, the Issuer or a security holder of the Issuer, to provide full information regarding the number of shares purchased at each separate price. Read SEC document
November 14, 2016 Filed Nov 16, 2016 21:30 UTC	root9B Holdings, Inc. RTNB · Entity 173596	GrantOptions (right to buy) · Derivative	528,789	Not disclosed Strike: $0.76	Not disclosed	Disclosure SEC source: 0001354488-16-008530 · issuerdirect_section16.xml · derivative · entry 2 GRANO JOSEPH J JR · CIK 0001304755 · Director · CEO and Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 528,789 Underlying: Common Stock · 528,789 shares Expires 2017-12-31 F2 · kind: In connection with the cancellation and rescission of the outstanding portions of the Prior Award, Mr. Grano received a replacement award made under the Company?s 2008 Stock Incentive Plan (the ?Replacement Award?). The Replacement Award reflects the outstanding portion of the Prior Award, less Mr. Grano?s voluntarily forfeiture of 508,053 options. The Replacement Award is fully vested and immediately exercisable. F2 · price: In connection with the cancellation and rescission of the outstanding portions of the Prior Award, Mr. Grano received a replacement award made under the Company?s 2008 Stock Incentive Plan (the ?Replacement Award?). The Replacement Award reflects the outstanding portion of the Prior Award, less Mr. Grano?s voluntarily forfeiture of 508,053 options. The Replacement Award is fully vested and immediately exercisable. Read SEC document
November 14, 2016 Filed Nov 16, 2016 21:30 UTC	root9B Holdings, Inc. RTNB · Entity 173596	Disposition to issuerOptions (right to buy) · Derivative	1,036,842	Not disclosed Strike: $0.76	Not disclosed	Disclosure SEC source: 0001354488-16-008530 · issuerdirect_section16.xml · derivative · entry 1 GRANO JOSEPH J JR · CIK 0001304755 · Director · CEO and Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · . Disclosed balance after: 0 Underlying: Common Stock · 1,036,842 shares Expires 2017-12-31 F1 · kind: The outstanding options to purchase the Company?s common stock pursuant to a grant made to Centurion Holdings, LLC under the Company?s 2008 Stock Incentive Plan on December 31, 2012 (the ?Prior Award?) were cancelled and rescinded. Mr. Grano received a partial replacement award of options, which is described in footnote 2. F1 · price: The outstanding options to purchase the Company?s common stock pursuant to a grant made to Centurion Holdings, LLC under the Company?s 2008 Stock Incentive Plan on December 31, 2012 (the ?Prior Award?) were cancelled and rescinded. Mr. Grano received a partial replacement award of options, which is described in footnote 2. F1 · ownership.direct: The outstanding options to purchase the Company?s common stock pursuant to a grant made to Centurion Holdings, LLC under the Company?s 2008 Stock Incentive Plan on December 31, 2012 (the ?Prior Award?) were cancelled and rescinded. Mr. Grano received a partial replacement award of options, which is described in footnote 2. F1 · ownership.nature: The outstanding options to purchase the Company?s common stock pursuant to a grant made to Centurion Holdings, LLC under the Company?s 2008 Stock Incentive Plan on December 31, 2012 (the ?Prior Award?) were cancelled and rescinded. Mr. Grano received a partial replacement award of options, which is described in footnote 2. 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.