Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Alkermes plc.ALKS · Entity 2392 | SVP, Alks Inc; CFO ALKS | May 14, 2020 | May 14, 2020 |
| Amylyx Pharmaceuticals, Inc.AMLX · Entity 259 | Chief Financial Officer | September 10, 2026 | September 14, 2026 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Alkermes plc.
Report date May 14, 2020 · Filed May 14, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Ordinary SharesSEC Table I · non-derivative | Direct | 91,828 |
Reported balance
After 2020-05-14 transaction · row 1
1 source rowRow 1 · 2020-05-14 · Exercise / conversion · Acquired 21,983 · Balance 91,828 |
| Employee Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $11.74 · Expires 2020-05-17 | Direct | 0 |
Reported balance
After 2020-05-14 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2020-05-14 · Exercise / conversion · Disposed 21,983 · Balance 0 F3: These options are fully vested in accordance with their terms. |
| Ordinary SharesSEC Table I · non-derivative | IndirectBy 2018 GRAT No. 2 | 1,669 |
Reported balance
Holding disclosure · report date 2020-05-14 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 1,669 F1: Shares held by James M. Frates 2018 Grantor Retained Annuity Trust No. 2 dated May 25, 2018 (the "2018 GRAT No. 2"). The Reporting Person is a trustee and beneficiary of the 2018 GRAT No. 2 and may be deemed to hold voting and dispositive power with regard to the reported shares held by the 2018 GRAT No. 2. |
| Ordinary SharesSEC Table I · non-derivative | IndirectBy 2019 GRAT No. 1 | 150,000 |
Reported balance
Holding disclosure · report date 2020-05-14 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 150,000 F2: Shares held by the 2019 GRAT No. 1. The Reporting Person is a trustee and beneficiary of the 2019 GRAT No. 1 and may be deemed to hold voting and dispositive power with regard to the reported shares held by the 2019 GRAT No. 1. |
| Ordinary SharesSEC Table I · non-derivative | IndirectBy Sons | 4,000 |
Reported balance
Holding disclosure · report date 2020-05-14 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 4,000 |
Filing footnotes · ownership attribution and instrument terms
F1: Shares held by James M. Frates 2018 Grantor Retained Annuity Trust No. 2 dated May 25, 2018 (the "2018 GRAT No. 2"). The Reporting Person is a trustee and beneficiary of the 2018 GRAT No. 2 and may be deemed to hold voting and dispositive power with regard to the reported shares held by the 2018 GRAT No. 2.
F2: Shares held by the 2019 GRAT No. 1. The Reporting Person is a trustee and beneficiary of the 2019 GRAT No. 1 and may be deemed to hold voting and dispositive power with regard to the reported shares held by the 2019 GRAT No. 1.
F3: These options are fully vested in accordance with their terms.
Amylyx Pharmaceuticals, Inc.
Report date September 10, 2026 · Filed September 14, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 233,625 |
Ending reported balance
After 2026-09-10 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2026-09-10 · Sale · Disposed 9,768 · Balance 234,667 F1: Represents shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of performance stock units. Such sales were automatic and not at the discretion of the Reporting Person. F2: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $31.805 to $32.71. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request. Row 2 · 2026-09-10 · Sale · Disposed 1,042 · Balance 233,625 F1: Represents shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of performance stock units. Such sales were automatic and not at the discretion of the Reporting Person. F3: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $32.84 to $33.45. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request. |
| Common StockSEC Table I · non-derivative | IndirectBy Trust | 100,000 |
Reported balance
Holding disclosure · report date 2026-09-10 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 100,000 F4: Shares held by the JAMES M. FRATES 2025 GRAT NO 1 U/A DTD 12/12/2025, for which the Reporting Person serves as trustee and is the sole annuitant. The Reporting Person disclaims beneficial ownership of such shares for purposes of Section 16 except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that such shares are beneficially owned by him for Section 16 or any other purpose. |
| Common StockSEC Table I · non-derivative | IndirectBy Trust | 15,459 |
Reported balance
Holding disclosure · report date 2026-09-10 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 15,459 F5: Shares held by the James M. Frates 2024 Grantor Retained Annuity Trust No. 1, for which the Reporting Person serves as trustee and is the sole annuitant. The Reporting Person disclaims beneficial ownership of such shares for purposes of Section 16 except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that such shares are beneficially owned by him for Section 16 or any other purpose. |
| Common StockSEC Table I · non-derivative | IndirectBy Trust | 11,072 |
Reported balance
Holding disclosure · report date 2026-09-10 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 11,072 F6: Shares held by the FRATES FAMILY 2013 IRREV TRUST, for which the Reporting Person serves as trustee. The Reporting Person disclaims beneficial ownership of such shares for purposes of Section 16 except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that such shares are beneficially owned by him for Section 16 or any other purpose. |
| Common StockSEC Table I · non-derivative | IndirectBy Trust | 40,000 |
Reported balance
Holding disclosure · report date 2026-09-10 · row 6
Holding and transaction disclosures are not merged.
1 source rowRow 6 · Balance 40,000 F7: Shares held by the JAMES M. FRATES 2026 GRANTOR RETAINED ANNUITY TRUST NO. 1, for which the Reporting Person serves as trustee and is the sole annuitant. The Reporting Person disclaims beneficial ownership of such shares for purposes of Section 16 except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that such shares are beneficially owned by him for Section 16 or any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of performance stock units. Such sales were automatic and not at the discretion of the Reporting Person.
F2: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $31.805 to $32.71. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request.
F3: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $32.84 to $33.45. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request.
F4: Shares held by the JAMES M. FRATES 2025 GRAT NO 1 U/A DTD 12/12/2025, for which the Reporting Person serves as trustee and is the sole annuitant. The Reporting Person disclaims beneficial ownership of such shares for purposes of Section 16 except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that such shares are beneficially owned by him for Section 16 or any other purpose.
F5: Shares held by the James M. Frates 2024 Grantor Retained Annuity Trust No. 1, for which the Reporting Person serves as trustee and is the sole annuitant. The Reporting Person disclaims beneficial ownership of such shares for purposes of Section 16 except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that such shares are beneficially owned by him for Section 16 or any other purpose.
F6: Shares held by the FRATES FAMILY 2013 IRREV TRUST, for which the Reporting Person serves as trustee. The Reporting Person disclaims beneficial ownership of such shares for purposes of Section 16 except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that such shares are beneficially owned by him for Section 16 or any other purpose.
F7: Shares held by the JAMES M. FRATES 2026 GRANTOR RETAINED ANNUITY TRUST NO. 1, for which the Reporting Person serves as trustee and is the sole annuitant. The Reporting Person disclaims beneficial ownership of such shares for purposes of Section 16 except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that such shares are beneficially owned by him for Section 16 or any other purpose.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Sage Therapeutics, Inc.
Report date July 31, 2025 · Filed July 31, 2025
Section 16 reporting ended · disclosed 2025-07-31. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2025-07-31 transaction · row 1
1 source rowRow 1 · 2025-07-31 · Other · Disposed 2,845 · Balance 0 F1: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of June 13, 2025, among Sage Therapeutics, Inc. (the "Issuer"), Supernus Pharmaceuticals, Inc. ("Parent"), and Saphire, Inc., a wholly owned subsidiary of Parent ("Purchaser"), pursuant to which Purchaser completed a cash tender offer for shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer, effective as of July 31, 2025 (the effective time of the merger, the "Effective Time"). At the Effective Time, each issued and outstanding Share was cancelled and converted into the right to receive (i) $8.50 per Share in cash (the "Closing Amount"), plus (ii) one contingent value right ("CVR") per Share, each without interest and subject to the withholding of applicable taxes. F2: (Continued from footnote 1) Each CVR represents the right to receive up to $3.50 per Share in cash upon the satisfaction of specified milestones, as described in the Form 8-K filed by the Issuer with the Securities and Exchange Commission on June 16, 2025. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $6.14 · Expires 2035-01-03 | Direct | 0 |
Reported balance
After 2025-07-31 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2025-07-31 · Disposition to issuer · Disposed 19,154 · Balance 0 F3: Pursuant to the Merger Agreement, at the Effective Time, each option to purchase Shares (a "Company Option") then outstanding and unexercised, whether or not vested, which had a per Share exercise price less than the Closing Amount was deemed fully vested and cancelled and converted into the right to receive (i) a cash payment (without interest and subject to the withholding of applicable taxes) equal to the product of (a) the excess of the Closing Amount over the per Share exercise price of such Company Option, multiplied by (b) the total number of Shares subject to such Company Option immediately prior to the Effective Time, plus (ii) one CVR for each Share subject to such Company Option immediately prior to the Effective Time. Each Company Option, whether or not vested, which had a per Share exercise price greater than or equal to the Closing Amount was cancelled with no consideration payable in respect thereof. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $6.77 · Expires 2035-06-10 | Direct | 0 |
Reported balance
After 2025-07-31 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2025-07-31 · Disposition to issuer · Disposed 21,500 · Balance 0 F3: Pursuant to the Merger Agreement, at the Effective Time, each option to purchase Shares (a "Company Option") then outstanding and unexercised, whether or not vested, which had a per Share exercise price less than the Closing Amount was deemed fully vested and cancelled and converted into the right to receive (i) a cash payment (without interest and subject to the withholding of applicable taxes) equal to the product of (a) the excess of the Closing Amount over the per Share exercise price of such Company Option, multiplied by (b) the total number of Shares subject to such Company Option immediately prior to the Effective Time, plus (ii) one CVR for each Share subject to such Company Option immediately prior to the Effective Time. Each Company Option, whether or not vested, which had a per Share exercise price greater than or equal to the Closing Amount was cancelled with no consideration payable in respect thereof. |
Filing footnotes · ownership attribution and instrument terms
F1: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of June 13, 2025, among Sage Therapeutics, Inc. (the "Issuer"), Supernus Pharmaceuticals, Inc. ("Parent"), and Saphire, Inc., a wholly owned subsidiary of Parent ("Purchaser"), pursuant to which Purchaser completed a cash tender offer for shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer, effective as of July 31, 2025 (the effective time of the merger, the "Effective Time"). At the Effective Time, each issued and outstanding Share was cancelled and converted into the right to receive (i) $8.50 per Share in cash (the "Closing Amount"), plus (ii) one contingent value right ("CVR") per Share, each without interest and subject to the withholding of applicable taxes.
F2: (Continued from footnote 1) Each CVR represents the right to receive up to $3.50 per Share in cash upon the satisfaction of specified milestones, as described in the Form 8-K filed by the Issuer with the Securities and Exchange Commission on June 16, 2025.
F3: Pursuant to the Merger Agreement, at the Effective Time, each option to purchase Shares (a "Company Option") then outstanding and unexercised, whether or not vested, which had a per Share exercise price less than the Closing Amount was deemed fully vested and cancelled and converted into the right to receive (i) a cash payment (without interest and subject to the withholding of applicable taxes) equal to the product of (a) the excess of the Closing Amount over the per Share exercise price of such Company Option, multiplied by (b) the total number of Shares subject to such Company Option immediately prior to the Effective Time, plus (ii) one CVR for each Share subject to such Company Option immediately prior to the Effective Time. Each Company Option, whether or not vested, which had a per Share exercise price greater than or equal to the Closing Amount was cancelled with no consideration payable in respect thereof.
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 |
|---|---|---|---|---|---|---|
| September 10, 2026 Filed Sep 14, 2026 20:00 UTC | Amylyx Pharmaceuticals, Inc. AMLX · Entity 259 | SaleCommon Stock | 1,042 | $33.23 | $34,625.87 |
DisclosureSEC source: 0001193125-26-390509 · ownership.xml · nonDerivative · entry 2 FRATES JAMES M · CIK 0001235598 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 233,625 F1 · kind: Represents shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of performance stock units. Such sales were automatic and not at the discretion of the Reporting Person. F3 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $32.84 to $33.45. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request. Read SEC document |
| September 10, 2026 Filed Sep 14, 2026 20:00 UTC | Amylyx Pharmaceuticals, Inc. AMLX · Entity 259 | SaleCommon Stock | 9,768 | $32.27 | $315,194.80 |
DisclosureSEC source: 0001193125-26-390509 · ownership.xml · nonDerivative · entry 1 FRATES JAMES M · CIK 0001235598 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 234,667 F1 · kind: Represents shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of performance stock units. Such sales were automatic and not at the discretion of the Reporting Person. F2 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $31.805 to $32.71. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request. Read SEC document |
| August 18, 2026 Filed Aug 21, 2026 01:00 UTC | Amylyx Pharmaceuticals, Inc. AMLX · Entity 259 | GrantCommon Stock | 22,807 | $0.00 | $0.00 |
DisclosureSEC source: 0001193125-26-359679 · ownership.xml · nonDerivative · entry 1 FRATES JAMES M · CIK 0001235598 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 244,435 F1 · shares: The reported shares are represented by performance share units, or PSUs, and were awarded upon the achievement of certain performance metrics. Shares subject to the PSU vested on August 18, 2026. Read SEC document |
| March 05, 2026 Filed Mar 9, 2026 20:00 UTC | Amylyx Pharmaceuticals, Inc. AMLX · Entity 259 | GrantStock Option (right to buy) · Derivative | 143,985 | $0.00 Strike: $14.10 | $0.00 |
DisclosureSEC source: 0001193125-26-098438 · ownership.xml · derivative · entry 5 FRATES JAMES M · CIK 0001235598 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 143,985 Underlying: Common Stock · 143,985 shares Expires 2036-03-05 F5 · derivative.exercise_date: 25% of the shares subject to the option shall vest and become exercisable on March 1, 2027, and the remaining shares shall vest monthly over the remaining 36 months, subject to the Reporting Person's continuous service to the Issuer through each such vesting date. Read SEC document |
| March 05, 2026 Filed Mar 9, 2026 20:00 UTC | Amylyx Pharmaceuticals, Inc. AMLX · Entity 259 | GrantCommon Stock | 95,990 | $0.00 | $0.00 |
DisclosureSEC source: 0001193125-26-098438 · ownership.xml · nonDerivative · entry 1 FRATES JAMES M · CIK 0001235598 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 261,628 F1 · shares: The reported transaction involves the Reporting Person's receipt of a restricted stock unit ("RSU") award. The RSUs shall vest in 4 equal annual installments, with the first installment vesting on March 1, 2027, subject to the Reporting Person's continued service to the Issuer through each such vesting date. Read SEC document |
| March 02, 2026 Filed Mar 4, 2026 21:00 UTC | Amylyx Pharmaceuticals, Inc. AMLX · Entity 259 | SaleCommon Stock | 7,909 | $14.52 | $114,851.33 |
DisclosureSEC source: 0001193125-26-091438 · ownership.xml · nonDerivative · entry 1 FRATES JAMES M · CIK 0001235598 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 165,638 F1 · kind: Represents shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock units. Such sales were automatic and not at the discretion of the Reporting Person. F1 · shares: Represents shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock units. Such sales were automatic and not at the discretion of the Reporting Person. F2 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $14.450 to $15.385. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request. Read SEC document |
| February 02, 2026 Filed Feb 4, 2026 21:05 UTC | Amylyx Pharmaceuticals, Inc. AMLX · Entity 259 | SaleCommon Stock | 3,557 | $14.65 | $52,096.89 |
DisclosureSEC source: 0001193125-26-037553 · ownership.xml · nonDerivative · entry 1 FRATES JAMES M · CIK 0001235598 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 173,547 F1 · kind: Represents shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock units. Such sales were automatic and not at the discretion of the Reporting Person. F1 · shares: Represents shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock units. Such sales were automatic and not at the discretion of the Reporting Person. F2 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $14.460 to $14.790. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request. Read SEC document |
| January 06, 2026 Filed Jan 8, 2026 21:05 UTC | Amylyx Pharmaceuticals, Inc. AMLX · Entity 259 | SaleCommon Stock | 3,326 | $11.11 | $36,953.86 |
DisclosureSEC source: 0001193125-26-007669 · ownership.xml · nonDerivative · entry 1 FRATES JAMES M · CIK 0001235598 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 177,104 F1 · kind: Represents shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock units. Such sales were automatic and not at the discretion of the Reporting Person. F1 · shares: Represents shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock units. Such sales were automatic and not at the discretion of the Reporting Person. F2 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $10.99 to $11.16. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request. Read SEC document |
| September 30, 2025 Filed Oct 2, 2025 20:15 UTC | Amylyx Pharmaceuticals, Inc. AMLX · Entity 259 | SaleCommon Stock | 10,558 | $14.65 | $154,650.42 |
DisclosureSEC source: 0001193125-25-228341 · ownership.xml · nonDerivative · entry 1 FRATES JAMES M · CIK 0001235598 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 280,430 F1 · kind: Represents shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock units. Such sales were automatic and not at the discretion of the Reporting Person. F1 · shares: Represents shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock units. Such sales were automatic and not at the discretion of the Reporting Person. F2 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $14.35 to $15.075. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request. Read SEC document |
| July 31, 2025 Filed Jul 31, 2025 15:28 UTC | Sage Therapeutics, Inc. SAGE · Entity 77038 | Disposition to issuerStock Option (Right to Buy) · Derivative | 21,500 | Not disclosed Strike: $6.77 | Not disclosed |
DisclosureSEC source: 0000950170-25-100653 · ownership.xml · derivative · entry 3 FRATES JAMES M · CIK 0001235598 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 21,500 shares Expires 2035-06-10 F3 · price: Pursuant to the Merger Agreement, at the Effective Time, each option to purchase Shares (a "Company Option") then outstanding and unexercised, whether or not vested, which had a per Share exercise price less than the Closing Amount was deemed fully vested and cancelled and converted into the right to receive (i) a cash payment (without interest and subject to the withholding of applicable taxes) equal to the product of (a) the excess of the Closing Amount over the per Share exercise price of such Company Option, multiplied by (b) the total number of Shares subject to such Company Option immediately prior to the Effective Time, plus (ii) one CVR for each Share subject to such Company Option immediately prior to the Effective Time. Each Company Option, whether or not vested, which had a per Share exercise price greater than or equal to the Closing Amount was cancelled with no consideration payable in respect thereof. F3 · derivative.exercise_date: Pursuant to the Merger Agreement, at the Effective Time, each option to purchase Shares (a "Company Option") then outstanding and unexercised, whether or not vested, which had a per Share exercise price less than the Closing Amount was deemed fully vested and cancelled and converted into the right to receive (i) a cash payment (without interest and subject to the withholding of applicable taxes) equal to the product of (a) the excess of the Closing Amount over the per Share exercise price of such Company Option, multiplied by (b) the total number of Shares subject to such Company Option immediately prior to the Effective Time, plus (ii) one CVR for each Share subject to such Company Option immediately prior to the Effective Time. Each Company Option, whether or not vested, which had a per Share exercise price greater than or equal to the Closing Amount was cancelled with no consideration payable in respect thereof. Read SEC document |
| July 31, 2025 Filed Jul 31, 2025 15:28 UTC | Sage Therapeutics, Inc. SAGE · Entity 77038 | Disposition to issuerStock Option (Right to Buy) · Derivative | 19,154 | Not disclosed Strike: $6.14 | Not disclosed |
DisclosureSEC source: 0000950170-25-100653 · ownership.xml · derivative · entry 2 FRATES JAMES M · CIK 0001235598 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 19,154 shares Expires 2035-01-03 F3 · price: Pursuant to the Merger Agreement, at the Effective Time, each option to purchase Shares (a "Company Option") then outstanding and unexercised, whether or not vested, which had a per Share exercise price less than the Closing Amount was deemed fully vested and cancelled and converted into the right to receive (i) a cash payment (without interest and subject to the withholding of applicable taxes) equal to the product of (a) the excess of the Closing Amount over the per Share exercise price of such Company Option, multiplied by (b) the total number of Shares subject to such Company Option immediately prior to the Effective Time, plus (ii) one CVR for each Share subject to such Company Option immediately prior to the Effective Time. Each Company Option, whether or not vested, which had a per Share exercise price greater than or equal to the Closing Amount was cancelled with no consideration payable in respect thereof. F3 · derivative.exercise_date: Pursuant to the Merger Agreement, at the Effective Time, each option to purchase Shares (a "Company Option") then outstanding and unexercised, whether or not vested, which had a per Share exercise price less than the Closing Amount was deemed fully vested and cancelled and converted into the right to receive (i) a cash payment (without interest and subject to the withholding of applicable taxes) equal to the product of (a) the excess of the Closing Amount over the per Share exercise price of such Company Option, multiplied by (b) the total number of Shares subject to such Company Option immediately prior to the Effective Time, plus (ii) one CVR for each Share subject to such Company Option immediately prior to the Effective Time. Each Company Option, whether or not vested, which had a per Share exercise price greater than or equal to the Closing Amount was cancelled with no consideration payable in respect thereof. Read SEC document |
| July 31, 2025 Filed Jul 31, 2025 15:28 UTC | Sage Therapeutics, Inc. SAGE · Entity 77038 | OtherCommon Stock | 2,845 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000950170-25-100653 · ownership.xml · nonDerivative · entry 1 FRATES JAMES M · CIK 0001235598 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 F1 · kind: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of June 13, 2025, among Sage Therapeutics, Inc. (the "Issuer"), Supernus Pharmaceuticals, Inc. ("Parent"), and Saphire, Inc., a wholly owned subsidiary of Parent ("Purchaser"), pursuant to which Purchaser completed a cash tender offer for shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer, effective as of July 31, 2025 (the effective time of the merger, the "Effective Time"). At the Effective Time, each issued and outstanding Share was cancelled and converted into the right to receive (i) $8.50 per Share in cash (the "Closing Amount"), plus (ii) one contingent value right ("CVR") per Share, each without interest and subject to the withholding of applicable taxes. F2 · kind: (Continued from footnote 1) Each CVR represents the right to receive up to $3.50 per Share in cash upon the satisfaction of specified milestones, as described in the Form 8-K filed by the Issuer with the Securities and Exchange Commission on June 16, 2025. F1 · price: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of June 13, 2025, among Sage Therapeutics, Inc. (the "Issuer"), Supernus Pharmaceuticals, Inc. ("Parent"), and Saphire, Inc., a wholly owned subsidiary of Parent ("Purchaser"), pursuant to which Purchaser completed a cash tender offer for shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer, effective as of July 31, 2025 (the effective time of the merger, the "Effective Time"). At the Effective Time, each issued and outstanding Share was cancelled and converted into the right to receive (i) $8.50 per Share in cash (the "Closing Amount"), plus (ii) one contingent value right ("CVR") per Share, each without interest and subject to the withholding of applicable taxes. F2 · price: (Continued from footnote 1) Each CVR represents the right to receive up to $3.50 per Share in cash upon the satisfaction of specified milestones, as described in the Form 8-K filed by the Issuer with the Securities and Exchange Commission on June 16, 2025. Read SEC document |
| June 11, 2025 Filed Jun 13, 2025 20:13 UTC | Sage Therapeutics, Inc. SAGE · Entity 77038 | GrantStock Option (Right to Buy) · Derivative | 21,500 | $0.00 Strike: $6.77 | $0.00 |
DisclosureSEC source: 0001562180-25-004791 · primarydocument.xml · derivative · entry 1 FRATES JAMES M · CIK 0001235598 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 21,500 Underlying: Common Stock · 21,500 shares Expires 2035-06-11 F1 · derivative.exercise_date: The stock option award was issued pursuant to the Sage Therapeutics, Inc. 2024 Equity Incentive Plan in accordance with Sage's Non-Employee Director Compensation Program. The option will vest in full upon the earlier to occur of June 11, 2026 or the day immediately prior to the 2026 Annual Meeting of Sage's stockholders, subject to continued service as a director on such date. Read SEC document |
| March 31, 2025 Filed Apr 2, 2025 21:22 UTC | Amylyx Pharmaceuticals, Inc. AMLX · Entity 259 | SaleCommon Stock | 10,896 | $3.47 | $37,805.85 |
DisclosureSEC source: 0000950170-25-049581 · ownership.xml · nonDerivative · entry 1 FRATES JAMES M · CIK 0001235598 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 290,988 F1 · kind: Represents shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock units. Such sales were automatic and not at the discretion of the Reporting Person. F1 · shares: Represents shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock units. Such sales were automatic and not at the discretion of the Reporting Person. F2 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $3.44 to $3.58. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request. Read SEC document |
| March 06, 2025 Filed Mar 11, 2025 00:28 UTC | Amylyx Pharmaceuticals, Inc. AMLX · Entity 259 | GrantStock Option (right to buy) · Derivative | 102,630 | $0.00 Strike: $3.61 | $0.00 |
DisclosureSEC source: 0000950170-25-036707 · ownership.xml · derivative · entry 4 FRATES JAMES M · CIK 0001235598 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 102,630 Underlying: Common Stock · 102,630 shares Expires 2035-03-05 F4 · derivative.exercise_date: 25% of the shares subject to the option shall vest and become exercisable on March 1, 2026, and the remaining shares shall vest monthly over the remaining 36 months, subject to the Reporting Person's continuous service to the Issuer through each such vesting date. Read SEC document |
| March 06, 2025 Filed Mar 11, 2025 00:28 UTC | Amylyx Pharmaceuticals, Inc. AMLX · Entity 259 | GrantCommon Stock | 68,420 | $0.00 | $0.00 |
DisclosureSEC source: 0000950170-25-036707 · ownership.xml · nonDerivative · entry 1 FRATES JAMES M · CIK 0001235598 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 301,884 F1 · shares: The reported transaction involves the Reporting Person's receipt of a restricted stock unit ("RSU") award. The RSUs shall vest in 4 equal annual installments, with the first installment vesting on March 1, 2026, subject to the Reporting Person's continued service to the Issuer through each such vesting date. Read SEC document |
| January 03, 2025 Filed Jan 6, 2025 21:02 UTC | Sage Therapeutics, Inc. SAGE · Entity 77038 | GrantStock Options (Right to buy) · Derivative | 19,154 | $0.00 Strike: $6.14 | $0.00 |
DisclosureSEC source: 0001562180-25-000163 · primarydocument.xml · derivative · entry 1 FRATES JAMES M · CIK 0001235598 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 19,154 Underlying: Common Stock · 19,154 shares Expires 2035-01-03 F1 · derivative.exercise_date: The reporting person elected to receive this stock option award in lieu of payment of all cash retainers that would otherwise be paid for the reporting person's service during 2025 on the issuer's board or its committees, as permitted under the issuer's non-employee director compensation program. The stock option is granted under and subject to the terms of the Sage Therapeutics, Inc. 2024 Equity Incentive Plan. The option will vest in full on December 31, 2025, subject to the reporting person's continued service through such date. Read SEC document |
| September 12, 2024 Filed Sep 16, 2024 21:30 UTC | Amylyx Pharmaceuticals, Inc. AMLX · Entity 259 | PurchaseCommon Stock | 40,000 | $2.53 | $101,368.00 |
DisclosureSEC source: 0000950170-24-106910 · ownership.xml · nonDerivative · entry 1 FRATES JAMES M · CIK 0001235598 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 233,464 F1 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $2.4849 to $2.63. Full information regarding the number of shares purchased at each separate price can be furnished to the SEC staff upon request. Read SEC document |
| June 10, 2024 Filed Jun 11, 2024 20:58 UTC | Sage Therapeutics, Inc. SAGE · Entity 77038 | GrantStock Option (Right to Buy) · Derivative | 12,500 | $0.00 Strike: $10.90 | $0.00 |
DisclosureSEC source: 0001562180-24-004950 · primarydocument.xml · derivative · entry 1 FRATES JAMES M · CIK 0001235598 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 12,500 Underlying: Common Stock · 12,500 shares Expires 2034-06-09 F1 · derivative.exercise_date: The stock option award was issued pursuant to the Sage Therapeutics, Inc. 2024 Equity Incentive Plan in accordance with Sage's Non-Employee Director Compensation Program. The option will vest in full upon the earlier to occur of June 10, 2025 or the day immediately prior to the 2025 Annual Meeting of Sage's stockholders, subject to continued service as a director on such date. Read SEC document |
| April 16, 2024 Filed Apr 19, 2024 00:23 UTC | Amylyx Pharmaceuticals, Inc. AMLX · Entity 259 | GrantStock Option (right to buy) · Derivative | 120,000 | $0.00 Strike: $2.01 | $0.00 |
DisclosureSEC source: 0000950170-24-045698 · ownership.xml · derivative · entry 4 FRATES JAMES M · CIK 0001235598 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 120,000 Underlying: Common Stock · 120,000 shares Expires 2034-04-15 F4 · derivative.exercise_date: 25% of the shares subject to the option shall vest and become exercisable on April 16, 2025, and the remaining shares shall vest monthly over the remaining 36 months, subject to the Reporting Person's continuous service to the Issuer through each such vesting date. Read SEC document |
| April 16, 2024 Filed Apr 19, 2024 00:23 UTC | Amylyx Pharmaceuticals, Inc. AMLX · Entity 259 | GrantCommon Stock | 91,180 | $0.00 | $0.00 |
DisclosureSEC source: 0000950170-24-045698 · ownership.xml · nonDerivative · entry 1 FRATES JAMES M · CIK 0001235598 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 225,964 F1 · shares: The reported transaction involves the Reporting Person's receipt of a restricted stock unit ("RSU") award. The RSUs shall vest as follows: 33% on September 30, 2024, 33% on March 31, 2025 and 34% on September 30, 2025, subject to the Reporting Person's continued service to the Issuer through each such vesting date. Read SEC document |
| March 05, 2024 Filed Mar 7, 2024 21:05 UTC | Amylyx Pharmaceuticals, Inc. AMLX · Entity 259 | SaleCommon Stock | 1,792 | $18.73 | $33,560.40 |
DisclosureSEC source: 0000950170-24-027918 · ownership.xml · nonDerivative · entry 1 FRATES JAMES M · CIK 0001235598 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 134,784 F1 · shares: Represents shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock units. Such sales were automatic and not at the discretion of the Reporting Person. F2 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $18.62 to $18.82. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request. Read SEC document |
| February 26, 2024 Filed Feb 28, 2024 23:44 UTC | Amylyx Pharmaceuticals, Inc. AMLX · Entity 259 | GrantStock Option (right to buy) · Derivative | 60,000 | $0.00 Strike: $17.56 | $0.00 |
DisclosureSEC source: 0000950170-24-022434 · ownership.xml · derivative · entry 3 FRATES JAMES M · CIK 0001235598 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 60,000 Underlying: Common Stock · 60,000 shares Expires 2034-02-25 F3 · derivative.exercise_date: 1/4 of the shares subject to the option shall vest and become exercisable on the first day of the month of the one year anniversary of the date of grant, and the remaining shares shall vest monthly over the remaining 36 months, subject to the Reporting Person's continuous service to the Issuer through such vesting date. Read SEC document |
| February 26, 2024 Filed Feb 28, 2024 23:44 UTC | Amylyx Pharmaceuticals, Inc. AMLX · Entity 259 | GrantCommon Stock | 40,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000950170-24-022434 · ownership.xml · nonDerivative · entry 1 FRATES JAMES M · CIK 0001235598 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 152,035 F1 · shares: The reported transaction involves the Reporting Person's receipt of a restricted stock unit ("RSU") award. The RSU shall vest in 4 equal annual installments, with the first installment vesting on the first day of the month of the one year anniversary of the date of grant, subject to the Reporting Person's continued service to the Issuer through such vesting date. Read SEC document |
| January 09, 2024 Filed Jan 11, 2024 22:11 UTC | Amylyx Pharmaceuticals, Inc. AMLX · Entity 259 | SaleCommon Stock | 2,716 | $16.33 | $44,347.12 |
DisclosureSEC source: 0000950170-24-003984 · ownership.xml · nonDerivative · entry 1 FRATES JAMES M · CIK 0001235598 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 112,035 F1 · kind: Represents shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock units. Such sales were automatic and not at the discretion of the Reporting Person. F1 · shares: Represents shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock units. Such sales were automatic and not at the discretion of the Reporting Person. F2 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $16.18 to $16.70. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request. Read SEC document |
| January 03, 2024 Filed Jan 4, 2024 21:07 UTC | Sage Therapeutics, Inc. SAGE · Entity 77038 | GrantStock Options (Right to buy) · Derivative | 4,925 | $0.00 Strike: $21.67 | $0.00 |
DisclosureSEC source: 0001562180-24-000226 · primarydocument.xml · derivative · entry 1 FRATES JAMES M · CIK 0001235598 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 4,925 Underlying: Common Stock · 4,925 shares Expires 2034-01-03 F1 · derivative.exercise_date: The reporting person elected to receive this stock option award in lieu of payment of all cash retainers that would otherwise be paid for the reporting person's service during 2024 on the issuer's board or its committees, as permitted under the issuer's amended and restated non-employee director compensation policy. The stock option is granted under and subject to the terms of the Sage Therapeutics, Inc. 2014 Stock Option and Incentive Plan. The option will vest in full on December 31, 2024, subject to the reporting person's continued service through such date. Read SEC document |
| October 31, 2023 Filed Nov 2, 2023 19:33 UTC | Amylyx Pharmaceuticals, Inc. AMLX · Entity 259 | GiftCommon Stock | 11,072 | $0.00 | $0.00 |
DisclosureSEC source: 0000950170-23-058113 · ownership.xml · nonDerivative · entry 1 FRATES JAMES M · CIK 0001235598 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Indirect · By Trust Disclosed balance after: 11,072 F1 · shares: On October 31, 2023, the James M. Frates Grantor Retained Annuity Trust 2021, for which the Reporting Person served as trustee and sole annuitant, liquidated and returned 8,410 shares to the Reporting Person as an annuity payment, transferring the remaining 11,072 shares to the FRATES FAMILY 2013 IRREV TRUST for no consideration. F2 · ownership.nature: Shares held by the FRATES FAMILY 2013 IRREV TRUST, for which the Reporting Person serves as trustee. The Reporting Person disclaims beneficial ownership of such shares for purposes of Section 16 except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that such shares are beneficially owned by him for Section 16 or any other purpose. Read SEC document |
| August 23, 2023 Filed Aug 24, 2023 20:15 UTC | Amylyx Pharmaceuticals, Inc. AMLX · Entity 259 | Exercise / conversionStock Option (right to buy) · Derivative | 18,165 | $0.00 Strike: $6.88 | $0.00 |
DisclosureSEC source: 0000950170-23-044381 · ownership.xml · derivative · entry 3 FRATES JAMES M · CIK 0001235598 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 363,835 Underlying: Common Stock · 18,165 shares Expires 2031-01-25 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_date: 113,024 shares underlying this option vested on January 25, 2022, with the remaining shares vesting in monthly installments of 9,416 shares thereafter. Read SEC document |
| August 23, 2023 Filed Aug 24, 2023 20:15 UTC | Amylyx Pharmaceuticals, Inc. AMLX · Entity 259 | Exercise / conversionCommon Stock | 18,165 | $6.88 | $124,975.20 |
DisclosureSEC source: 0000950170-23-044381 · ownership.xml · nonDerivative · entry 1 FRATES JAMES M · CIK 0001235598 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 106,341 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. Read SEC document |
| August 23, 2023 Filed Sep 5, 2024 23:55 UTC Amendment | Amylyx Pharmaceuticals, Inc. AMLX · Entity 259 | Exercise / conversionStock Option (right to buy) · Derivative | 18,165 | $0.00 Strike: $6.88 | $0.00 |
DisclosureSEC source: 0000950170-24-104191 · ownership.xml · derivative · entry 3 FRATES JAMES M · CIK 0001235598 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 363,835 Underlying: Common Stock · 18,165 shares Expires 2031-01-25 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. F3 · derivative.exercise_date: 113,024 shares underlying this option vested on January 25, 2022, with the remaining shares vesting in monthly installments of 9,416 shares thereafter. Read SEC document |
| August 23, 2023 Filed Sep 5, 2024 23:55 UTC Amendment | Amylyx Pharmaceuticals, Inc. AMLX · Entity 259 | Exercise / conversionCommon Stock | 18,165 | $6.88 | $124,975.20 |
DisclosureSEC source: 0000950170-24-104191 · ownership.xml · nonDerivative · entry 1 FRATES JAMES M · CIK 0001235598 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 73,841 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 · balance_after: On August 24, 2023, a Form 4 was filed on behalf of the Reporting Person which inadvertently overstated the number of securities reported in Column 5 of Table I by 32,500 shares due to an administrative error. This Form 4 amendment is being filed to correct the aggregate number of shares beneficially owned by the Reporting Person as of the original transaction date, as well as the corresponding amounts that were carried forward on Form 4 reports subsequently filed on behalf of the Reporting Person. Read SEC document |
| June 15, 2023 Filed Jun 16, 2023 20:06 UTC | Sage Therapeutics, Inc. SAGE · Entity 77038 | GrantStock Option (Right to Buy) · Derivative | 10,000 | $0.00 Strike: $56.10 | $0.00 |
DisclosureSEC source: 0001562180-23-005265 · primarydocument.xml · derivative · entry 1 FRATES JAMES M · CIK 0001235598 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 10,000 Underlying: Common Stock · 10,000 shares Expires 2033-06-15 F1 · derivative.exercise_date: The stock option award was issued pursuant to the Sage Therapeutics, Inc. 2014 Stock Option and Incentive Plan in accordance with the terms of the Amended and Restated Non-Employee Director Compensation Policy. The option will vest in full upon the earlier to occur of June 15, 2024 or the day immediately prior to the 2024 Annual Meeting of Sage's stockholders, subject to continued service as a director on such date. Read SEC document |
| May 16, 2023 Filed May 19, 2023 00:54 UTC | Amylyx Pharmaceuticals, Inc. AMLX · Entity 259 | Exercise / conversionStock Option (right to buy) · Derivative | 32,500 | $0.00 Strike: $6.88 | $0.00 |
DisclosureSEC source: 0000899243-23-013289 · doc4.xml · derivative · entry 5 FRATES JAMES M · CIK 0001235598 · Chief Financial Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 382,000 Underlying: Common Stock · 32,500 shares Expires 2031-01-25 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 · kind: These transactions were effected by the Reporting Person pursuant to a Rule 10b5-1 trading plan adopted on November 15, 2022. F5 · derivative.exercise_date: 113,024 shares underlying this option vested on January 25, 2022, with the remaining shares vesting in monthly installments of 9,416 shares thereafter. Read SEC document |
| May 16, 2023 Filed May 19, 2023 00:54 UTC | Amylyx Pharmaceuticals, Inc. AMLX · Entity 259 | SaleCommon Stock | 500 | $27.60 | $13,800.00 |
DisclosureSEC source: 0000899243-23-013289 · doc4.xml · nonDerivative · entry 3 FRATES JAMES M · CIK 0001235598 · Chief Financial Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 55,676 F1 · kind: These transactions were effected by the Reporting Person pursuant to a Rule 10b5-1 trading plan adopted on November 15, 2022. F3 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $27.59 to $27.61. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request. Read SEC document |
| May 16, 2023 Filed May 19, 2023 00:54 UTC | Amylyx Pharmaceuticals, Inc. AMLX · Entity 259 | SaleCommon Stock | 32,000 | $26.93 | $861,651.20 |
DisclosureSEC source: 0000899243-23-013289 · doc4.xml · nonDerivative · entry 2 FRATES JAMES M · CIK 0001235598 · Chief Financial Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 56,176 F1 · kind: These transactions were effected by the Reporting Person pursuant to a Rule 10b5-1 trading plan adopted on November 15, 2022. F2 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $26.36 to $27.35. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request. Read SEC document |
| May 16, 2023 Filed May 19, 2023 00:54 UTC | Amylyx Pharmaceuticals, Inc. AMLX · Entity 259 | Exercise / conversionCommon Stock | 32,500 | $6.88 | $223,600.00 |
DisclosureSEC source: 0000899243-23-013289 · doc4.xml · nonDerivative · entry 1 FRATES JAMES M · CIK 0001235598 · Chief Financial Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 88,176 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 · kind: These transactions were effected by the Reporting Person pursuant to a Rule 10b5-1 trading plan adopted on November 15, 2022. Read SEC document |
| March 16, 2023 Filed Mar 21, 2023 00:18 UTC | Amylyx Pharmaceuticals, Inc. AMLX · Entity 259 | GrantStock Option (right to buy) · Derivative | 97,500 | $0.00 Strike: $32.08 | $0.00 |
DisclosureSEC source: 0000899243-23-009168 · doc4.xml · derivative · entry 4 FRATES JAMES M · CIK 0001235598 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 97,500 Underlying: Common Stock · 97,500 shares Expires 2033-03-16 F5 · derivative.exercise_date: 1/4 of the shares subject to the option shall vest and become exercisable on the first day of the month of the one year anniversary of the date of grant, and the remaining shares shall vest monthly over the remaining 36 months, subject to the Reporting Person's continuous service to the Issuer through such vesting date. Read SEC document |
| March 16, 2023 Filed Mar 21, 2023 00:18 UTC | Amylyx Pharmaceuticals, Inc. AMLX · Entity 259 | GrantCommon Stock | 21,667 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-23-009168 · doc4.xml · nonDerivative · entry 3 FRATES JAMES M · CIK 0001235598 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 23,176 F4 · shares: The reported transaction involves the Reporting Person's receipt of a restricted stock unit award (a "RSU"). The RSU shall vest in 4 equal annual installments, with the first installment vesting on the first day of the month of the one year anniversary of the date of grant, subject to the Reporting Person's continued service to the Issuer through such vesting date. Read SEC document |
| March 16, 2023 Filed Mar 21, 2023 00:18 UTC | Amylyx Pharmaceuticals, Inc. AMLX · Entity 259 | SaleCommon Stock | 1,704 | $32.46 | $55,320.19 |
DisclosureSEC source: 0000899243-23-009168 · doc4.xml · nonDerivative · entry 2 FRATES JAMES M · CIK 0001235598 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,509 F1 · kind: These sales were effected by the Reporting Person pursuant to a Rule 10b5-1 trading plan adopted on November 15, 2022. F3 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $32.33 to $32.93. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request. Read SEC document |
| March 16, 2023 Filed Mar 21, 2023 00:18 UTC | Amylyx Pharmaceuticals, Inc. AMLX · Entity 259 | SaleCommon Stock | 30,796 | $31.86 | $981,139.00 |
DisclosureSEC source: 0000899243-23-009168 · doc4.xml · nonDerivative · entry 1 FRATES JAMES M · CIK 0001235598 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 3,213 F1 · kind: These sales were effected by the Reporting Person pursuant to a Rule 10b5-1 trading plan adopted on November 15, 2022. F2 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $31.33 to $32.30. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request. Read SEC document |
| March 16, 2023 Filed Mar 24, 2023 22:48 UTC Amendment | Amylyx Pharmaceuticals, Inc. AMLX · Entity 259 | Exercise / conversionStock Option (right to buy) · Derivative | 32,500 | $0.00 Strike: $6.88 | $0.00 |
DisclosureSEC source: 0000899243-23-009602 · doc4a.xml · derivative · entry 6 FRATES JAMES M · CIK 0001235598 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 414,500 Underlying: Common Stock · 32,500 shares Expires 2031-01-25 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 · kind: On March 16, 2023, the Reporting Person filed a Form 4 (the "Original Form 4") which inadvertently omitted the exercise of 32,500 options by the Reporting Person. The Original Form 4 reported the sale of shares of Common Stock of the Issuer ("Common Stock") underlying those options, pursuant to a Rule 10b5-1 trading plan. This Form 4 amendment is being filed for the purpose of amending and restating the Original Form 4 solely to report the exercise of the stock options and the resulting increase in beneficial ownership of Common Stock. The Reporting Person has not sold any additional shares of Common Stock beyond those sales reported in the Original Form 4. F2 · kind: These transactions were effected by the Reporting Person pursuant to a Rule 10b5-1 trading plan adopted on November 15, 2022. F7 · derivative.exercise_date: 113,024 shares underlying this option vested on January 25, 2022, with the remaining shares vesting in monthly installments of 9,416 shares thereafter. Read SEC document |
| March 16, 2023 Filed Mar 24, 2023 22:48 UTC Amendment | Amylyx Pharmaceuticals, Inc. AMLX · Entity 259 | GrantStock Option (right to buy) · Derivative | 97,500 | $0.00 Strike: $32.08 | $0.00 |
DisclosureSEC source: 0000899243-23-009602 · doc4a.xml · derivative · entry 5 FRATES JAMES M · CIK 0001235598 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 97,500 Underlying: Common Stock · 97,500 shares Expires 2033-03-16 F6 · derivative.exercise_date: 1/4 of the shares subject to the option shall vest and become exercisable on the first day of the month of the one year anniversary of the date of grant, and the remaining shares shall vest monthly over the remaining 36 months, subject to the Reporting Person's continuous service to the Issuer through such vesting date. Read SEC document |
| March 16, 2023 Filed Mar 24, 2023 22:48 UTC Amendment | Amylyx Pharmaceuticals, Inc. AMLX · Entity 259 | GrantCommon Stock | 21,667 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-23-009602 · doc4a.xml · nonDerivative · entry 4 FRATES JAMES M · CIK 0001235598 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 55,676 F5 · shares: The reported transaction involves the Reporting Person's receipt of a restricted stock unit award (a "RSU"). The RSU shall vest in 4 equal annual installments, with the first installment vesting on the first day of the month of the one year anniversary of the date of grant, subject to the Reporting Person's continued service to the Issuer through such vesting date. F1 · balance_after: On March 16, 2023, the Reporting Person filed a Form 4 (the "Original Form 4") which inadvertently omitted the exercise of 32,500 options by the Reporting Person. The Original Form 4 reported the sale of shares of Common Stock of the Issuer ("Common Stock") underlying those options, pursuant to a Rule 10b5-1 trading plan. This Form 4 amendment is being filed for the purpose of amending and restating the Original Form 4 solely to report the exercise of the stock options and the resulting increase in beneficial ownership of Common Stock. The Reporting Person has not sold any additional shares of Common Stock beyond those sales reported in the Original Form 4. Read SEC document |
| March 16, 2023 Filed Mar 24, 2023 22:48 UTC Amendment | Amylyx Pharmaceuticals, Inc. AMLX · Entity 259 | SaleCommon Stock | 1,704 | $32.46 | $55,320.19 |
DisclosureSEC source: 0000899243-23-009602 · doc4a.xml · nonDerivative · entry 3 FRATES JAMES M · CIK 0001235598 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 34,009 F2 · kind: These transactions were effected by the Reporting Person pursuant to a Rule 10b5-1 trading plan adopted on November 15, 2022. F4 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $32.33 to $32.93. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request. F1 · balance_after: On March 16, 2023, the Reporting Person filed a Form 4 (the "Original Form 4") which inadvertently omitted the exercise of 32,500 options by the Reporting Person. The Original Form 4 reported the sale of shares of Common Stock of the Issuer ("Common Stock") underlying those options, pursuant to a Rule 10b5-1 trading plan. This Form 4 amendment is being filed for the purpose of amending and restating the Original Form 4 solely to report the exercise of the stock options and the resulting increase in beneficial ownership of Common Stock. The Reporting Person has not sold any additional shares of Common Stock beyond those sales reported in the Original Form 4. Read SEC document |
| March 16, 2023 Filed Mar 24, 2023 22:48 UTC Amendment | Amylyx Pharmaceuticals, Inc. AMLX · Entity 259 | SaleCommon Stock | 30,796 | $31.86 | $981,139.00 |
DisclosureSEC source: 0000899243-23-009602 · doc4a.xml · nonDerivative · entry 2 FRATES JAMES M · CIK 0001235598 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 35,713 F2 · kind: These transactions were effected by the Reporting Person pursuant to a Rule 10b5-1 trading plan adopted on November 15, 2022. F3 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $31.33 to $32.30. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request. F1 · balance_after: On March 16, 2023, the Reporting Person filed a Form 4 (the "Original Form 4") which inadvertently omitted the exercise of 32,500 options by the Reporting Person. The Original Form 4 reported the sale of shares of Common Stock of the Issuer ("Common Stock") underlying those options, pursuant to a Rule 10b5-1 trading plan. This Form 4 amendment is being filed for the purpose of amending and restating the Original Form 4 solely to report the exercise of the stock options and the resulting increase in beneficial ownership of Common Stock. The Reporting Person has not sold any additional shares of Common Stock beyond those sales reported in the Original Form 4. Read SEC document |
| March 16, 2023 Filed Mar 24, 2023 22:48 UTC Amendment | Amylyx Pharmaceuticals, Inc. AMLX · Entity 259 | Exercise / conversionCommon Stock | 32,500 | $6.88 | $223,600.00 |
DisclosureSEC source: 0000899243-23-009602 · doc4a.xml · nonDerivative · entry 1 FRATES JAMES M · CIK 0001235598 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 66,509 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 · kind: On March 16, 2023, the Reporting Person filed a Form 4 (the "Original Form 4") which inadvertently omitted the exercise of 32,500 options by the Reporting Person. The Original Form 4 reported the sale of shares of Common Stock of the Issuer ("Common Stock") underlying those options, pursuant to a Rule 10b5-1 trading plan. This Form 4 amendment is being filed for the purpose of amending and restating the Original Form 4 solely to report the exercise of the stock options and the resulting increase in beneficial ownership of Common Stock. The Reporting Person has not sold any additional shares of Common Stock beyond those sales reported in the Original Form 4. F2 · kind: These transactions were effected by the Reporting Person pursuant to a Rule 10b5-1 trading plan adopted on November 15, 2022. F1 · balance_after: On March 16, 2023, the Reporting Person filed a Form 4 (the "Original Form 4") which inadvertently omitted the exercise of 32,500 options by the Reporting Person. The Original Form 4 reported the sale of shares of Common Stock of the Issuer ("Common Stock") underlying those options, pursuant to a Rule 10b5-1 trading plan. This Form 4 amendment is being filed for the purpose of amending and restating the Original Form 4 solely to report the exercise of the stock options and the resulting increase in beneficial ownership of Common Stock. The Reporting Person has not sold any additional shares of Common Stock beyond those sales reported in the Original Form 4. Read SEC document |
| January 06, 2023 Filed Jan 11, 2023 00:20 UTC | Amylyx Pharmaceuticals, Inc. AMLX · Entity 259 | SaleCommon Stock | 822 | $36.79 | $30,240.39 |
DisclosureSEC source: 0000899243-23-001523 · doc4.xml · nonDerivative · entry 2 FRATES JAMES M · CIK 0001235598 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,009 F1 · kind: Represents shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock units. These sales were automatic and intended to qualify under Rule 10b5-1. F3 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $36.59 to $37.01. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request. Read SEC document |
| January 06, 2023 Filed Jan 11, 2023 00:20 UTC | Amylyx Pharmaceuticals, Inc. AMLX · Entity 259 | SaleCommon Stock | 1,836 | $36.08 | $66,240.86 |
DisclosureSEC source: 0000899243-23-001523 · doc4.xml · nonDerivative · entry 1 FRATES JAMES M · CIK 0001235598 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,831 F1 · kind: Represents shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock units. These sales were automatic and intended to qualify under Rule 10b5-1. F2 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $35.59 to $36.58. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request. Read SEC document |
| December 30, 2022 Filed Jan 5, 2023 02:33 UTC | Amylyx Pharmaceuticals, Inc. AMLX · Entity 259 | Exercise / conversionStock Option (Right to Buy) · Derivative | 5,000 | $0.00 Strike: $6.88 | $0.00 |
DisclosureSEC source: 0000899243-23-000755 · doc4.xml · derivative · entry 2 FRATES JAMES M · CIK 0001235598 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 447,000 Underlying: Common Stock · 5,000 shares Expires 2031-01-25 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_date: 113,024 shares underlying this option vested on January 25, 2022, with the remaining shares vesting in monthly installments of 9,416 shares thereafter. Read SEC document |
| December 30, 2022 Filed Jan 5, 2023 02:33 UTC | Amylyx Pharmaceuticals, Inc. AMLX · Entity 259 | Exercise / conversionCommon Stock | 5,000 | $6.88 | $34,400.00 |
DisclosureSEC source: 0000899243-23-000755 · doc4.xml · nonDerivative · entry 1 FRATES JAMES M · CIK 0001235598 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,667 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. 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.