Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Invivyd, Inc.IVVD · Entity 721 | Chief Financial Officer | August 15, 2026 | August 19, 2026 |
| Kaleido Biosciences, Inc.KLDO · Entity 129745 | Chief Financial Officer | January 14, 2022 | January 18, 2022 |
| Pulmatrix, Inc.PULM · Entity 8249 | Chief Financial Officer | May 16, 2019 | May 20, 2019 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Invivyd, Inc.
Report date August 15, 2026 · Filed August 19, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 168,937 |
Ending reported balance
After 2026-08-18 transaction · row 3
3 source rows · reconciled sequenceRow 1 · 2026-08-15 · Exercise / conversion · Acquired 102,000 · Balance 209,717 F1: Each restricted stock unit ("RSU") represents a contingent right to receive one share of common stock of Invivyd, Inc. (the "Company"). Row 2 · 2026-08-17 · Sale · Disposed 22,355 · Balance 187,362 F2: The sales reported on this Form 4 represent shares sold to satisfy the Reporting Person's tax withholding obligations upon vesting of an RSU award in non-discretionary "sell-to-cover" transactions pursuant to a Rule 10b5-1 plan adopted by the Reporting Person on February 20, 2025. F3: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $0.682 to $0.830, inclusive. The Reporting Person undertakes to provide to the Company, any security holder of the Company, or the staff of the U.S. Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (3) to this Form 4. Row 3 · 2026-08-18 · Sale · Disposed 18,425 · Balance 168,937 F2: The sales reported on this Form 4 represent shares sold to satisfy the Reporting Person's tax withholding obligations upon vesting of an RSU award in non-discretionary "sell-to-cover" transactions pursuant to a Rule 10b5-1 plan adopted by the Reporting Person on February 20, 2025. F4: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $0.760 to $0.872, inclusive. The Reporting Person undertakes to provide to the Company, any security holder of the Company, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (4) to this Form 4. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2026-08-15 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2026-08-15 · Exercise / conversion · Disposed 102,000 · Balance 0 F1: Each restricted stock unit ("RSU") represents a contingent right to receive one share of common stock of Invivyd, Inc. (the "Company"). F5: This RSU award vests over an eighteen-month period, with one-third of the RSUs vesting every six months following the grant date of February 15, 2025, subject to the Reporting Person's continuous service as of each vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: Each restricted stock unit ("RSU") represents a contingent right to receive one share of common stock of Invivyd, Inc. (the "Company").
F2: The sales reported on this Form 4 represent shares sold to satisfy the Reporting Person's tax withholding obligations upon vesting of an RSU award in non-discretionary "sell-to-cover" transactions pursuant to a Rule 10b5-1 plan adopted by the Reporting Person on February 20, 2025.
F3: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $0.682 to $0.830, inclusive. The Reporting Person undertakes to provide to the Company, any security holder of the Company, or the staff of the U.S. Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (3) to this Form 4.
F4: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $0.760 to $0.872, inclusive. The Reporting Person undertakes to provide to the Company, any security holder of the Company, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (4) to this Form 4.
F5: This RSU award vests over an eighteen-month period, with one-third of the RSUs vesting every six months following the grant date of February 15, 2025, subject to the Reporting Person's continuous service as of each vesting date.
Kaleido Biosciences, Inc.
Report date January 14, 2022 · Filed January 18, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 44,990 |
Reported balance
After 2022-01-14 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2022-01-14 · Grant · Acquired 44,990 · Balance 44,990 F1: Each restricted stock unit represents a contingent right to receive one share of the Company's common stock. F2: The restricted stock units shall vest 100% on April 30, 2022 provided, however, that the grant shall immediately vest as of the date of any change in control of the issuer. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 125,000 |
Reported balance
After 2022-01-14 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2022-01-14 · Grant · Acquired 125,000 · Balance 125,000 F1: Each restricted stock unit represents a contingent right to receive one share of the Company's common stock. F3: The restricted stock units shall vest on the earlier of 50% on January 14, 2023 and 50% on January 14, 2024 provided, however, that the grant shall immediately vest as of the date of any change in control of the issuer. |
Filing footnotes · ownership attribution and instrument terms
F1: Each restricted stock unit represents a contingent right to receive one share of the Company's common stock.
F2: The restricted stock units shall vest 100% on April 30, 2022 provided, however, that the grant shall immediately vest as of the date of any change in control of the issuer.
F3: The restricted stock units shall vest on the earlier of 50% on January 14, 2023 and 50% on January 14, 2024 provided, however, that the grant shall immediately vest as of the date of any change in control of the issuer.
Pulmatrix, Inc.
Report date May 16, 2019 · Filed May 20, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.06 · Expires 2029-05-16 | Direct | 160,000 |
Reported balance
After 2019-05-16 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2019-05-16 · Grant · Acquired 160,000 · Balance 160,000 F1: The option vests in forty-eight (48) equal monthly installments on the 16th day of each month, with the first tranche vesting on June 16, 2019, provided that the reporting person is providing services to the Issuer on the applicable vesting date and subject to the terms and conditions of the Pulmatrix, Inc. Amended and Restated 2013 Employee, Director and Consultant Equity Incentive Plan. |
Filing footnotes · ownership attribution and instrument terms
F1: The option vests in forty-eight (48) equal monthly installments on the 16th day of each month, with the first tranche vesting on June 16, 2019, provided that the reporting person is providing services to the Issuer on the applicable vesting date and subject to the terms and conditions of the Pulmatrix, Inc. Amended and Restated 2013 Employee, Director and Consultant Equity Incentive Plan.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Apexigen, Inc.
Report date August 23, 2023 · Filed August 25, 2023
Section 16 reporting ended · disclosed 2023-08-25. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Ending reported balance
After 2023-08-23 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2023-08-23 · Tax withholding · Disposed 26,416 · Balance 128,001 F1: The shares were withheld to satisfy the reporting person's tax liability in connection with the vesting of restricted stock units. Row 2 · 2023-08-23 · Disposition to issuer · Disposed 128,001 · Balance 0 F2: Pursuant to an Agreement and Plan of Merger, dated as of May 23, 2023 (the "Merger Agreement"), by and among the Issuer, Pyxis Oncology, Inc. ("Pyxis"), and Ascent Merger Sub Corp., at the effective time of the merger (the "Effective Time"), each share of Issuer common stock was exchanged for 0.1725 shares of Pyxis common stock and rounded down to the nearest whole share. |
| Employee Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.46 · Expires 2032-10-07 | Direct | 0 |
Reported balance
After 2023-08-23 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2023-08-23 · Disposition to issuer · Disposed 269,848 · Balance 0 F3: One-fourth of the shares vested on June 6, 2023 and 1/48th of the shares vest monthly thereafter. Pursuant to the Merger Agreement, at the Effective Time, the option was assumed by Pyxis and converted into an option to purchase 46,547 shares of Pyxis common stock at an exercise price of $14.27 per share. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares were withheld to satisfy the reporting person's tax liability in connection with the vesting of restricted stock units.
F2: Pursuant to an Agreement and Plan of Merger, dated as of May 23, 2023 (the "Merger Agreement"), by and among the Issuer, Pyxis Oncology, Inc. ("Pyxis"), and Ascent Merger Sub Corp., at the effective time of the merger (the "Effective Time"), each share of Issuer common stock was exchanged for 0.1725 shares of Pyxis common stock and rounded down to the nearest whole share.
F3: One-fourth of the shares vested on June 6, 2023 and 1/48th of the shares vest monthly thereafter. Pursuant to the Merger Agreement, at the Effective Time, the option was assumed by Pyxis and converted into an option to purchase 46,547 shares of Pyxis common stock at an exercise price of $14.27 per share.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| August 18, 2026 Filed Aug 19, 2026 00:10 UTC | Invivyd, Inc. IVVD · Entity 721 | SaleCommon Stock | 18,425 | $0.84 | $15,530.43 |
DisclosureSEC source: 0001193125-26-355913 · ownership.xml · nonDerivative · entry 3 Duke William E. · CIK 0001636135 · Chief Financial Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 168,937 F2 · shares: The sales reported on this Form 4 represent shares sold to satisfy the Reporting Person's tax withholding obligations upon vesting of an RSU award in non-discretionary "sell-to-cover" transactions pursuant to a Rule 10b5-1 plan adopted by the Reporting Person on February 20, 2025. F4 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $0.760 to $0.872, inclusive. The Reporting Person undertakes to provide to the Company, any security holder of the Company, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (4) to this Form 4. Read SEC document |
| August 17, 2026 Filed Aug 19, 2026 00:10 UTC | Invivyd, Inc. IVVD · Entity 721 | SaleCommon Stock | 22,355 | $0.72 | $16,140.31 |
DisclosureSEC source: 0001193125-26-355913 · ownership.xml · nonDerivative · entry 2 Duke William E. · CIK 0001636135 · Chief Financial Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 187,362 F2 · shares: The sales reported on this Form 4 represent shares sold to satisfy the Reporting Person's tax withholding obligations upon vesting of an RSU award in non-discretionary "sell-to-cover" transactions pursuant to a Rule 10b5-1 plan adopted by the Reporting Person on February 20, 2025. F3 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $0.682 to $0.830, inclusive. The Reporting Person undertakes to provide to the Company, any security holder of the Company, or the staff of the U.S. Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (3) to this Form 4. Read SEC document |
| August 15, 2026 Filed Aug 19, 2026 00:10 UTC | Invivyd, Inc. IVVD · Entity 721 | Exercise / conversionRestricted Stock Units · Derivative | 102,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001193125-26-355913 · ownership.xml · derivative · entry 4 Duke William E. · CIK 0001636135 · Chief Financial Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 102,000 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of common stock of Invivyd, Inc. (the "Company"). F5 · derivative.exercise_date: This RSU award vests over an eighteen-month period, with one-third of the RSUs vesting every six months following the grant date of February 15, 2025, subject to the Reporting Person's continuous service as of each vesting date. F5 · derivative.expiration_date: This RSU award vests over an eighteen-month period, with one-third of the RSUs vesting every six months following the grant date of February 15, 2025, subject to the Reporting Person's continuous service as of each vesting date. Read SEC document |
| August 15, 2026 Filed Aug 19, 2026 00:10 UTC | Invivyd, Inc. IVVD · Entity 721 | Exercise / conversionCommon Stock | 102,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001193125-26-355913 · ownership.xml · nonDerivative · entry 1 Duke William E. · CIK 0001636135 · Chief Financial Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 209,717 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of common stock of Invivyd, Inc. (the "Company"). Read SEC document |
| February 18, 2026 Filed Feb 19, 2026 01:49 UTC | Invivyd, Inc. IVVD · Entity 721 | SaleCommon Stock | 20,964 | $1.58 | $33,077.00 |
DisclosureSEC source: 0001193125-26-057819 · ownership.xml · nonDerivative · entry 3 Duke William E. · CIK 0001636135 · Chief Financial Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 107,717 F2 · shares: The sales reported on this Form 4 represent shares sold to satisfy the Reporting Person's tax withholding obligations upon vesting of an RSU award in non-discretionary "sell-to-cover" transactions pursuant to a Rule 10b5-1 plan adopted by the Reporting Person on February 20, 2025. F4 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $1.550 to $1.595, inclusive. The Reporting Person undertakes to provide to the Company, any security holder of the Company, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (4) to this Form 4. Read SEC document |
| February 17, 2026 Filed Feb 19, 2026 01:49 UTC | Invivyd, Inc. IVVD · Entity 721 | SaleCommon Stock | 19,663 | $1.54 | $30,273.15 |
DisclosureSEC source: 0001193125-26-057819 · ownership.xml · nonDerivative · entry 2 Duke William E. · CIK 0001636135 · Chief Financial Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 128,681 F2 · shares: The sales reported on this Form 4 represent shares sold to satisfy the Reporting Person's tax withholding obligations upon vesting of an RSU award in non-discretionary "sell-to-cover" transactions pursuant to a Rule 10b5-1 plan adopted by the Reporting Person on February 20, 2025. F3 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $1.505 to $1.590, inclusive. The Reporting Person undertakes to provide to the Company, any security holder of the Company, or the staff of the U.S. Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (3) to this Form 4. Read SEC document |
| February 15, 2026 Filed Feb 19, 2026 01:49 UTC | Invivyd, Inc. IVVD · Entity 721 | Exercise / conversionRestricted Stock Units · Derivative | 99,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001193125-26-057819 · ownership.xml · derivative · entry 4 Duke William E. · CIK 0001636135 · Chief Financial Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 102,000 Underlying: Common Stock · 99,000 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of common stock of Invivyd, Inc. (the "Company"). F5 · derivative.exercise_date: This RSU award vests over an eighteen-month period, with one-third of the RSUs vesting every six months following the grant date of February 15, 2025, subject to the Reporting Person's continuous service as of each vesting date. F5 · derivative.expiration_date: This RSU award vests over an eighteen-month period, with one-third of the RSUs vesting every six months following the grant date of February 15, 2025, subject to the Reporting Person's continuous service as of each vesting date. Read SEC document |
| February 15, 2026 Filed Feb 19, 2026 01:49 UTC | Invivyd, Inc. IVVD · Entity 721 | Exercise / conversionCommon Stock | 99,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001193125-26-057819 · ownership.xml · nonDerivative · entry 1 Duke William E. · CIK 0001636135 · Chief Financial Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 148,344 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of common stock of Invivyd, Inc. (the "Company"). Read SEC document |
| January 29, 2026 Filed Jan 30, 2026 21:20 UTC | Invivyd, Inc. IVVD · Entity 721 | GrantStock Option (Right to Buy) · Derivative | 625,000 | $0.00 Strike: $1.85 | $0.00 |
DisclosureSEC source: 0001193125-26-031858 · ownership.xml · derivative · entry 1 Duke William E. · CIK 0001636135 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 625,000 Underlying: Common Stock · 625,000 shares Expires 2036-01-28 F1 · derivative.exercise_date: This option vests over a three-year period, with 1/36th of the shares subject to the option vesting in substantially equal monthly installments measured from one month following the grant date of January 29, 2026, subject to the Reporting Person's continuous service as of each vesting date. Read SEC document |
| August 19, 2025 Filed Aug 20, 2025 01:25 UTC | Invivyd, Inc. IVVD · Entity 721 | SaleCommon Stock | 29,643 | $0.57 | $16,795.72 |
DisclosureSEC source: 0000950170-25-110344 · ownership.xml · nonDerivative · entry 3 Duke William E. · CIK 0001636135 · Chief Financial Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 49,344 F2 · shares: The sales reported on this Form 4 represent shares sold to satisfy the Reporting Person's tax withholding obligations upon vesting of an RSU award in non-discretionary "sell-to-cover" transactions pursuant to a Rule 10b5-1 plan adopted by the Reporting Person on February 20, 2025. F4 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $0.5524 to $0.6040, inclusive. The Reporting Person undertakes to provide to the Company, any security holder of the Company, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (4) to this Form 4. Read SEC document |
| August 18, 2025 Filed Aug 20, 2025 01:25 UTC | Invivyd, Inc. IVVD · Entity 721 | SaleCommon Stock | 20,013 | $0.65 | $13,012.45 |
DisclosureSEC source: 0000950170-25-110344 · ownership.xml · nonDerivative · entry 2 Duke William E. · CIK 0001636135 · Chief Financial Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 78,987 F2 · shares: The sales reported on this Form 4 represent shares sold to satisfy the Reporting Person's tax withholding obligations upon vesting of an RSU award in non-discretionary "sell-to-cover" transactions pursuant to a Rule 10b5-1 plan adopted by the Reporting Person on February 20, 2025. F3 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $0.5801 to $0.7134, inclusive. The Reporting Person undertakes to provide to the Company, any security holder of the Company, or the staff of the U.S. Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (3) to this Form 4. Read SEC document |
| August 15, 2025 Filed Aug 20, 2025 01:25 UTC | Invivyd, Inc. IVVD · Entity 721 | Exercise / conversionRestricted Stock Units · Derivative | 99,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000950170-25-110344 · ownership.xml · derivative · entry 4 Duke William E. · CIK 0001636135 · Chief Financial Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 201,000 Underlying: Common Stock · 99,000 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of common stock of Invivyd, Inc. (the "Company"). F5 · derivative.exercise_date: This RSU award vests over an eighteen-month period, with one-third of the RSUs vesting every six months following the grant date of February 15, 2025, subject to the Reporting Person's continuous service as of each vesting date. F5 · derivative.expiration_date: This RSU award vests over an eighteen-month period, with one-third of the RSUs vesting every six months following the grant date of February 15, 2025, subject to the Reporting Person's continuous service as of each vesting date. Read SEC document |
| August 15, 2025 Filed Aug 20, 2025 01:25 UTC | Invivyd, Inc. IVVD · Entity 721 | Exercise / conversionCommon Stock | 99,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000950170-25-110344 · ownership.xml · nonDerivative · entry 1 Duke William E. · CIK 0001636135 · Chief Financial Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 99,000 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of common stock of Invivyd, Inc. (the "Company"). Read SEC document |
| February 15, 2025 Filed Feb 19, 2025 21:30 UTC | Invivyd, Inc. IVVD · Entity 721 | GrantRestricted Stock Units · Derivative | 300,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000950170-25-023239 · ownership.xml · derivative · entry 2 Duke William E. · CIK 0001636135 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 300,000 Underlying: Common Stock · 300,000 shares Expires not disclosed F2 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of common stock. F3 · derivative.exercise_date: This RSU award vests over an eighteen-month period, with one-third of the RSUs vesting every six months following the grant date of February 15, 2025, subject to the Reporting Person's continuous service as of each vesting date. Unless otherwise provided, in connection with each vesting event, shares of common stock will automatically be sold to satisfy the Reporting Person's tax withholding obligations in a non-discretionary transaction. F3 · derivative.expiration_date: This RSU award vests over an eighteen-month period, with one-third of the RSUs vesting every six months following the grant date of February 15, 2025, subject to the Reporting Person's continuous service as of each vesting date. Unless otherwise provided, in connection with each vesting event, shares of common stock will automatically be sold to satisfy the Reporting Person's tax withholding obligations in a non-discretionary transaction. Read SEC document |
| February 15, 2025 Filed Feb 19, 2025 21:30 UTC | Invivyd, Inc. IVVD · Entity 721 | GrantStock Option (Right to Buy) · Derivative | 950,000 | $0.00 Strike: $1.61 | $0.00 |
DisclosureSEC source: 0000950170-25-023239 · ownership.xml · derivative · entry 1 Duke William E. · CIK 0001636135 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 950,000 Underlying: Common Stock · 950,000 shares Expires 2035-02-14 F1 · derivative.exercise_date: This option vests over a three-year period, with 1/36th of the shares subject to the option vesting in substantially equal monthly installments measured from one month following the grant date of February 15, 2025, subject to the Reporting Person's continuous service as of each vesting date. Read SEC document |
| December 18, 2023 Filed Dec 20, 2023 21:40 UTC | Invivyd, Inc. IVVD · Entity 721 | GrantStock Option (Right to Buy) · Derivative | 200,000 | $0.00 Strike: $3.59 | $0.00 |
DisclosureSEC source: 0000950170-23-071907 · ownership.xml · derivative · entry 1 Duke William E. · CIK 0001636135 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 200,000 Underlying: Common Stock · 200,000 shares Expires 2033-12-17 F1 · derivative.exercise_date: This option vests over a three-year period, with 1/36th of the shares subject to the option vesting in substantially equal monthly installments measured from one month following the grant date of December 18, 2023, subject to the Reporting Person's continuous service as of each vesting date. Read SEC document |
| September 01, 2023 Filed Sep 5, 2023 20:36 UTC | Invivyd, Inc. IVVD · Entity 721 | GrantStock Option (Right to Buy) · Derivative | 750,000 | $0.00 Strike: $1.83 | $0.00 |
DisclosureSEC source: 0000950170-23-046430 · ownership.xml · derivative · entry 1 Duke William E. · CIK 0001636135 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 750,000 Underlying: Common Stock · 750,000 shares Expires 2033-08-31 F1 · derivative.exercise_date: This option vests over a four-year period, with 25% of the shares subject to the option vesting on the first anniversary of the grant date of September 1, 2023 and the remaining 75% of the shares subject to the option vesting over the subsequent three-year period in substantially equal monthly installments at a rate of 1/48th of the total shares subject to the option each month, subject to the Reporting Person's continuous service as of each vesting date. Read SEC document |
| August 23, 2023 Filed Aug 25, 2023 18:42 UTC | Apexigen, Inc. APGN · Entity 110214 | Disposition to issuerEmployee Stock Option (right to buy) · Derivative | 269,848 | Not disclosed Strike: $2.46 | Not disclosed |
DisclosureSEC source: 0001209191-23-047432 · doc4.xml · derivative · entry 3 Duke William E. · CIK 0001636135 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 269,848 shares Expires 2032-10-07 F3 · price: One-fourth of the shares vested on June 6, 2023 and 1/48th of the shares vest monthly thereafter. Pursuant to the Merger Agreement, at the Effective Time, the option was assumed by Pyxis and converted into an option to purchase 46,547 shares of Pyxis common stock at an exercise price of $14.27 per share. F3 · derivative.exercise_date: One-fourth of the shares vested on June 6, 2023 and 1/48th of the shares vest monthly thereafter. Pursuant to the Merger Agreement, at the Effective Time, the option was assumed by Pyxis and converted into an option to purchase 46,547 shares of Pyxis common stock at an exercise price of $14.27 per share. Read SEC document |
| August 23, 2023 Filed Aug 25, 2023 18:42 UTC | Apexigen, Inc. APGN · Entity 110214 | Disposition to issuerCommon Stock | 128,001 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-23-047432 · doc4.xml · nonDerivative · entry 2 Duke William E. · CIK 0001636135 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 F2 · price: Pursuant to an Agreement and Plan of Merger, dated as of May 23, 2023 (the "Merger Agreement"), by and among the Issuer, Pyxis Oncology, Inc. ("Pyxis"), and Ascent Merger Sub Corp., at the effective time of the merger (the "Effective Time"), each share of Issuer common stock was exchanged for 0.1725 shares of Pyxis common stock and rounded down to the nearest whole share. Read SEC document |
| August 23, 2023 Filed Aug 25, 2023 18:42 UTC | Apexigen, Inc. APGN · Entity 110214 | Tax withholdingCommon Stock | 26,416 | $0.39 | $10,172.80 |
DisclosureSEC source: 0001209191-23-047432 · doc4.xml · nonDerivative · entry 1 Duke William E. · CIK 0001636135 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 128,001 F1 · shares: The shares were withheld to satisfy the reporting person's tax liability in connection with the vesting of restricted stock units. Read SEC document |
| June 15, 2023 Filed Jun 23, 2023 17:49 UTC | Apexigen, Inc. APGN · Entity 110214 | Tax withholdingCommon Stock | 4,504 | $0.49 | $2,211.91 |
DisclosureSEC source: 0001209191-23-039489 · doc4.xml · nonDerivative · entry 1 Duke William E. · CIK 0001636135 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 154,417 F1 · shares: The shares were withheld to satisfy the reporting person's tax liability in connection with the vesting of restricted stock units. Read SEC document |
| May 23, 2023 Filed May 25, 2023 16:21 UTC | Apexigen, Inc. APGN · Entity 110214 | Tax withholdingCommon Stock | 17,261 | $0.40 | $6,904.40 |
DisclosureSEC source: 0001209191-23-032167 · doc4.xml · nonDerivative · entry 2 Duke William E. · CIK 0001636135 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 158,921 F2 · shares: The reported shares were withheld to satisfy the reporting person's tax liability in connection with the vesting of RSUs. Read SEC document |
| May 23, 2023 Filed May 25, 2023 16:21 UTC | Apexigen, Inc. APGN · Entity 110214 | GrantCommon Stock | 150,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-23-032167 · doc4.xml · nonDerivative · entry 1 Duke William E. · CIK 0001636135 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 176,182 F1 · shares: The reported shares are represented by restricted stock units, or RSUs. Upon signing of the merger agreement between the Issuer and Pyxis Oncology, Inc. dated May 23, 2023, 60,000 RSUs vested. The remaining 90,000 RSUs vest on the earlier of (i) the closing of the merger or (ii) September 30, 2023. Read SEC document |
| December 15, 2022 Filed Dec 19, 2022 17:09 UTC | Apexigen, Inc. APGN · Entity 110214 | Tax withholdingCommon Stock | 4,503 | $1.06 | $4,773.18 |
DisclosureSEC source: 0001209191-22-061975 · doc4.xml · nonDerivative · entry 1 Duke William E. · CIK 0001636135 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,182 F1 · shares: The shares were withheld to satisfy the reporting person's tax liability in connection with the vesting of restricted stock units. Read SEC document |
| October 07, 2022 Filed Oct 11, 2022 16:50 UTC | Apexigen, Inc. APGN · Entity 110214 | GrantEmployee Stock Option (right to buy) · Derivative | 269,848 | $0.00 Strike: $2.46 | $0.00 |
DisclosureSEC source: 0001209191-22-053342 · doc4.xml · derivative · entry 2 Duke William E. · CIK 0001636135 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 269,848 Underlying: Common Stock · 269,848 shares Expires 2032-10-07 F2 · derivative.exercise_date: One-fourth of the shares vest on June 6, 2023 and 1/48th of the shares vest monthly thereafter. Read SEC document |
| October 07, 2022 Filed Oct 11, 2022 16:50 UTC | Apexigen, Inc. APGN · Entity 110214 | GrantCommon Stock | 30,685 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-053342 · doc4.xml · nonDerivative · entry 1 Duke William E. · CIK 0001636135 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,685 F1 · shares: The shares are represented by restricted stock units, or RSUs, which vest in two equal installments on December 15, 2022 and June 15, 2023. Read SEC document |
| January 14, 2022 Filed Jan 18, 2022 17:11 UTC | Kaleido Biosciences, Inc. KLDO · Entity 129745 | GrantRestricted Stock Units · Derivative | 125,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-003528 · doc4.xml · derivative · entry 2 Duke William E. · CIK 0001636135 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 125,000 Underlying: Common Stock · 125,000 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Company's common stock. F3 · derivative.exercise_date: The restricted stock units shall vest on the earlier of 50% on January 14, 2023 and 50% on January 14, 2024 provided, however, that the grant shall immediately vest as of the date of any change in control of the issuer. F3 · derivative.expiration_date: The restricted stock units shall vest on the earlier of 50% on January 14, 2023 and 50% on January 14, 2024 provided, however, that the grant shall immediately vest as of the date of any change in control of the issuer. Read SEC document |
| January 14, 2022 Filed Jan 18, 2022 17:11 UTC | Kaleido Biosciences, Inc. KLDO · Entity 129745 | GrantRestricted Stock Units · Derivative | 44,990 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-003528 · doc4.xml · derivative · entry 1 Duke William E. · CIK 0001636135 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,990 Underlying: Common Stock · 44,990 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Company's common stock. F2 · derivative.exercise_date: The restricted stock units shall vest 100% on April 30, 2022 provided, however, that the grant shall immediately vest as of the date of any change in control of the issuer. F2 · derivative.expiration_date: The restricted stock units shall vest 100% on April 30, 2022 provided, however, that the grant shall immediately vest as of the date of any change in control of the issuer. Read SEC document |
| September 01, 2021 Filed Sep 2, 2021 16:16 UTC | Kaleido Biosciences, Inc. KLDO · Entity 129745 | GrantStock Option (Right to Buy) · Derivative | 60,000 | $0.00 Strike: $6.29 | $0.00 |
DisclosureSEC source: 0001209191-21-054430 · doc4.xml · derivative · entry 1 Duke William E. · CIK 0001636135 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,000 Underlying: Common Stock · 60,000 shares Expires 2031-08-31 F1 · derivative.exercise_date: 25% of this option shall vest on September 1, 2022, with the remainder vesting in 12 equal quarterly installments thereafter. Read SEC document |
| March 01, 2021 Filed Mar 2, 2021 17:10 UTC | Kaleido Biosciences, Inc. KLDO · Entity 129745 | GrantStock Option (Right to Buy) · Derivative | 60,000 | $0.00 Strike: $9.81 | $0.00 |
DisclosureSEC source: 0001209191-21-016180 · doc4.xml · derivative · entry 1 Duke William E. · CIK 0001636135 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,000 Underlying: Common Stock · 60,000 shares Expires 2031-02-28 F1 · derivative.exercise_date: 25% of this option shall vest on March 1, 2022, with the remainder vesting in 12 equal quarterly installments thereafter. Read SEC document |
| October 15, 2020 Filed Oct 19, 2020 07:38 UTC | Kaleido Biosciences, Inc. KLDO · Entity 129745 | GrantStock Option (Right to Buy) · Derivative | 50,000 | $0.00 Strike: $8.69 | $0.00 |
DisclosureSEC source: 0001209191-20-055209 · doc4.xml · derivative · entry 1 Duke William E. · CIK 0001636135 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Stock · 50,000 shares Expires 2030-10-14 F1 · derivative.exercise_date: 25% of this option shall vest on October 15, 2021, with the remainder vesting in 12 equal quarterly installments thereafter. Read SEC document |
| April 15, 2020 Filed Apr 17, 2020 08:01 UTC | Kaleido Biosciences, Inc. KLDO · Entity 129745 | GrantStock Option (Right to Buy) · Derivative | 50,000 | $0.00 Strike: $6.00 | $0.00 |
DisclosureSEC source: 0000899243-20-010885 · doc4.xml · derivative · entry 1 Duke William E. · CIK 0001636135 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Stock · 50,000 shares Expires 2030-04-14 F1 · derivative.exercise_date: 25% of this option shall vest on April 15, 2021, with the remaining 75% vesting in 12 equal quarterly installments thereafter. Read SEC document |
| November 29, 2019 Filed Dec 2, 2019 17:15 UTC | Kaleido Biosciences, Inc. KLDO · Entity 129745 | GrantStock Option (Right to Buy) · Derivative | 270,000 | $0.00 Strike: $8.71 | $0.00 |
DisclosureSEC source: 0000899243-19-028358 · doc4.xml · derivative · entry 1 Duke William E. · CIK 0001636135 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 270,000 Underlying: Common Stock · 270,000 shares Expires 2029-11-28 F1 · derivative.exercise_date: 25% of this option shall vest on November 22, 2020, with the remainder vesting in 12 equal quarterly installments thereafter. Read SEC document |
| May 16, 2019 Filed May 20, 2019 20:10 UTC | Pulmatrix, Inc. PULM · Entity 8249 | GrantStock Option (Right to Buy) · Derivative | 160,000 | $0.00 Strike: $1.06 | $0.00 |
DisclosureSEC source: 0000899243-19-014133 · doc4.xml · derivative · entry 1 Duke William E. · CIK 0001636135 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 160,000 Underlying: Common Stock · 160,000 shares Expires 2029-05-16 F1 · derivative.exercise_date: The option vests in forty-eight (48) equal monthly installments on the 16th day of each month, with the first tranche vesting on June 16, 2019, provided that the reporting person is providing services to the Issuer on the applicable vesting date and subject to the terms and conditions of the Pulmatrix, Inc. Amended and Restated 2013 Employee, Director and Consultant Equity Incentive Plan. Read SEC document |
| June 05, 2018 Filed Jun 6, 2018 22:00 UTC | Pulmatrix, Inc. PULM · Entity 8249 | GrantStock Option (Right to Buy) · Derivative | 850,000 | $0.00 Strike: $0.47 | $0.00 |
DisclosureSEC source: 0000899243-18-015295 · doc4.xml · derivative · entry 1 Duke William E. · CIK 0001636135 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 850,000 Underlying: Common Stock · 850,000 shares Expires 2028-06-05 F1 · derivative.exercise_date: One-fourth (1/4) of the option vested on June 5, 2018 and the remainder vests in thirty-six (36) equal monthly installments with 2.083% vesting on the last day of each of the next thirty-six (36) months that follow June 5, 2018, provided that the reporting person is providing services to the Issuer on the applicable vesting date and subject to the terms and conditions of the Pulmatrix, Inc. 2013 Employee, Director and Consultant Equity Incentive Plan. Read SEC document |
| March 20, 2017 Filed Mar 22, 2017 22:49 UTC | Pulmatrix, Inc. PULM · Entity 8249 | GrantStock Option (Right to Buy) · Derivative | 75,100 | $0.00 Strike: $2.78 | $0.00 |
DisclosureSEC source: 0000899243-17-008410 · doc4.xml · derivative · entry 1 Duke William E. · CIK 0001636135 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,100 Underlying: Common Stock · 75,100 shares Expires 2027-03-20 F1 · derivative.exercise_date: The option vests as to 25% on March 20, 2018 and the remaining 75% vests in thirty-six (36) equal monthly installments with 2.083% vesting for each of the next thirty-six (36) months that follow March 20, 2018, subject to the terms and conditions of the Pulmatrix, Inc. Amended and Restated 2013 Employee, Director and Consultant Equity Incentive Plan. 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.