Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Orchestra BioMed Holdings, Inc.OBIO · Entity 434 | Director | August 12, 2026 | August 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.
Orchestra BioMed Holdings, Inc.
Report date August 12, 2026 · Filed August 14, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.0001 per shareSEC Table I · non-derivative | Direct | 54,750 |
Reported balance
After 2026-08-12 transaction · row 1
1 source rowRow 1 · 2026-08-12 · Tax withholding · Disposed 3,761 · Balance 54,750 F1: Represents the withholding of shares by the Issuer to satisfy tax withholding obligations in connection with vesting of restricted stock units ("RSUs"). No shares were sold in the market as a result of the vesting of these RSUs and the satisfaction of tax withholding obligations. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents the withholding of shares by the Issuer to satisfy tax withholding obligations in connection with vesting of restricted stock units ("RSUs"). No shares were sold in the market as a result of the vesting of these RSUs and the satisfaction of tax withholding obligations.
Past disclosures · reporting ended (2)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
AVANOS MEDICAL, INC.
Report date July 27, 2026 · Filed July 28, 2026
Section 16 reporting ended · disclosed 2026-07-28. 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 2026-07-27 transaction · row 3
3 source rows · reconciled sequenceRow 1 · 2026-07-27 · Disposition to issuer · Disposed 322,194 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger, dated as of April 13, 2026 (as it has been or may be amended, supplemented, waived or otherwise modified in accordance with its terms, the Merger Agreement), by and among the Issuer, A-AV Holdco I, Inc., a Delaware corporation, and A-AV MergerSub, Inc. (Parent), a Delaware corporation and a wholly-owned subsidiary of Parent, each share of the Issuer's common stock, par value $0.01 per share, that was issued and outstanding immediately prior to the effective time of the Merger (the Effective Time), which occurred on July 27, 2026, was converted into and exchanged for the right to receive $25.00 per share in cash, without interest (the Merger Consideration), payable in accordance with the terms and subject to the conditions of the Merger Agreement. F2: Includes 270,774 restricted stock units of the Company which were subject to only time-based vesting conditions (each, a Company TRSU). Pursuant to the Merger Agreement, these Company TRSUs were canceled immediately prior to the Effective Time of the Merger and converted into the right to receive an amount in cash determined by multiplying (i) the Merger Consideration by (ii) the number of shares of Common Stock the reporting person would have been entitled to receive if such Company TRSUs had vested in full (less applicable tax withholdings) Row 2 · 2026-07-27 · Grant · Acquired 444,730 · Balance 444,730 F3: Represents the deemed acquisition and disposition of Common Stock pursuant to restricted stock units that were subject to performance-based vesting conditions (each, a Company PRSU), which were previously granted to the reporting person. F4: Pursuant to the Merger Agreement, these Company PRSUs were canceled immediately prior to the Effective Time of the Merger and converted into the right to receive an amount in cash determined by multiplying (i) the Merger Consideration per share of Common Stock by (ii) the number of shares of Common Stock such holder would have been entitled to receive if such Company PRSU award had vested based on (A) actual performance against performance metrics for any one-year performance period completed prior to the Effective Time, (B) for any one-year performance period that is in progress as of the Effective Time, the greater of (1) actual achievement against performance metrics and (2) its target level (although, as referenced below, such awards will be converted at target level with a potential true-up), and (C) deemed achievement at target level for any one-year performance period that has not yet commenced as of the Effective Time (less applicable tax withholdings). F5: The amount reported represents the aggregate number of Company PRSUs paid out to the Reporting Person at (or within 15 business days following) the Effective Time based on target performance for fiscal year 2026. In the event that actual performance for fiscal year 2026 exceeds target, the reporting person will receive a true-up payment. The maximum aggregate number of Company PRSUs that the reporting person could earn based on actual performance for fiscal year 2026 is 754,331. Row 3 · 2026-07-27 · Disposition to issuer · Disposed 444,730 · Balance 0 F3: Represents the deemed acquisition and disposition of Common Stock pursuant to restricted stock units that were subject to performance-based vesting conditions (each, a Company PRSU), which were previously granted to the reporting person. F4: Pursuant to the Merger Agreement, these Company PRSUs were canceled immediately prior to the Effective Time of the Merger and converted into the right to receive an amount in cash determined by multiplying (i) the Merger Consideration per share of Common Stock by (ii) the number of shares of Common Stock such holder would have been entitled to receive if such Company PRSU award had vested based on (A) actual performance against performance metrics for any one-year performance period completed prior to the Effective Time, (B) for any one-year performance period that is in progress as of the Effective Time, the greater of (1) actual achievement against performance metrics and (2) its target level (although, as referenced below, such awards will be converted at target level with a potential true-up), and (C) deemed achievement at target level for any one-year performance period that has not yet commenced as of the Effective Time (less applicable tax withholdings). F5: The amount reported represents the aggregate number of Company PRSUs paid out to the Reporting Person at (or within 15 business days following) the Effective Time based on target performance for fiscal year 2026. In the event that actual performance for fiscal year 2026 exceeds target, the reporting person will receive a true-up payment. The maximum aggregate number of Company PRSUs that the reporting person could earn based on actual performance for fiscal year 2026 is 754,331. |
| Employee Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $13.69 · Expires 2036-03-13 | Direct | 0 |
Reported balance
After 2026-07-27 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2026-07-27 · Disposition to issuer · Disposed 239,354 · Balance 0 F7: Pursuant to the Merger Agreement, these stock options were canceled immediately prior to the Effective Time of the Merger and converted into the right to receive an amount in cash determined by multiplying (i) the excess of (A) the Merger Consideration minus (B) the exercise price payable in respect of each share of Common Stock subject to such stock option, by (ii) the number of shares of Common Stock the reporting person would have been entitled to receive upon exercise if such stock option award had vested in full (less applicable tax withholdings). Company stock options with an exercise price per share that exceeds the Merger Consideration were canceled for no consideration, which cancelations are exempt from Section 16 of the Securities Exchange Act of 1934, as amended, pursuant to Rules 16a-4(d) and 16b-6(d) thereunder. F6: These options were originally scheduled to vest 30% on March 13, 2027, 30% on March 13, 2028 and 40% on March 13, 2029. |
Filing footnotes · ownership attribution and instrument terms
F1: Pursuant to the Agreement and Plan of Merger, dated as of April 13, 2026 (as it has been or may be amended, supplemented, waived or otherwise modified in accordance with its terms, the Merger Agreement), by and among the Issuer, A-AV Holdco I, Inc., a Delaware corporation, and A-AV MergerSub, Inc. (Parent), a Delaware corporation and a wholly-owned subsidiary of Parent, each share of the Issuer's common stock, par value $0.01 per share, that was issued and outstanding immediately prior to the effective time of the Merger (the Effective Time), which occurred on July 27, 2026, was converted into and exchanged for the right to receive $25.00 per share in cash, without interest (the Merger Consideration), payable in accordance with the terms and subject to the conditions of the Merger Agreement.
F2: Includes 270,774 restricted stock units of the Company which were subject to only time-based vesting conditions (each, a Company TRSU). Pursuant to the Merger Agreement, these Company TRSUs were canceled immediately prior to the Effective Time of the Merger and converted into the right to receive an amount in cash determined by multiplying (i) the Merger Consideration by (ii) the number of shares of Common Stock the reporting person would have been entitled to receive if such Company TRSUs had vested in full (less applicable tax withholdings)
F3: Represents the deemed acquisition and disposition of Common Stock pursuant to restricted stock units that were subject to performance-based vesting conditions (each, a Company PRSU), which were previously granted to the reporting person.
F4: Pursuant to the Merger Agreement, these Company PRSUs were canceled immediately prior to the Effective Time of the Merger and converted into the right to receive an amount in cash determined by multiplying (i) the Merger Consideration per share of Common Stock by (ii) the number of shares of Common Stock such holder would have been entitled to receive if such Company PRSU award had vested based on (A) actual performance against performance metrics for any one-year performance period completed prior to the Effective Time, (B) for any one-year performance period that is in progress as of the Effective Time, the greater of (1) actual achievement against performance metrics and (2) its target level (although, as referenced below, such awards will be converted at target level with a potential true-up), and (C) deemed achievement at target level for any one-year performance period that has not yet commenced as of the Effective Time (less applicable tax withholdings).
F5: The amount reported represents the aggregate number of Company PRSUs paid out to the Reporting Person at (or within 15 business days following) the Effective Time based on target performance for fiscal year 2026. In the event that actual performance for fiscal year 2026 exceeds target, the reporting person will receive a true-up payment. The maximum aggregate number of Company PRSUs that the reporting person could earn based on actual performance for fiscal year 2026 is 754,331.
F6: These options were originally scheduled to vest 30% on March 13, 2027, 30% on March 13, 2028 and 40% on March 13, 2029.
F7: Pursuant to the Merger Agreement, these stock options were canceled immediately prior to the Effective Time of the Merger and converted into the right to receive an amount in cash determined by multiplying (i) the excess of (A) the Merger Consideration minus (B) the exercise price payable in respect of each share of Common Stock subject to such stock option, by (ii) the number of shares of Common Stock the reporting person would have been entitled to receive upon exercise if such stock option award had vested in full (less applicable tax withholdings). Company stock options with an exercise price per share that exceeds the Merger Consideration were canceled for no consideration, which cancelations are exempt from Section 16 of the Securities Exchange Act of 1934, as amended, pursuant to Rules 16a-4(d) and 16b-6(d) thereunder.
Apollo Endosurgery, Inc.
Report date April 04, 2023 · Filed April 04, 2023
Section 16 reporting ended · disclosed 2023-04-04. 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 2023-04-04 transaction · row 1
1 source rowRow 1 · 2023-04-04 · Disposition to issuer · Disposed 18,112 · Balance 0 F1: Reflects the disposition of the reporting person's 3,888 shares of Issuer common stock, par value $0.001 per share ("Issuer Common Stock"), upon the consummation of the transactions contemplated by the Agreement and Plan of Merger (the "Merger Agreement"), dated as of November 29, 2022, among the Issuer, Boston Scientific Corporation ("Parent") and Textile Merger Sub, Inc., an indirect wholly owned subsidiary of Parent ("Merger Sub"), including the consummation of the merger between Issuer and Merger Sub on April 4, 2023 (the "Merger"). Pursuant to the Merger Agreement, at the effective time of the Merger (the "Effective Time"), each outstanding share of Issuer Common Stock, was canceled and converted automatically into the right to receive $10.00 in cash, without interest (the "Merger Consideration"), less applicable taxes and authorized deductions. F2: Reflects the disposition of the reporting person's 14,224 shares of Issuer RSUs upon the consummation of the Merger. Pursuant to the Merger Agreement, at the Effective Time, each outstanding restricted stock unit award granted under any Issuer Stock Plan (each, an "Issuer RSU"), whether vested but unsettled or unvested, was canceled and converted into the right to receive an amount in cash, without interest, equal to the product of (1) the Merger Consideration and (2) the aggregate number of shares of Issuer Common Stock underlying such Issuer RSU, less applicable taxes and authorized deductions. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.98 · Expires 2027-12-12 | Direct | 0 |
Reported balance
After 2023-04-04 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2023-04-04 · Disposition to issuer · Disposed 15,154 · Balance 0 F3: Pursuant to the Merger Agreement, at the Effective Time, each outstanding and unexercised option to purchase shares of Issuer Common Stock granted under the Issuer's 2006 Stock Option Plan, 2016 Equity Incentive Plan or 2017 Equity Incentive Plan or pursuant to the "inducement" grant exception under Rule 5635(c)(4) of the Nasdaq Listing Rules (collectively, the "Issuer Stock Plans", and each such option, an "Issuer Option"), whether vested or unvested, was canceled and converted into the right to receive an amount in cash, without interest, equal to the product of (1) the amount by which the Merger Consideration exceeds the exercise price per share applicable to such Issuer Option and (2) the aggregate number of shares of Issuer Common Stock issuable upon exercise of such Issuer Option, less applicable taxes and authorized deductions. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.95 · Expires 2032-06-14 | Direct | 0 |
Reported balance
After 2023-04-04 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2023-04-04 · Disposition to issuer · Disposed 19,333 · Balance 0 F3: Pursuant to the Merger Agreement, at the Effective Time, each outstanding and unexercised option to purchase shares of Issuer Common Stock granted under the Issuer's 2006 Stock Option Plan, 2016 Equity Incentive Plan or 2017 Equity Incentive Plan or pursuant to the "inducement" grant exception under Rule 5635(c)(4) of the Nasdaq Listing Rules (collectively, the "Issuer Stock Plans", and each such option, an "Issuer Option"), whether vested or unvested, was canceled and converted into the right to receive an amount in cash, without interest, equal to the product of (1) the amount by which the Merger Consideration exceeds the exercise price per share applicable to such Issuer Option and (2) the aggregate number of shares of Issuer Common Stock issuable upon exercise of such Issuer Option, less applicable taxes and authorized deductions. |
| Non-Qualified Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.27 · Expires 2029-08-16 | Direct | 0 |
Reported balance
After 2023-04-04 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2023-04-04 · Disposition to issuer · Disposed 16,536 · Balance 0 F3: Pursuant to the Merger Agreement, at the Effective Time, each outstanding and unexercised option to purchase shares of Issuer Common Stock granted under the Issuer's 2006 Stock Option Plan, 2016 Equity Incentive Plan or 2017 Equity Incentive Plan or pursuant to the "inducement" grant exception under Rule 5635(c)(4) of the Nasdaq Listing Rules (collectively, the "Issuer Stock Plans", and each such option, an "Issuer Option"), whether vested or unvested, was canceled and converted into the right to receive an amount in cash, without interest, equal to the product of (1) the amount by which the Merger Consideration exceeds the exercise price per share applicable to such Issuer Option and (2) the aggregate number of shares of Issuer Common Stock issuable upon exercise of such Issuer Option, less applicable taxes and authorized deductions. |
| Non-Qualified Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.08 · Expires 2030-05-07 | Direct | 0 |
Reported balance
After 2023-04-04 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2023-04-04 · Disposition to issuer · Disposed 27,749 · Balance 0 F3: Pursuant to the Merger Agreement, at the Effective Time, each outstanding and unexercised option to purchase shares of Issuer Common Stock granted under the Issuer's 2006 Stock Option Plan, 2016 Equity Incentive Plan or 2017 Equity Incentive Plan or pursuant to the "inducement" grant exception under Rule 5635(c)(4) of the Nasdaq Listing Rules (collectively, the "Issuer Stock Plans", and each such option, an "Issuer Option"), whether vested or unvested, was canceled and converted into the right to receive an amount in cash, without interest, equal to the product of (1) the amount by which the Merger Consideration exceeds the exercise price per share applicable to such Issuer Option and (2) the aggregate number of shares of Issuer Common Stock issuable upon exercise of such Issuer Option, less applicable taxes and authorized deductions. |
| Non-Qualified Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $8.86 · Expires 2031-06-17 | Direct | 0 |
Reported balance
After 2023-04-04 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2023-04-04 · Disposition to issuer · Disposed 5,271 · Balance 0 F3: Pursuant to the Merger Agreement, at the Effective Time, each outstanding and unexercised option to purchase shares of Issuer Common Stock granted under the Issuer's 2006 Stock Option Plan, 2016 Equity Incentive Plan or 2017 Equity Incentive Plan or pursuant to the "inducement" grant exception under Rule 5635(c)(4) of the Nasdaq Listing Rules (collectively, the "Issuer Stock Plans", and each such option, an "Issuer Option"), whether vested or unvested, was canceled and converted into the right to receive an amount in cash, without interest, equal to the product of (1) the amount by which the Merger Consideration exceeds the exercise price per share applicable to such Issuer Option and (2) the aggregate number of shares of Issuer Common Stock issuable upon exercise of such Issuer Option, less applicable taxes and authorized deductions. |
Filing footnotes · ownership attribution and instrument terms
F1: Reflects the disposition of the reporting person's 3,888 shares of Issuer common stock, par value $0.001 per share ("Issuer Common Stock"), upon the consummation of the transactions contemplated by the Agreement and Plan of Merger (the "Merger Agreement"), dated as of November 29, 2022, among the Issuer, Boston Scientific Corporation ("Parent") and Textile Merger Sub, Inc., an indirect wholly owned subsidiary of Parent ("Merger Sub"), including the consummation of the merger between Issuer and Merger Sub on April 4, 2023 (the "Merger"). Pursuant to the Merger Agreement, at the effective time of the Merger (the "Effective Time"), each outstanding share of Issuer Common Stock, was canceled and converted automatically into the right to receive $10.00 in cash, without interest (the "Merger Consideration"), less applicable taxes and authorized deductions.
F2: Reflects the disposition of the reporting person's 14,224 shares of Issuer RSUs upon the consummation of the Merger. Pursuant to the Merger Agreement, at the Effective Time, each outstanding restricted stock unit award granted under any Issuer Stock Plan (each, an "Issuer RSU"), whether vested but unsettled or unvested, was canceled and converted into the right to receive an amount in cash, without interest, equal to the product of (1) the Merger Consideration and (2) the aggregate number of shares of Issuer Common Stock underlying such Issuer RSU, less applicable taxes and authorized deductions.
F3: Pursuant to the Merger Agreement, at the Effective Time, each outstanding and unexercised option to purchase shares of Issuer Common Stock granted under the Issuer's 2006 Stock Option Plan, 2016 Equity Incentive Plan or 2017 Equity Incentive Plan or pursuant to the "inducement" grant exception under Rule 5635(c)(4) of the Nasdaq Listing Rules (collectively, the "Issuer Stock Plans", and each such option, an "Issuer Option"), whether vested or unvested, was canceled and converted into the right to receive an amount in cash, without interest, equal to the product of (1) the amount by which the Merger Consideration exceeds the exercise price per share applicable to such Issuer Option and (2) the aggregate number of shares of Issuer Common Stock issuable upon exercise of such Issuer Option, less applicable taxes and authorized deductions.
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 12, 2026 Filed Aug 14, 2026 20:17 UTC | Orchestra BioMed Holdings, Inc. OBIO · Entity 434 | Tax withholdingCommon Stock, par value $0.0001 per share | 3,761 | $4.42 | $16,623.62 |
DisclosureSEC source: 0001104659-26-097195 · tm2623285-4_4seq1.xml · nonDerivative · entry 1 Pacitti David · CIK 0001722733 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 54,750 F1 · kind: Represents the withholding of shares by the Issuer to satisfy tax withholding obligations in connection with vesting of restricted stock units ("RSUs"). No shares were sold in the market as a result of the vesting of these RSUs and the satisfaction of tax withholding obligations. Read SEC document |
| July 27, 2026 Filed Jul 28, 2026 21:39 UTC | AVANOS MEDICAL, INC. AVNS · Entity 28189 | Disposition to issuerEmployee Stock Option (right to buy) · Derivative | 239,354 | Not disclosed Strike: $13.69 | Not disclosed |
DisclosureSEC source: 0001606498-26-000110 · wk-form4_1785274760.xml · derivative · entry 4 Pacitti David · CIK 0001722733 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 239,354 shares Expires 2036-03-13 F7 · price: Pursuant to the Merger Agreement, these stock options were canceled immediately prior to the Effective Time of the Merger and converted into the right to receive an amount in cash determined by multiplying (i) the excess of (A) the Merger Consideration minus (B) the exercise price payable in respect of each share of Common Stock subject to such stock option, by (ii) the number of shares of Common Stock the reporting person would have been entitled to receive upon exercise if such stock option award had vested in full (less applicable tax withholdings). Company stock options with an exercise price per share that exceeds the Merger Consideration were canceled for no consideration, which cancelations are exempt from Section 16 of the Securities Exchange Act of 1934, as amended, pursuant to Rules 16a-4(d) and 16b-6(d) thereunder. F6 · derivative.exercise_date: These options were originally scheduled to vest 30% on March 13, 2027, 30% on March 13, 2028 and 40% on March 13, 2029. Read SEC document |
| July 27, 2026 Filed Jul 28, 2026 21:39 UTC | AVANOS MEDICAL, INC. AVNS · Entity 28189 | Disposition to issuerCommon Stock | 444,730 | $25.00 | $11,118,250.00 |
DisclosureSEC source: 0001606498-26-000110 · wk-form4_1785274760.xml · nonDerivative · entry 3 Pacitti David · CIK 0001722733 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 F3 · shares: Represents the deemed acquisition and disposition of Common Stock pursuant to restricted stock units that were subject to performance-based vesting conditions (each, a Company PRSU), which were previously granted to the reporting person. F4 · shares: Pursuant to the Merger Agreement, these Company PRSUs were canceled immediately prior to the Effective Time of the Merger and converted into the right to receive an amount in cash determined by multiplying (i) the Merger Consideration per share of Common Stock by (ii) the number of shares of Common Stock such holder would have been entitled to receive if such Company PRSU award had vested based on (A) actual performance against performance metrics for any one-year performance period completed prior to the Effective Time, (B) for any one-year performance period that is in progress as of the Effective Time, the greater of (1) actual achievement against performance metrics and (2) its target level (although, as referenced below, such awards will be converted at target level with a potential true-up), and (C) deemed achievement at target level for any one-year performance period that has not yet commenced as of the Effective Time (less applicable tax withholdings). F5 · shares: The amount reported represents the aggregate number of Company PRSUs paid out to the Reporting Person at (or within 15 business days following) the Effective Time based on target performance for fiscal year 2026. In the event that actual performance for fiscal year 2026 exceeds target, the reporting person will receive a true-up payment. The maximum aggregate number of Company PRSUs that the reporting person could earn based on actual performance for fiscal year 2026 is 754,331. Read SEC document |
| July 27, 2026 Filed Jul 28, 2026 21:39 UTC | AVANOS MEDICAL, INC. AVNS · Entity 28189 | GrantCommon Stock | 444,730 | $0.00 | $0.00 |
DisclosureSEC source: 0001606498-26-000110 · wk-form4_1785274760.xml · nonDerivative · entry 2 Pacitti David · CIK 0001722733 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 444,730 F3 · shares: Represents the deemed acquisition and disposition of Common Stock pursuant to restricted stock units that were subject to performance-based vesting conditions (each, a Company PRSU), which were previously granted to the reporting person. F4 · shares: Pursuant to the Merger Agreement, these Company PRSUs were canceled immediately prior to the Effective Time of the Merger and converted into the right to receive an amount in cash determined by multiplying (i) the Merger Consideration per share of Common Stock by (ii) the number of shares of Common Stock such holder would have been entitled to receive if such Company PRSU award had vested based on (A) actual performance against performance metrics for any one-year performance period completed prior to the Effective Time, (B) for any one-year performance period that is in progress as of the Effective Time, the greater of (1) actual achievement against performance metrics and (2) its target level (although, as referenced below, such awards will be converted at target level with a potential true-up), and (C) deemed achievement at target level for any one-year performance period that has not yet commenced as of the Effective Time (less applicable tax withholdings). F5 · shares: The amount reported represents the aggregate number of Company PRSUs paid out to the Reporting Person at (or within 15 business days following) the Effective Time based on target performance for fiscal year 2026. In the event that actual performance for fiscal year 2026 exceeds target, the reporting person will receive a true-up payment. The maximum aggregate number of Company PRSUs that the reporting person could earn based on actual performance for fiscal year 2026 is 754,331. Read SEC document |
| July 27, 2026 Filed Jul 28, 2026 21:39 UTC | AVANOS MEDICAL, INC. AVNS · Entity 28189 | Disposition to issuerCommon Stock | 322,194 | $25.00 | $8,054,850.00 |
DisclosureSEC source: 0001606498-26-000110 · wk-form4_1785274760.xml · nonDerivative · entry 1 Pacitti David · CIK 0001722733 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 F1 · shares: Pursuant to the Agreement and Plan of Merger, dated as of April 13, 2026 (as it has been or may be amended, supplemented, waived or otherwise modified in accordance with its terms, the Merger Agreement), by and among the Issuer, A-AV Holdco I, Inc., a Delaware corporation, and A-AV MergerSub, Inc. (Parent), a Delaware corporation and a wholly-owned subsidiary of Parent, each share of the Issuer's common stock, par value $0.01 per share, that was issued and outstanding immediately prior to the effective time of the Merger (the Effective Time), which occurred on July 27, 2026, was converted into and exchanged for the right to receive $25.00 per share in cash, without interest (the Merger Consideration), payable in accordance with the terms and subject to the conditions of the Merger Agreement. F2 · shares: Includes 270,774 restricted stock units of the Company which were subject to only time-based vesting conditions (each, a Company TRSU). Pursuant to the Merger Agreement, these Company TRSUs were canceled immediately prior to the Effective Time of the Merger and converted into the right to receive an amount in cash determined by multiplying (i) the Merger Consideration by (ii) the number of shares of Common Stock the reporting person would have been entitled to receive if such Company TRSUs had vested in full (less applicable tax withholdings) Read SEC document |
| June 24, 2026 Filed Jun 25, 2026 20:20 UTC | Orchestra BioMed Holdings, Inc. OBIO · Entity 434 | Tax withholdingCommon Stock | 3,784 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-26-077778 · tm2618965-5_4seq1.xml · nonDerivative · entry 2 Pacitti David · CIK 0001722733 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 58,511 F2 · kind: Represents the withholding of shares by the Issuer to satisfy tax withholding obligations in connection with vesting of RSUs. No shares were sold in the market as a result of the vesting of these RSUs and the satisfaction of tax withholding obligations. Read SEC document |
| June 23, 2026 Filed Jun 25, 2026 20:20 UTC | Orchestra BioMed Holdings, Inc. OBIO · Entity 434 | GrantStock Option (Right to Buy) · Derivative | 21,277 | $0.00 Strike: $4.04 | $0.00 |
DisclosureSEC source: 0001104659-26-077778 · tm2618965-5_4seq1.xml · derivative · entry 3 Pacitti David · CIK 0001722733 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 21,277 Underlying: Common Stock · 21,277 shares Expires 2036-06-23 F3 · derivative.exercise_date: The stock options will vest on the one year anniversary of the Grant Date, subject to the Reporting Person's continuous service through such date. Read SEC document |
| June 23, 2026 Filed Jun 25, 2026 20:20 UTC | Orchestra BioMed Holdings, Inc. OBIO · Entity 434 | GrantCommon Stock, par value $0.0001 per share ("Common Stock") | 17,327 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-26-077778 · tm2618965-5_4seq1.xml · nonDerivative · entry 1 Pacitti David · CIK 0001722733 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 62,295 F1 · shares: Represents an award of restricted stock units ("RSUs") awarded to the Reporting Person on June 23, 2026 (the "Grant Date"). Each RSU represents a contingent right to receive one share of Common Stock. The RSUs will vest on the one year anniversary of the Grant Date, subject to the Reporting Person's continuous service through such date. Read SEC document |
| April 14, 2026 Filed Apr 16, 2026 20:37 UTC | AVANOS MEDICAL, INC. AVNS · Entity 28189 | Tax withholdingCommon Stock | 21,194 | $14.53 | $307,948.82 |
DisclosureSEC source: 0001606498-26-000052 · wk-form4_1776371856.xml · nonDerivative · entry 1 Pacitti David · CIK 0001722733 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 322,194 F1 · kind: Reflects shares surrendered to the Issuer to satisfy tax withholding obligations upon the vesting of 72,614 time-based restricted share units (TRSUs) which: (i) were awarded to the Reporting Person on April 14, 2025 and (ii) vested on April 14, 2026. Each TRSU is the economic equivalent of one share of Common Stock. Read SEC document |
| March 13, 2026 Filed Mar 17, 2026 21:23 UTC | AVANOS MEDICAL, INC. AVNS · Entity 28189 | GrantEmployee Stock Option (right to buy) · Derivative | 239,354 | $0.00 Strike: $13.69 | $0.00 |
DisclosureSEC source: 0001606498-26-000025 · wk-form4_1773782588.xml · derivative · entry 2 Pacitti David · CIK 0001722733 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 239,354 Underlying: Common Stock · 239,354 shares Expires 2036-03-13 F2 · derivative.exercise_date: The award will vest 30% on March 13, 2027, 30% on March 13, 2028 and 40% on March 13, 2029. Read SEC document |
| March 13, 2026 Filed Mar 17, 2026 21:23 UTC | AVANOS MEDICAL, INC. AVNS · Entity 28189 | GrantCommon Stock | 101,341 | $0.00 | $0.00 |
DisclosureSEC source: 0001606498-26-000025 · wk-form4_1773782588.xml · nonDerivative · entry 1 Pacitti David · CIK 0001722733 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 343,388 F1 · shares: Represents time-based restricted share units (TRSUs) awarded pursuant to the Issuer's 2021 Long Term Incentive Plan, as amended. The award will vest 1/3 on March 13, 2027, 1/3 on March 13, 2028 and 1/3 on March 13, 2029. Each TRSU is the economic equivalent of one share of Common Stock. Read SEC document |
| March 13, 2026 Filed Apr 1, 2026 19:22 UTC Amendment | AVANOS MEDICAL, INC. AVNS · Entity 28189 | GrantEmployee Stock Option (right to buy) · Derivative | 239,354 | $0.00 Strike: $13.69 | $0.00 |
DisclosureSEC source: 0001606498-26-000038 · wk-form4a_1775071319.xml · derivative · entry 2 Pacitti David · CIK 0001722733 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 239,354 Underlying: Common Stock · 239,354 shares Expires 2036-03-13 F2 · derivative.exercise_date: The award will vest 30% on March 13, 2027, 30% on March 13, 2028 and 40% on March 13, 2029. Read SEC document |
| March 13, 2026 Filed Apr 1, 2026 19:22 UTC Amendment | AVANOS MEDICAL, INC. AVNS · Entity 28189 | GrantCommon Stock | 101,341 | $0.00 | $0.00 |
DisclosureSEC source: 0001606498-26-000038 · wk-form4a_1775071319.xml · nonDerivative · entry 1 Pacitti David · CIK 0001722733 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 343,388 F1 · shares: Represents time-based restricted share units (TRSUs) awarded pursuant to the Issuer's 2021 Long Term Incentive Plan, as amended. The award will vest 1/3 on March 13, 2027, 1/3 on March 13, 2028 and 1/3 on March 13, 2029. Each TRSU is the economic equivalent of one share of Common Stock. Read SEC document |
| March 13, 2026 Filed Apr 1, 2026 15:48 UTC Amendment | AVANOS MEDICAL, INC. AVNS · Entity 28189 | GrantEmployee Stock Option (right to buy) · Derivative | 241,021 | $0.00 Strike: $13.69 | $0.00 |
DisclosureSEC source: 0001606498-26-000033 · wk-form4a_1775058494.xml · derivative · entry 2 Pacitti David · CIK 0001722733 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 241,021 Underlying: Common Stock · 241,021 shares Expires 2036-03-13 F2 · derivative.exercise_date: The award will vest 30% on March 13, 2027, 30% on March 13, 2028 and 40% on March 13, 2029. Read SEC document |
| March 13, 2026 Filed Apr 1, 2026 15:48 UTC Amendment | AVANOS MEDICAL, INC. AVNS · Entity 28189 | GrantCommon Stock | 101,341 | $0.00 | $0.00 |
DisclosureSEC source: 0001606498-26-000033 · wk-form4a_1775058494.xml · nonDerivative · entry 1 Pacitti David · CIK 0001722733 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 343,388 F1 · shares: Represents time-based restricted share units (TRSUs) awarded pursuant to the Issuer's 2021 Long Term Incentive Plan, as amended. The award will vest 1/3 on March 13, 2027, 1/3 on March 13, 2028 and 1/3 on March 13, 2029. Each TRSU is the economic equivalent of one share of Common Stock. Read SEC document |
| August 07, 2025 Filed Aug 8, 2025 23:10 UTC | Orchestra BioMed Holdings, Inc. OBIO · Entity 434 | GrantCommon Stock, par value $0.0001 per share ("Common Stock") | 15,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-25-075780 · tm2523004-2_4seq1.xml · nonDerivative · entry 1 Pacitti David · CIK 0001722733 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 44,968 F1 · shares: Represents an award of restricted stock units ("RSUs") awarded to the Reporting Person on August 7, 2025 (the "Grant Date"). Each RSU represents a contingent right to receive one share of Common Stock. The RSUs will vest on the one year anniversary of the Grant Date, subject to the Reporting Person's continuous service through such date. Read SEC document |
| June 24, 2025 Filed Jun 26, 2025 21:14 UTC | Orchestra BioMed Holdings, Inc. OBIO · Entity 434 | GrantStock Option (Right to Buy) · Derivative | 36,797 | $0.00 Strike: $3.22 | $0.00 |
DisclosureSEC source: 0001104659-25-063092 · tm2519252-1_4seq1.xml · derivative · entry 2 Pacitti David · CIK 0001722733 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 36,797 Underlying: Common Stock · 36,797 shares Expires 2035-06-24 F2 · derivative.exercise_date: The stock options will vest in one installment on the earlier of (x) the one year anniversary of the Grant Date or (y) the date of the Issuer's 2026 Annual Meeting of Stockholders, subject to the Reporting Person's continuous service through such dates. Read SEC document |
| June 24, 2025 Filed Jun 26, 2025 21:14 UTC | Orchestra BioMed Holdings, Inc. OBIO · Entity 434 | GrantCommon Stock, par value $0.0001 per share ("Common Stock") | 12,422 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-25-063092 · tm2519252-1_4seq1.xml · nonDerivative · entry 1 Pacitti David · CIK 0001722733 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 29,968 F1 · shares: Represents an award of restricted stock units ("RSUs") awarded to the Reporting Person on June 24, 2025 (the "Grant Date"). Each RSU represents a contingent right to receive one share of Common Stock. The RSUs will vest in one installment on the earlier of (x) the one year anniversary of the Grant Date or (y) the date of the Issuer's 2026 Annual Meeting of Stockholders, subject to the Reporting Person's continuous service through such dates. Read SEC document |
| June 20, 2024 Filed Jun 21, 2024 21:55 UTC | Orchestra BioMed Holdings, Inc. OBIO · Entity 434 | GrantStock Option (Right to Buy) · Derivative | 17,068 | $0.00 Strike: $7.44 | $0.00 |
DisclosureSEC source: 0001104659-24-074009 · tm2417742-1_4seq1.xml · derivative · entry 2 Pacitti David · CIK 0001722733 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 17,068 Underlying: Common Stock · 17,068 shares Expires 2034-06-20 Read SEC document |
| June 20, 2024 Filed Jun 21, 2024 21:55 UTC | Orchestra BioMed Holdings, Inc. OBIO · Entity 434 | GrantCommon Stock, par value $0.0001 per share ("Common Stock") | 5,376 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-24-074009 · tm2417742-1_4seq1.xml · nonDerivative · entry 1 Pacitti David · CIK 0001722733 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 17,546 F1 · shares: Represents an award of restricted stock units ("RSUs") awarded to the Reporting Person on June 20, 2024. Each RSU represents a contingent right to receive one share of Common Stock. The RSUs vest on June 20, 2025. Read SEC document |
| March 26, 2024 Filed Mar 29, 2024 01:00 UTC | Orchestra BioMed Holdings, Inc. OBIO · Entity 434 | GrantStock Option (Right to Buy) · Derivative | 34,633 | $0.00 Strike: $5.00 | $0.00 |
DisclosureSEC source: 0001104659-24-040737 · tm2410168-2_4seq1.xml · derivative · entry 2 Pacitti David · CIK 0001722733 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 34,633 Underlying: Common Stock · 34,633 shares Expires 2034-03-26 F2 · derivative.exercise_date: The stock options shall vest as follows: (1) 7,302 stock options shall vest on the Vesting Date and (2) the remaining 27,331 stock options shall vest in three equal, annual installments beginning on the first anniversary of the Vesting Date, subject to the Reporting Person's continuous service through such date. Read SEC document |
| March 26, 2024 Filed Mar 29, 2024 01:00 UTC | Orchestra BioMed Holdings, Inc. OBIO · Entity 434 | GrantCommon Stock, par value $0.0001 per share ("Common Stock") | 10,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-24-040737 · tm2410168-2_4seq1.xml · nonDerivative · entry 1 Pacitti David · CIK 0001722733 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 12,170 F1 · shares: Represents an award of restricted stock units ("RSUs") awarded to the Reporting Person on March 26, 2024. Each RSU represents a contingent right to receive one share of Common Stock. The RSUs vest as follows: (1) 2,000 RSUs vest on June 20, 2024 (the "Vesting Date") and (2) the remaining 8,000 RSUs vest in three equal, annual installments beginning on the first anniversary of the Vesting Date, subject to the Reporting Person's continuous service through such dates. Read SEC document |
| April 04, 2023 Filed Apr 4, 2023 19:53 UTC | Apollo Endosurgery, Inc. APEN · Entity 114713 | Disposition to issuerStock Option (Right to Buy) · Derivative | 19,333 | Not disclosed Strike: $3.95 | Not disclosed |
DisclosureSEC source: 0001251769-23-000020 · wf-form4_168065240161265.xml · derivative · entry 6 Pacitti David · CIK 0001722733 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 19,333 shares Expires 2032-06-14 F3 · price: Pursuant to the Merger Agreement, at the Effective Time, each outstanding and unexercised option to purchase shares of Issuer Common Stock granted under the Issuer's 2006 Stock Option Plan, 2016 Equity Incentive Plan or 2017 Equity Incentive Plan or pursuant to the "inducement" grant exception under Rule 5635(c)(4) of the Nasdaq Listing Rules (collectively, the "Issuer Stock Plans", and each such option, an "Issuer Option"), whether vested or unvested, was canceled and converted into the right to receive an amount in cash, without interest, equal to the product of (1) the amount by which the Merger Consideration exceeds the exercise price per share applicable to such Issuer Option and (2) the aggregate number of shares of Issuer Common Stock issuable upon exercise of such Issuer Option, less applicable taxes and authorized deductions. F3 · derivative.exercise_date: Pursuant to the Merger Agreement, at the Effective Time, each outstanding and unexercised option to purchase shares of Issuer Common Stock granted under the Issuer's 2006 Stock Option Plan, 2016 Equity Incentive Plan or 2017 Equity Incentive Plan or pursuant to the "inducement" grant exception under Rule 5635(c)(4) of the Nasdaq Listing Rules (collectively, the "Issuer Stock Plans", and each such option, an "Issuer Option"), whether vested or unvested, was canceled and converted into the right to receive an amount in cash, without interest, equal to the product of (1) the amount by which the Merger Consideration exceeds the exercise price per share applicable to such Issuer Option and (2) the aggregate number of shares of Issuer Common Stock issuable upon exercise of such Issuer Option, less applicable taxes and authorized deductions. Read SEC document |
| April 04, 2023 Filed Apr 4, 2023 19:53 UTC | Apollo Endosurgery, Inc. APEN · Entity 114713 | Disposition to issuerNon-Qualified Stock Option (right to buy) · Derivative | 5,271 | Not disclosed Strike: $8.86 | Not disclosed |
DisclosureSEC source: 0001251769-23-000020 · wf-form4_168065240161265.xml · derivative · entry 5 Pacitti David · CIK 0001722733 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,271 shares Expires 2031-06-17 F3 · price: Pursuant to the Merger Agreement, at the Effective Time, each outstanding and unexercised option to purchase shares of Issuer Common Stock granted under the Issuer's 2006 Stock Option Plan, 2016 Equity Incentive Plan or 2017 Equity Incentive Plan or pursuant to the "inducement" grant exception under Rule 5635(c)(4) of the Nasdaq Listing Rules (collectively, the "Issuer Stock Plans", and each such option, an "Issuer Option"), whether vested or unvested, was canceled and converted into the right to receive an amount in cash, without interest, equal to the product of (1) the amount by which the Merger Consideration exceeds the exercise price per share applicable to such Issuer Option and (2) the aggregate number of shares of Issuer Common Stock issuable upon exercise of such Issuer Option, less applicable taxes and authorized deductions. F3 · derivative.exercise_date: Pursuant to the Merger Agreement, at the Effective Time, each outstanding and unexercised option to purchase shares of Issuer Common Stock granted under the Issuer's 2006 Stock Option Plan, 2016 Equity Incentive Plan or 2017 Equity Incentive Plan or pursuant to the "inducement" grant exception under Rule 5635(c)(4) of the Nasdaq Listing Rules (collectively, the "Issuer Stock Plans", and each such option, an "Issuer Option"), whether vested or unvested, was canceled and converted into the right to receive an amount in cash, without interest, equal to the product of (1) the amount by which the Merger Consideration exceeds the exercise price per share applicable to such Issuer Option and (2) the aggregate number of shares of Issuer Common Stock issuable upon exercise of such Issuer Option, less applicable taxes and authorized deductions. Read SEC document |
| April 04, 2023 Filed Apr 4, 2023 19:53 UTC | Apollo Endosurgery, Inc. APEN · Entity 114713 | Disposition to issuerNon-Qualified Stock Option (right to buy) · Derivative | 27,749 | Not disclosed Strike: $2.08 | Not disclosed |
DisclosureSEC source: 0001251769-23-000020 · wf-form4_168065240161265.xml · derivative · entry 4 Pacitti David · CIK 0001722733 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 27,749 shares Expires 2030-05-07 F3 · price: Pursuant to the Merger Agreement, at the Effective Time, each outstanding and unexercised option to purchase shares of Issuer Common Stock granted under the Issuer's 2006 Stock Option Plan, 2016 Equity Incentive Plan or 2017 Equity Incentive Plan or pursuant to the "inducement" grant exception under Rule 5635(c)(4) of the Nasdaq Listing Rules (collectively, the "Issuer Stock Plans", and each such option, an "Issuer Option"), whether vested or unvested, was canceled and converted into the right to receive an amount in cash, without interest, equal to the product of (1) the amount by which the Merger Consideration exceeds the exercise price per share applicable to such Issuer Option and (2) the aggregate number of shares of Issuer Common Stock issuable upon exercise of such Issuer Option, less applicable taxes and authorized deductions. F3 · derivative.exercise_date: Pursuant to the Merger Agreement, at the Effective Time, each outstanding and unexercised option to purchase shares of Issuer Common Stock granted under the Issuer's 2006 Stock Option Plan, 2016 Equity Incentive Plan or 2017 Equity Incentive Plan or pursuant to the "inducement" grant exception under Rule 5635(c)(4) of the Nasdaq Listing Rules (collectively, the "Issuer Stock Plans", and each such option, an "Issuer Option"), whether vested or unvested, was canceled and converted into the right to receive an amount in cash, without interest, equal to the product of (1) the amount by which the Merger Consideration exceeds the exercise price per share applicable to such Issuer Option and (2) the aggregate number of shares of Issuer Common Stock issuable upon exercise of such Issuer Option, less applicable taxes and authorized deductions. Read SEC document |
| April 04, 2023 Filed Apr 4, 2023 19:53 UTC | Apollo Endosurgery, Inc. APEN · Entity 114713 | Disposition to issuerNon-Qualified Stock Option (right to buy) · Derivative | 16,536 | Not disclosed Strike: $3.27 | Not disclosed |
DisclosureSEC source: 0001251769-23-000020 · wf-form4_168065240161265.xml · derivative · entry 3 Pacitti David · CIK 0001722733 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 16,536 shares Expires 2029-08-16 F3 · price: Pursuant to the Merger Agreement, at the Effective Time, each outstanding and unexercised option to purchase shares of Issuer Common Stock granted under the Issuer's 2006 Stock Option Plan, 2016 Equity Incentive Plan or 2017 Equity Incentive Plan or pursuant to the "inducement" grant exception under Rule 5635(c)(4) of the Nasdaq Listing Rules (collectively, the "Issuer Stock Plans", and each such option, an "Issuer Option"), whether vested or unvested, was canceled and converted into the right to receive an amount in cash, without interest, equal to the product of (1) the amount by which the Merger Consideration exceeds the exercise price per share applicable to such Issuer Option and (2) the aggregate number of shares of Issuer Common Stock issuable upon exercise of such Issuer Option, less applicable taxes and authorized deductions. F3 · derivative.exercise_date: Pursuant to the Merger Agreement, at the Effective Time, each outstanding and unexercised option to purchase shares of Issuer Common Stock granted under the Issuer's 2006 Stock Option Plan, 2016 Equity Incentive Plan or 2017 Equity Incentive Plan or pursuant to the "inducement" grant exception under Rule 5635(c)(4) of the Nasdaq Listing Rules (collectively, the "Issuer Stock Plans", and each such option, an "Issuer Option"), whether vested or unvested, was canceled and converted into the right to receive an amount in cash, without interest, equal to the product of (1) the amount by which the Merger Consideration exceeds the exercise price per share applicable to such Issuer Option and (2) the aggregate number of shares of Issuer Common Stock issuable upon exercise of such Issuer Option, less applicable taxes and authorized deductions. Read SEC document |
| April 04, 2023 Filed Apr 4, 2023 19:53 UTC | Apollo Endosurgery, Inc. APEN · Entity 114713 | Disposition to issuerStock Option (Right to Buy) · Derivative | 15,154 | Not disclosed Strike: $3.98 | Not disclosed |
DisclosureSEC source: 0001251769-23-000020 · wf-form4_168065240161265.xml · derivative · entry 2 Pacitti David · CIK 0001722733 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Sock · 15,154 shares Expires 2027-12-12 F3 · price: Pursuant to the Merger Agreement, at the Effective Time, each outstanding and unexercised option to purchase shares of Issuer Common Stock granted under the Issuer's 2006 Stock Option Plan, 2016 Equity Incentive Plan or 2017 Equity Incentive Plan or pursuant to the "inducement" grant exception under Rule 5635(c)(4) of the Nasdaq Listing Rules (collectively, the "Issuer Stock Plans", and each such option, an "Issuer Option"), whether vested or unvested, was canceled and converted into the right to receive an amount in cash, without interest, equal to the product of (1) the amount by which the Merger Consideration exceeds the exercise price per share applicable to such Issuer Option and (2) the aggregate number of shares of Issuer Common Stock issuable upon exercise of such Issuer Option, less applicable taxes and authorized deductions. F3 · derivative.exercise_date: Pursuant to the Merger Agreement, at the Effective Time, each outstanding and unexercised option to purchase shares of Issuer Common Stock granted under the Issuer's 2006 Stock Option Plan, 2016 Equity Incentive Plan or 2017 Equity Incentive Plan or pursuant to the "inducement" grant exception under Rule 5635(c)(4) of the Nasdaq Listing Rules (collectively, the "Issuer Stock Plans", and each such option, an "Issuer Option"), whether vested or unvested, was canceled and converted into the right to receive an amount in cash, without interest, equal to the product of (1) the amount by which the Merger Consideration exceeds the exercise price per share applicable to such Issuer Option and (2) the aggregate number of shares of Issuer Common Stock issuable upon exercise of such Issuer Option, less applicable taxes and authorized deductions. Read SEC document |
| April 04, 2023 Filed Apr 4, 2023 19:53 UTC | Apollo Endosurgery, Inc. APEN · Entity 114713 | Disposition to issuerCommon Stock | 18,112 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001251769-23-000020 · wf-form4_168065240161265.xml · nonDerivative · entry 1 Pacitti David · CIK 0001722733 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 F1 · shares: Reflects the disposition of the reporting person's 3,888 shares of Issuer common stock, par value $0.001 per share ("Issuer Common Stock"), upon the consummation of the transactions contemplated by the Agreement and Plan of Merger (the "Merger Agreement"), dated as of November 29, 2022, among the Issuer, Boston Scientific Corporation ("Parent") and Textile Merger Sub, Inc., an indirect wholly owned subsidiary of Parent ("Merger Sub"), including the consummation of the merger between Issuer and Merger Sub on April 4, 2023 (the "Merger"). Pursuant to the Merger Agreement, at the effective time of the Merger (the "Effective Time"), each outstanding share of Issuer Common Stock, was canceled and converted automatically into the right to receive $10.00 in cash, without interest (the "Merger Consideration"), less applicable taxes and authorized deductions. F2 · shares: Reflects the disposition of the reporting person's 14,224 shares of Issuer RSUs upon the consummation of the Merger. Pursuant to the Merger Agreement, at the Effective Time, each outstanding restricted stock unit award granted under any Issuer Stock Plan (each, an "Issuer RSU"), whether vested but unsettled or unvested, was canceled and converted into the right to receive an amount in cash, without interest, equal to the product of (1) the Merger Consideration and (2) the aggregate number of shares of Issuer Common Stock underlying such Issuer RSU, less applicable taxes and authorized deductions. F1 · price: Reflects the disposition of the reporting person's 3,888 shares of Issuer common stock, par value $0.001 per share ("Issuer Common Stock"), upon the consummation of the transactions contemplated by the Agreement and Plan of Merger (the "Merger Agreement"), dated as of November 29, 2022, among the Issuer, Boston Scientific Corporation ("Parent") and Textile Merger Sub, Inc., an indirect wholly owned subsidiary of Parent ("Merger Sub"), including the consummation of the merger between Issuer and Merger Sub on April 4, 2023 (the "Merger"). Pursuant to the Merger Agreement, at the effective time of the Merger (the "Effective Time"), each outstanding share of Issuer Common Stock, was canceled and converted automatically into the right to receive $10.00 in cash, without interest (the "Merger Consideration"), less applicable taxes and authorized deductions. F2 · price: Reflects the disposition of the reporting person's 14,224 shares of Issuer RSUs upon the consummation of the Merger. Pursuant to the Merger Agreement, at the Effective Time, each outstanding restricted stock unit award granted under any Issuer Stock Plan (each, an "Issuer RSU"), whether vested but unsettled or unvested, was canceled and converted into the right to receive an amount in cash, without interest, equal to the product of (1) the Merger Consideration and (2) the aggregate number of shares of Issuer Common Stock underlying such Issuer RSU, less applicable taxes and authorized deductions. Read SEC document |
| June 14, 2022 Filed Jun 16, 2022 21:18 UTC | Apollo Endosurgery, Inc. APEN · Entity 114713 | GrantStock Option (Right to Buy) · Derivative | 19,333 | $0.00 Strike: $3.95 | $0.00 |
DisclosureSEC source: 0001251769-22-000054 · wf-form4_165542866369886.xml · derivative · entry 2 Pacitti David · CIK 0001722733 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,333 Underlying: Common Stock · 19,333 shares Expires 2032-06-14 Read SEC document |
| June 14, 2022 Filed Jun 16, 2022 21:18 UTC | Apollo Endosurgery, Inc. APEN · Entity 114713 | GrantCommon Stock | 14,224 | $0.00 | $0.00 |
DisclosureSEC source: 0001251769-22-000054 · wf-form4_165542866369886.xml · nonDerivative · entry 1 Pacitti David · CIK 0001722733 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,112 F1 · shares: Represents the grant of Restricted Stock Units ("RSUs"). Each RSU provides the Reporting Person with a contingent right to receive one share of the Issuer's common stock. The RSUs vest on the one year anniversary of the grant date. Read SEC document |
| June 17, 2021 Filed Jun 21, 2021 10:51 UTC | Apollo Endosurgery, Inc. APEN · Entity 114713 | GrantNon-Qualified Stock Option (right to buy) · Derivative | 5,271 | $8.86 Strike: $8.86 | $46,701.06 |
DisclosureSEC source: 0001251769-21-000081 · wf-form4_162428709483516.xml · derivative · entry 2 Pacitti David · CIK 0001722733 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,710 Underlying: Common Stock · 5,271 shares Expires 2031-06-17 F1 · date: Fully vested at one year anniversary of grant date. Read SEC document |
| June 17, 2021 Filed Jun 21, 2021 10:51 UTC | Apollo Endosurgery, Inc. APEN · Entity 114713 | GrantCommon Stock | 3,888 | $0.00 | $0.00 |
DisclosureSEC source: 0001251769-21-000081 · wf-form4_162428709483516.xml · nonDerivative · entry 1 Pacitti David · CIK 0001722733 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,888 F1 · date: Fully vested at one year anniversary of grant date. Read SEC document |
| May 19, 2021 Filed May 20, 2021 17:56 UTC Amendment | Apollo Endosurgery, Inc. APEN · Entity 114713 | SaleCommon Stock | 790 | $6.96 | $5,498.40 |
DisclosureSEC source: 0001251769-21-000070 · wf-form4a_162154776285607.xml · nonDerivative · entry 16 Pacitti David · CIK 0001722733 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Read SEC document |
| May 19, 2021 Filed May 20, 2021 17:56 UTC Amendment | Apollo Endosurgery, Inc. APEN · Entity 114713 | SaleCommon Stock | 600 | $6.93 | $4,158.00 |
DisclosureSEC source: 0001251769-21-000070 · wf-form4a_162154776285607.xml · nonDerivative · entry 15 Pacitti David · CIK 0001722733 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 790 Read SEC document |
| May 19, 2021 Filed May 20, 2021 17:56 UTC Amendment | Apollo Endosurgery, Inc. APEN · Entity 114713 | SaleCommon Stock | 3,400 | $6.92 | $23,528.00 |
DisclosureSEC source: 0001251769-21-000070 · wf-form4a_162154776285607.xml · nonDerivative · entry 14 Pacitti David · CIK 0001722733 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,390 Read SEC document |
| May 19, 2021 Filed May 20, 2021 17:56 UTC Amendment | Apollo Endosurgery, Inc. APEN · Entity 114713 | SaleCommon Stock | 5,524 | $6.91 | $38,170.84 |
DisclosureSEC source: 0001251769-21-000070 · wf-form4a_162154776285607.xml · nonDerivative · entry 13 Pacitti David · CIK 0001722733 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,790 Read SEC document |
| May 19, 2021 Filed May 20, 2021 17:56 UTC Amendment | Apollo Endosurgery, Inc. APEN · Entity 114713 | SaleCommon Stock | 3,144 | $6.90 | $21,693.60 |
DisclosureSEC source: 0001251769-21-000070 · wf-form4a_162154776285607.xml · nonDerivative · entry 12 Pacitti David · CIK 0001722733 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,314 Read SEC document |
| May 19, 2021 Filed May 20, 2021 17:56 UTC Amendment | Apollo Endosurgery, Inc. APEN · Entity 114713 | SaleCommon Stock | 464 | $6.89 | $3,196.96 |
DisclosureSEC source: 0001251769-21-000070 · wf-form4a_162154776285607.xml · nonDerivative · entry 11 Pacitti David · CIK 0001722733 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,458 Read SEC document |
| May 19, 2021 Filed May 20, 2021 17:56 UTC Amendment | Apollo Endosurgery, Inc. APEN · Entity 114713 | SaleCommon Stock | 1,100 | $6.88 | $7,568.00 |
DisclosureSEC source: 0001251769-21-000070 · wf-form4a_162154776285607.xml · nonDerivative · entry 10 Pacitti David · CIK 0001722733 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,922 Read SEC document |
| May 19, 2021 Filed May 20, 2021 17:56 UTC Amendment | Apollo Endosurgery, Inc. APEN · Entity 114713 | SaleCommon Stock | 20 | $6.85 | $137.00 |
DisclosureSEC source: 0001251769-21-000070 · wf-form4a_162154776285607.xml · nonDerivative · entry 9 Pacitti David · CIK 0001722733 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,022 Read SEC document |
| May 19, 2021 Filed May 20, 2021 17:56 UTC Amendment | Apollo Endosurgery, Inc. APEN · Entity 114713 | SaleCommon Stock | 500 | $6.81 | $3,405.00 |
DisclosureSEC source: 0001251769-21-000070 · wf-form4a_162154776285607.xml · nonDerivative · entry 8 Pacitti David · CIK 0001722733 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,042 Read SEC document |
| May 19, 2021 Filed May 20, 2021 17:56 UTC Amendment | Apollo Endosurgery, Inc. APEN · Entity 114713 | SaleCommon Stock | 600 | $6.80 | $4,080.00 |
DisclosureSEC source: 0001251769-21-000070 · wf-form4a_162154776285607.xml · nonDerivative · entry 7 Pacitti David · CIK 0001722733 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,542 Read SEC document |
| May 19, 2021 Filed May 20, 2021 17:56 UTC Amendment | Apollo Endosurgery, Inc. APEN · Entity 114713 | SaleCommon Stock | 600 | $6.73 | $4,038.00 |
DisclosureSEC source: 0001251769-21-000070 · wf-form4a_162154776285607.xml · nonDerivative · entry 6 Pacitti David · CIK 0001722733 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,142 Read SEC document |
| May 19, 2021 Filed May 20, 2021 17:56 UTC Amendment | Apollo Endosurgery, Inc. APEN · Entity 114713 | SaleCommon Stock | 300 | $6.72 | $2,016.00 |
DisclosureSEC source: 0001251769-21-000070 · wf-form4a_162154776285607.xml · nonDerivative · entry 5 Pacitti David · CIK 0001722733 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,742 Read SEC document |
| May 19, 2021 Filed May 20, 2021 17:56 UTC Amendment | Apollo Endosurgery, Inc. APEN · Entity 114713 | SaleCommon Stock | 100 | $6.71 | $671.00 |
DisclosureSEC source: 0001251769-21-000070 · wf-form4a_162154776285607.xml · nonDerivative · entry 4 Pacitti David · CIK 0001722733 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,042 Read SEC document |
| May 19, 2021 Filed May 20, 2021 17:56 UTC Amendment | Apollo Endosurgery, Inc. APEN · Entity 114713 | SaleCommon Stock | 800 | $6.70 | $5,360.00 |
DisclosureSEC source: 0001251769-21-000070 · wf-form4a_162154776285607.xml · nonDerivative · entry 3 Pacitti David · CIK 0001722733 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,142 Read SEC document |
| May 19, 2021 Filed May 20, 2021 17:56 UTC Amendment | Apollo Endosurgery, Inc. APEN · Entity 114713 | SaleCommon Stock | 200 | $6.67 | $1,334.00 |
DisclosureSEC source: 0001251769-21-000070 · wf-form4a_162154776285607.xml · nonDerivative · entry 2 Pacitti David · CIK 0001722733 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,942 Read SEC document |
| May 19, 2021 Filed May 20, 2021 17:56 UTC Amendment | Apollo Endosurgery, Inc. APEN · Entity 114713 | SaleCommon Stock | 600 | $6.64 | $3,984.00 |
DisclosureSEC source: 0001251769-21-000070 · wf-form4a_162154776285607.xml · nonDerivative · entry 1 Pacitti David · CIK 0001722733 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,142 Read SEC document |
| May 19, 2021 Filed May 20, 2021 17:50 UTC | Apollo Endosurgery, Inc. APEN · Entity 114713 | SaleCommon Stock | 790 | $6.96 | $5,498.40 |
DisclosureSEC source: 0001251769-21-000068 · wf-form4_162154738122636.xml · nonDerivative · entry 16 Pacitti David · CIK 0001722733 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Read SEC document |
| May 19, 2021 Filed May 20, 2021 17:50 UTC | Apollo Endosurgery, Inc. APEN · Entity 114713 | SaleCommon Stock | 600 | $6.93 | $4,158.00 |
DisclosureSEC source: 0001251769-21-000068 · wf-form4_162154738122636.xml · nonDerivative · entry 15 Pacitti David · CIK 0001722733 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 790 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.