Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Annexon, Inc.ANNX · Entity 5011 | Director | August 10, 2026 | August 12, 2026 |
| KALA BIO, Inc.KALA · Entity 7964 | Director | June 11, 2024 | June 13, 2024 |
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.
Annexon, Inc.
Report date August 10, 2026 · Filed August 12, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.39 · Expires 2036-08-10 | Direct | 175,000 |
Reported balance
After 2026-08-10 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-08-10 · Grant · Acquired 175,000 · Balance 175,000 F1: 1/36th of the shares subject to the option vest on each monthly anniversary measured from August 10, 2026 (the "Vesting Commencement Date"), such that 100% of the shares subject to the option will be fully vested and exercisable on the third anniversary of the Vesting Commencement Date, subject to Reporting Person's continuous service as a director on each such vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: 1/36th of the shares subject to the option vest on each monthly anniversary measured from August 10, 2026 (the "Vesting Commencement Date"), such that 100% of the shares subject to the option will be fully vested and exercisable on the third anniversary of the Vesting Commencement Date, subject to Reporting Person's continuous service as a director on each such vesting date.
KALA BIO, Inc.
Report date June 11, 2024 · Filed June 13, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 13,091 |
Reported balance
After 2024-06-11 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2024-06-11 · Grant · Acquired 1,400 · Balance 13,091 F1: Grant of restricted stock units ("RSUs") under the Issuer's Amended and Restated 2017 Equity Incentive Plan. Each RSU represents a contingent right to receive one share of the Issuer's common stock. Subject to the reporting person's continued service, the RSUs will vest as to 100% of the shares underlying the grant on the earlier of (i) June 11, 2025 or (ii) the date of the first annual meeting following June 11, 2024. F2: Includes 6,615 unvested RSUs. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $6.18 · Expires 2034-06-10 | Direct | 3,150 |
Reported balance
After 2024-06-11 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2024-06-11 · Grant · Acquired 3,150 · Balance 3,150 F5: This option was granted on June 11, 2024 and vests as to 100% of the shares underlying the grant on the earlier of (i) June 11, 2025 or (ii) the date of the first annual meeting following June 11, 2024. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 168,454 |
Reported balance
Holding disclosure · report date 2024-06-11 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 168,454 F3: These securities are held directly by Lagunita Biosciences, LLC ("Lagunita"). The reporting person is a managing partner of Lagunita and may be deemed to have beneficial ownership over the Lagunita Shares. The reporting person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 1,276 |
Reported balance
Holding disclosure · report date 2024-06-11 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 1,276 F4: These securities are held directly by Garland Investments, L.P. ("Garland"). The reporting person is a managing partner of Garland and may be deemed to have beneficial ownership over the Garland Shares. The reporting person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: Grant of restricted stock units ("RSUs") under the Issuer's Amended and Restated 2017 Equity Incentive Plan. Each RSU represents a contingent right to receive one share of the Issuer's common stock. Subject to the reporting person's continued service, the RSUs will vest as to 100% of the shares underlying the grant on the earlier of (i) June 11, 2025 or (ii) the date of the first annual meeting following June 11, 2024.
F2: Includes 6,615 unvested RSUs.
F3: These securities are held directly by Lagunita Biosciences, LLC ("Lagunita"). The reporting person is a managing partner of Lagunita and may be deemed to have beneficial ownership over the Lagunita Shares. The reporting person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.
F4: These securities are held directly by Garland Investments, L.P. ("Garland"). The reporting person is a managing partner of Garland and may be deemed to have beneficial ownership over the Garland Shares. The reporting person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.
F5: This option was granted on June 11, 2024 and vests as to 100% of the shares underlying the grant on the earlier of (i) June 11, 2025 or (ii) the date of the first annual meeting following June 11, 2024.
Past disclosures · reporting ended (2)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
1Life Healthcare Inc
Report date February 22, 2023 · Filed February 24, 2023
Section 16 reporting ended · disclosed 2023-02-24. 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 2023-02-22 transaction · row 1
1 source rowRow 1 · 2023-02-22 · Disposition to issuer · Disposed 4,534 · Balance 0 F1: Reflects disposition of Issuer common stock with the consummation of the transactions contemplated by the Agreement and Plan of Merger (the "Merger Agreement"), dated as of July 20, 2022, by and among Issuer, Amazon.com, Inc. ("Parent") and Negroni Merger Sub, Inc., a wholly owned subsidiary of Parent ("Merger Sub"), including the consummation of the merger (the "Merger") between Issuer and Merger Sub on February 22, 2023. Pursuant to the Merger Agreement, as of the effective time of the Merger (the "Effective Time"), each share of Issuer common stock, par value $0.001 per share ("Shares") issued and outstanding immediately prior to the Effective Time was converted automatically into the right to receive $18.00 in cash, without interest (the "Merger Consideration"). |
| Stock Options (Right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $11.56 · Expires 2029-11-20 | Direct | 0 |
Reported balance
After 2023-02-22 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2023-02-22 · Disposition to issuer · Disposed 10,381 · Balance 0 F2: Pursuant to the Merger Agreement, at the Effective Time, each outstanding option ("Option") to purchase Shares granted under any of the Issuer's 2007 Equity Incentive Plan, 2017 Equity Incentive Plan, 2020 Equity Incentive Plan and the Iora Third Amended and Restated 2011 Equity Incentive Plan (collective, the "Issuer Stock Plans") or portion thereof that was vested or became vested as of the Effective Time, and had an exercise price per Share that is less than the Merger Consideration, was canceled and converted into the right to receive an amount in cash, without interest, equal to the product of (i) the amount by which the Merger Consideration exceeds the applicable exercise price per Share of such Option and (ii) the aggregate number of Shares issuable upon exercise of such Option or portion thereof, subject to any required withholding of taxes. F3: The shares subject to the option vest as follows: 25% of the shares subject to the option vest on the first anniversary of the vesting commencement date; and 1/48th of the shares subject to the option vest monthly thereafter over the following three years, subject to reporting person's continuous service as of each such date. At the Effective Time, any unvested shares subject to the option was accelerated in full. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $29.00 · Expires 2030-05-13 | Direct | 0 |
Reported balance
After 2023-02-22 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2023-02-22 · Disposition to issuer · Disposed 5,294 · Balance 0 F4: Pursuant to the Merger Agreement, at the Effective Time, each Option, whether vested or unvested, that has an exercise price per Share that is greater than the Merger Consideration was canceled without the payment of consideration. F5: The shares subject to the option are fully vested and immediately exercisable. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2023-02-22 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2023-02-22 · Disposition to issuer · Disposed 20,728 · Balance 0 F6: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the issuer's common stock. RSUs convert into the issuer's common stock on a one-for-one basis. F7: The RSUs vest on the earlier of (i) the date of the issuer's next annual meeting of stockholders (or the date immediately prior to the next annual meeting of stockholders if the reporting person's service as a director ends at such meeting due to the director's failure to be re-elected or the director not standing for re-election); or (ii) the one-year anniversary measured from the date of grant. At the Effective Time, each outstanding RSU that was unvested was accelerated in full and was automatically converted in to the right to receive the Merger Consideration. |
Filing footnotes · ownership attribution and instrument terms
F1: Reflects disposition of Issuer common stock with the consummation of the transactions contemplated by the Agreement and Plan of Merger (the "Merger Agreement"), dated as of July 20, 2022, by and among Issuer, Amazon.com, Inc. ("Parent") and Negroni Merger Sub, Inc., a wholly owned subsidiary of Parent ("Merger Sub"), including the consummation of the merger (the "Merger") between Issuer and Merger Sub on February 22, 2023. Pursuant to the Merger Agreement, as of the effective time of the Merger (the "Effective Time"), each share of Issuer common stock, par value $0.001 per share ("Shares") issued and outstanding immediately prior to the Effective Time was converted automatically into the right to receive $18.00 in cash, without interest (the "Merger Consideration").
F2: Pursuant to the Merger Agreement, at the Effective Time, each outstanding option ("Option") to purchase Shares granted under any of the Issuer's 2007 Equity Incentive Plan, 2017 Equity Incentive Plan, 2020 Equity Incentive Plan and the Iora Third Amended and Restated 2011 Equity Incentive Plan (collective, the "Issuer Stock Plans") or portion thereof that was vested or became vested as of the Effective Time, and had an exercise price per Share that is less than the Merger Consideration, was canceled and converted into the right to receive an amount in cash, without interest, equal to the product of (i) the amount by which the Merger Consideration exceeds the applicable exercise price per Share of such Option and (ii) the aggregate number of Shares issuable upon exercise of such Option or portion thereof, subject to any required withholding of taxes.
F3: The shares subject to the option vest as follows: 25% of the shares subject to the option vest on the first anniversary of the vesting commencement date; and 1/48th of the shares subject to the option vest monthly thereafter over the following three years, subject to reporting person's continuous service as of each such date. At the Effective Time, any unvested shares subject to the option was accelerated in full.
F4: Pursuant to the Merger Agreement, at the Effective Time, each Option, whether vested or unvested, that has an exercise price per Share that is greater than the Merger Consideration was canceled without the payment of consideration.
F5: The shares subject to the option are fully vested and immediately exercisable.
F6: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the issuer's common stock. RSUs convert into the issuer's common stock on a one-for-one basis.
F7: The RSUs vest on the earlier of (i) the date of the issuer's next annual meeting of stockholders (or the date immediately prior to the next annual meeting of stockholders if the reporting person's service as a director ends at such meeting due to the director's failure to be re-elected or the director not standing for re-election); or (ii) the one-year anniversary measured from the date of grant. At the Effective Time, each outstanding RSU that was unvested was accelerated in full and was automatically converted in to the right to receive the Merger Consideration.
IVERIC bio, Inc.
Report date July 11, 2023 · Filed July 13, 2023
Section 16 reporting ended · disclosed 2023-07-13. 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 2023-07-11 transaction · row 1
1 source rowRow 1 · 2023-07-11 · Disposition to issuer · Disposed 32,088 · Balance 0 F1: On July 11, 2023, pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated April 28, 2023, by and among IVERIC bio, Inc. ("IVERIC"), Astellas US Holding, Inc., Berry Merger Sub, Inc. ("Merger Sub") and, solely as provided by Section 8.10(b) of the Merger Agreement, Astellas Pharma Inc. ("Astellas"), Merger Sub merged with and into IVERIC, with IVERIC surviving the merger and becoming an indirect wholly owned subsidiary of Astellas (the "Merger"). At the effective time of the Merger (the "Effective Time"), each share of IVERIC common stock ("Common Stock") reported in this Form 4 was automatically cancelled and was converted into the right to receive $40.00 in cash, without interest and less any applicable withholding taxes. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2023-07-11 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2023-07-11 · Disposition to issuer · Disposed 5,000 · Balance 0 F2: Each IVERIC restricted stock unit ("RSU") represented the contingent right to receive one share of Common Stock upon vesting of the RSU. F3: Pursuant to the Merger Agreement, at the Effective Time, each RSU reported in this Form 4 was cancelled and converted into the right to receive a cash payment (subject to any applicable tax withholding) equal to (1) $40.00, multiplied by (2) the number of shares of Common Stock subject to such RSU. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2023-07-11 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2023-07-11 · Disposition to issuer · Disposed 7,500 · Balance 0 F2: Each IVERIC restricted stock unit ("RSU") represented the contingent right to receive one share of Common Stock upon vesting of the RSU. F3: Pursuant to the Merger Agreement, at the Effective Time, each RSU reported in this Form 4 was cancelled and converted into the right to receive a cash payment (subject to any applicable tax withholding) equal to (1) $40.00, multiplied by (2) the number of shares of Common Stock subject to such RSU. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $4.48 · Expires 2030-07-14 | Direct | 0 |
Reported balance
After 2023-07-11 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2023-07-11 · Disposition to issuer · Disposed 31,000 · Balance 0 F4: Pursuant to the Merger Agreement, at the Effective Time, each option to acquire Common Stock ("IVERIC Option") reported in this Form 4 which had a per share exercise price less than $40.00 was cancelled and converted into the right to receive a cash payment (subject to any applicable tax withholding) equal to (1) the excess of $40.00 over the exercise price per share of Common Stock underlying such IVERIC Option, multiplied by (2) the total number of shares of Common Stock subject to such IVERIC Option immediately prior to the Effective Time (without regard to vesting). Each IVERIC Option reported in this Form 4 which had a per share exercise price $40.00 or greater was cancelled with no consideration payable in respect thereof. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $6.82 · Expires 2031-05-18 | Direct | 0 |
Reported balance
After 2023-07-11 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2023-07-11 · Disposition to issuer · Disposed 15,500 · Balance 0 F4: Pursuant to the Merger Agreement, at the Effective Time, each option to acquire Common Stock ("IVERIC Option") reported in this Form 4 which had a per share exercise price less than $40.00 was cancelled and converted into the right to receive a cash payment (subject to any applicable tax withholding) equal to (1) the excess of $40.00 over the exercise price per share of Common Stock underlying such IVERIC Option, multiplied by (2) the total number of shares of Common Stock subject to such IVERIC Option immediately prior to the Effective Time (without regard to vesting). Each IVERIC Option reported in this Form 4 which had a per share exercise price $40.00 or greater was cancelled with no consideration payable in respect thereof. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $9.94 · Expires 2032-05-11 | Direct | 0 |
Reported balance
After 2023-07-11 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2023-07-11 · Disposition to issuer · Disposed 23,186 · Balance 0 F4: Pursuant to the Merger Agreement, at the Effective Time, each option to acquire Common Stock ("IVERIC Option") reported in this Form 4 which had a per share exercise price less than $40.00 was cancelled and converted into the right to receive a cash payment (subject to any applicable tax withholding) equal to (1) the excess of $40.00 over the exercise price per share of Common Stock underlying such IVERIC Option, multiplied by (2) the total number of shares of Common Stock subject to such IVERIC Option immediately prior to the Effective Time (without regard to vesting). Each IVERIC Option reported in this Form 4 which had a per share exercise price $40.00 or greater was cancelled with no consideration payable in respect thereof. |
Filing footnotes · ownership attribution and instrument terms
F1: On July 11, 2023, pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated April 28, 2023, by and among IVERIC bio, Inc. ("IVERIC"), Astellas US Holding, Inc., Berry Merger Sub, Inc. ("Merger Sub") and, solely as provided by Section 8.10(b) of the Merger Agreement, Astellas Pharma Inc. ("Astellas"), Merger Sub merged with and into IVERIC, with IVERIC surviving the merger and becoming an indirect wholly owned subsidiary of Astellas (the "Merger"). At the effective time of the Merger (the "Effective Time"), each share of IVERIC common stock ("Common Stock") reported in this Form 4 was automatically cancelled and was converted into the right to receive $40.00 in cash, without interest and less any applicable withholding taxes.
F2: Each IVERIC restricted stock unit ("RSU") represented the contingent right to receive one share of Common Stock upon vesting of the RSU.
F3: Pursuant to the Merger Agreement, at the Effective Time, each RSU reported in this Form 4 was cancelled and converted into the right to receive a cash payment (subject to any applicable tax withholding) equal to (1) $40.00, multiplied by (2) the number of shares of Common Stock subject to such RSU.
F4: Pursuant to the Merger Agreement, at the Effective Time, each option to acquire Common Stock ("IVERIC Option") reported in this Form 4 which had a per share exercise price less than $40.00 was cancelled and converted into the right to receive a cash payment (subject to any applicable tax withholding) equal to (1) the excess of $40.00 over the exercise price per share of Common Stock underlying such IVERIC Option, multiplied by (2) the total number of shares of Common Stock subject to such IVERIC Option immediately prior to the Effective Time (without regard to vesting). Each IVERIC Option reported in this Form 4 which had a per share exercise price $40.00 or greater was cancelled with no consideration payable in respect thereof.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| August 10, 2026 Filed Aug 12, 2026 22:10 UTC | Annexon, Inc. ANNX · Entity 5011 | GrantStock Option (Right to Buy) · Derivative | 175,000 | $0.00 Strike: $5.39 | $0.00 |
DisclosureSEC source: 0001614869-26-000004 · form4-08122026_100821.xml · derivative · entry 1 Blumenkranz Mark S. · CIK 0001614869 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 175,000 Underlying: Common Stock · 175,000 shares Expires 2036-08-10 F1 · derivative.exercise_date: 1/36th of the shares subject to the option vest on each monthly anniversary measured from August 10, 2026 (the "Vesting Commencement Date"), such that 100% of the shares subject to the option will be fully vested and exercisable on the third anniversary of the Vesting Commencement Date, subject to Reporting Person's continuous service as a director on each such vesting date. Read SEC document |
| June 11, 2024 Filed Jun 13, 2024 00:00 UTC | KALA BIO, Inc. KALA · Entity 7964 | GrantStock Option (right to buy) · Derivative | 3,150 | $0.00 Strike: $6.18 | $0.00 |
DisclosureSEC source: 0001415889-24-016569 · form4-06122024_080602.xml · derivative · entry 4 Blumenkranz Mark S. · CIK 0001614869 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 3,150 Underlying: Common Stock · 3,150 shares Expires 2034-06-10 F5 · derivative.exercise_date: This option was granted on June 11, 2024 and vests as to 100% of the shares underlying the grant on the earlier of (i) June 11, 2025 or (ii) the date of the first annual meeting following June 11, 2024. Read SEC document |
| June 11, 2024 Filed Jun 13, 2024 00:00 UTC | KALA BIO, Inc. KALA · Entity 7964 | GrantCommon Stock | 1,400 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-24-016569 · form4-06122024_080602.xml · nonDerivative · entry 1 Blumenkranz Mark S. · CIK 0001614869 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 13,091 F1 · security: Grant of restricted stock units ("RSUs") under the Issuer's Amended and Restated 2017 Equity Incentive Plan. Each RSU represents a contingent right to receive one share of the Issuer's common stock. Subject to the reporting person's continued service, the RSUs will vest as to 100% of the shares underlying the grant on the earlier of (i) June 11, 2025 or (ii) the date of the first annual meeting following June 11, 2024. F2 · balance_after: Includes 6,615 unvested RSUs. Read SEC document |
| July 11, 2023 Filed Jul 13, 2023 14:02 UTC | IVERIC bio, Inc. ISEE · Entity 111416 | Disposition to issuerStock Option (Right to Buy) · Derivative | 23,186 | Not disclosed Strike: $9.94 | Not disclosed |
DisclosureSEC source: 0001104659-23-080692 · tm2321002-12_4seq1.xml · derivative · entry 6 Blumenkranz Mark S. · CIK 0001614869 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 23,186 shares Expires 2032-05-11 F4 · price: Pursuant to the Merger Agreement, at the Effective Time, each option to acquire Common Stock ("IVERIC Option") reported in this Form 4 which had a per share exercise price less than $40.00 was cancelled and converted into the right to receive a cash payment (subject to any applicable tax withholding) equal to (1) the excess of $40.00 over the exercise price per share of Common Stock underlying such IVERIC Option, multiplied by (2) the total number of shares of Common Stock subject to such IVERIC Option immediately prior to the Effective Time (without regard to vesting). Each IVERIC Option reported in this Form 4 which had a per share exercise price $40.00 or greater was cancelled with no consideration payable in respect thereof. F4 · derivative.exercise_date: Pursuant to the Merger Agreement, at the Effective Time, each option to acquire Common Stock ("IVERIC Option") reported in this Form 4 which had a per share exercise price less than $40.00 was cancelled and converted into the right to receive a cash payment (subject to any applicable tax withholding) equal to (1) the excess of $40.00 over the exercise price per share of Common Stock underlying such IVERIC Option, multiplied by (2) the total number of shares of Common Stock subject to such IVERIC Option immediately prior to the Effective Time (without regard to vesting). Each IVERIC Option reported in this Form 4 which had a per share exercise price $40.00 or greater was cancelled with no consideration payable in respect thereof. Read SEC document |
| July 11, 2023 Filed Jul 13, 2023 14:02 UTC | IVERIC bio, Inc. ISEE · Entity 111416 | Disposition to issuerStock Option (Right to Buy) · Derivative | 15,500 | Not disclosed Strike: $6.82 | Not disclosed |
DisclosureSEC source: 0001104659-23-080692 · tm2321002-12_4seq1.xml · derivative · entry 5 Blumenkranz Mark S. · CIK 0001614869 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 15,500 shares Expires 2031-05-18 F4 · price: Pursuant to the Merger Agreement, at the Effective Time, each option to acquire Common Stock ("IVERIC Option") reported in this Form 4 which had a per share exercise price less than $40.00 was cancelled and converted into the right to receive a cash payment (subject to any applicable tax withholding) equal to (1) the excess of $40.00 over the exercise price per share of Common Stock underlying such IVERIC Option, multiplied by (2) the total number of shares of Common Stock subject to such IVERIC Option immediately prior to the Effective Time (without regard to vesting). Each IVERIC Option reported in this Form 4 which had a per share exercise price $40.00 or greater was cancelled with no consideration payable in respect thereof. F4 · derivative.exercise_date: Pursuant to the Merger Agreement, at the Effective Time, each option to acquire Common Stock ("IVERIC Option") reported in this Form 4 which had a per share exercise price less than $40.00 was cancelled and converted into the right to receive a cash payment (subject to any applicable tax withholding) equal to (1) the excess of $40.00 over the exercise price per share of Common Stock underlying such IVERIC Option, multiplied by (2) the total number of shares of Common Stock subject to such IVERIC Option immediately prior to the Effective Time (without regard to vesting). Each IVERIC Option reported in this Form 4 which had a per share exercise price $40.00 or greater was cancelled with no consideration payable in respect thereof. Read SEC document |
| July 11, 2023 Filed Jul 13, 2023 14:02 UTC | IVERIC bio, Inc. ISEE · Entity 111416 | Disposition to issuerStock Option (Right to Buy) · Derivative | 31,000 | Not disclosed Strike: $4.48 | Not disclosed |
DisclosureSEC source: 0001104659-23-080692 · tm2321002-12_4seq1.xml · derivative · entry 4 Blumenkranz Mark S. · CIK 0001614869 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 31,000 shares Expires 2030-07-14 F4 · price: Pursuant to the Merger Agreement, at the Effective Time, each option to acquire Common Stock ("IVERIC Option") reported in this Form 4 which had a per share exercise price less than $40.00 was cancelled and converted into the right to receive a cash payment (subject to any applicable tax withholding) equal to (1) the excess of $40.00 over the exercise price per share of Common Stock underlying such IVERIC Option, multiplied by (2) the total number of shares of Common Stock subject to such IVERIC Option immediately prior to the Effective Time (without regard to vesting). Each IVERIC Option reported in this Form 4 which had a per share exercise price $40.00 or greater was cancelled with no consideration payable in respect thereof. F4 · derivative.exercise_date: Pursuant to the Merger Agreement, at the Effective Time, each option to acquire Common Stock ("IVERIC Option") reported in this Form 4 which had a per share exercise price less than $40.00 was cancelled and converted into the right to receive a cash payment (subject to any applicable tax withholding) equal to (1) the excess of $40.00 over the exercise price per share of Common Stock underlying such IVERIC Option, multiplied by (2) the total number of shares of Common Stock subject to such IVERIC Option immediately prior to the Effective Time (without regard to vesting). Each IVERIC Option reported in this Form 4 which had a per share exercise price $40.00 or greater was cancelled with no consideration payable in respect thereof. Read SEC document |
| July 11, 2023 Filed Jul 13, 2023 14:02 UTC | IVERIC bio, Inc. ISEE · Entity 111416 | Disposition to issuerRestricted Stock Units · Derivative | 7,500 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-23-080692 · tm2321002-12_4seq1.xml · derivative · entry 3 Blumenkranz Mark S. · CIK 0001614869 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 7,500 shares Expires not disclosed F2 · derivative.exercise_price: Each IVERIC restricted stock unit ("RSU") represented the contingent right to receive one share of Common Stock upon vesting of the RSU. F3 · price: Pursuant to the Merger Agreement, at the Effective Time, each RSU reported in this Form 4 was cancelled and converted into the right to receive a cash payment (subject to any applicable tax withholding) equal to (1) $40.00, multiplied by (2) the number of shares of Common Stock subject to such RSU. F3 · derivative.exercise_date: Pursuant to the Merger Agreement, at the Effective Time, each RSU reported in this Form 4 was cancelled and converted into the right to receive a cash payment (subject to any applicable tax withholding) equal to (1) $40.00, multiplied by (2) the number of shares of Common Stock subject to such RSU. F3 · derivative.expiration_date: Pursuant to the Merger Agreement, at the Effective Time, each RSU reported in this Form 4 was cancelled and converted into the right to receive a cash payment (subject to any applicable tax withholding) equal to (1) $40.00, multiplied by (2) the number of shares of Common Stock subject to such RSU. Read SEC document |
| July 11, 2023 Filed Jul 13, 2023 14:02 UTC | IVERIC bio, Inc. ISEE · Entity 111416 | Disposition to issuerRestricted Stock Units · Derivative | 5,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-23-080692 · tm2321002-12_4seq1.xml · derivative · entry 2 Blumenkranz Mark S. · CIK 0001614869 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,000 shares Expires not disclosed F2 · derivative.exercise_price: Each IVERIC restricted stock unit ("RSU") represented the contingent right to receive one share of Common Stock upon vesting of the RSU. F3 · price: Pursuant to the Merger Agreement, at the Effective Time, each RSU reported in this Form 4 was cancelled and converted into the right to receive a cash payment (subject to any applicable tax withholding) equal to (1) $40.00, multiplied by (2) the number of shares of Common Stock subject to such RSU. F3 · derivative.exercise_date: Pursuant to the Merger Agreement, at the Effective Time, each RSU reported in this Form 4 was cancelled and converted into the right to receive a cash payment (subject to any applicable tax withholding) equal to (1) $40.00, multiplied by (2) the number of shares of Common Stock subject to such RSU. F3 · derivative.expiration_date: Pursuant to the Merger Agreement, at the Effective Time, each RSU reported in this Form 4 was cancelled and converted into the right to receive a cash payment (subject to any applicable tax withholding) equal to (1) $40.00, multiplied by (2) the number of shares of Common Stock subject to such RSU. Read SEC document |
| July 11, 2023 Filed Jul 13, 2023 14:02 UTC | IVERIC bio, Inc. ISEE · Entity 111416 | Disposition to issuerCommon Stock | 32,088 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-23-080692 · tm2321002-12_4seq1.xml · nonDerivative · entry 1 Blumenkranz Mark S. · CIK 0001614869 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 F1 · price: On July 11, 2023, pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated April 28, 2023, by and among IVERIC bio, Inc. ("IVERIC"), Astellas US Holding, Inc., Berry Merger Sub, Inc. ("Merger Sub") and, solely as provided by Section 8.10(b) of the Merger Agreement, Astellas Pharma Inc. ("Astellas"), Merger Sub merged with and into IVERIC, with IVERIC surviving the merger and becoming an indirect wholly owned subsidiary of Astellas (the "Merger"). At the effective time of the Merger (the "Effective Time"), each share of IVERIC common stock ("Common Stock") reported in this Form 4 was automatically cancelled and was converted into the right to receive $40.00 in cash, without interest and less any applicable withholding taxes. Read SEC document |
| June 22, 2023 Filed Jun 24, 2023 00:00 UTC | KALA BIO, Inc. KALA · Entity 7964 | GrantStock Option (right to buy) · Derivative | 2,500 | $0.00 Strike: $14.56 | $0.00 |
DisclosureSEC source: 0001415889-23-010282 · form4-06232023_080604.xml · derivative · entry 6 Blumenkranz Mark S. · CIK 0001614869 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,500 Underlying: Common Stock · 2,500 shares Expires 2033-06-21 F8 · derivative.exercise_date: This option was granted on June 22, 2023 and vests as to 100% of the shares underlying the grant on the earlier of (i) June 22, 2024 or (ii) the date of the first annual meeting following June 22, 2023. Read SEC document |
| June 22, 2023 Filed Jun 24, 2023 00:00 UTC | KALA BIO, Inc. KALA · Entity 7964 | GrantStock Option (right to buy) · Derivative | 5,046 | $0.00 Strike: $14.56 | $0.00 |
DisclosureSEC source: 0001415889-23-010282 · form4-06232023_080604.xml · derivative · entry 5 Blumenkranz Mark S. · CIK 0001614869 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 5,046 Underlying: Common Stock · 5,046 shares Expires 2033-06-21 F7 · derivative.exercise_date: This option was granted on June 22, 2023 and vests over four years beginning on the vesting commencement date of June 22, 2023, with 25% of the shares underlying the option vesting on June 22, 2024, and an additional 1/48th the shares underlying the option vesting at the end of each successive one-month period thereafter. Read SEC document |
| June 22, 2023 Filed Jun 24, 2023 00:00 UTC | KALA BIO, Inc. KALA · Entity 7964 | GrantCommon Stock | 1,100 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-23-010282 · form4-06232023_080604.xml · nonDerivative · entry 2 Blumenkranz Mark S. · CIK 0001614869 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 11,691 F3 · security: Grant of RSUs under the Issuer's Amended and Restated 2017 Equity Incentive Plan. Each RSU represents a contingent right to receive one share of the Issuer's common stock. Subject to the reporting person's continued service, the RSUs will vest as to 100% of the shares underlying the grant on the earlier of (i) June 22, 2024 or (ii) the date of the first annual meeting following June 22, 2023. F4 · balance_after: Includes 6,524 unvested RSUs. Read SEC document |
| June 22, 2023 Filed Jun 24, 2023 00:00 UTC | KALA BIO, Inc. KALA · Entity 7964 | GrantCommon Stock | 3,784 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-23-010282 · form4-06232023_080604.xml · nonDerivative · entry 1 Blumenkranz Mark S. · CIK 0001614869 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 10,591 F1 · security: Grant of restricted stock units ("RSUs") under the Issuer's Amended and Restated 2017 Equity Incentive Plan. Each RSU represents a contingent right to receive one share of the Issuer's common stock. Subject to the reporting person's continued service, the RSUs will vest as to 1/3 of the shares underlying the RSUs on June 22, 2024, as to 1/3 of the shares underlying the RSUs on June 22, 2025 and as to the final 1/3 of shares underlying the RSUs on June 22, 2026. F2 · balance_after: Includes 5,424 unvested RSUs. Read SEC document |
| May 31, 2023 Filed Jun 3, 2023 00:00 UTC | KALA BIO, Inc. KALA · Entity 7964 | Disposition to issuerStock Option (right to buy) · Derivative | 800 | Not disclosed Strike: $18.00 | Not disclosed |
DisclosureSEC source: 0001415889-23-009139 · form4-06022023_080630.xml · derivative · entry 9 Blumenkranz Mark S. · CIK 0001614869 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 800 shares Expires 2032-06-15 F3 · derivative.exercise_price: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022. F3 · shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022. F5 · price: On May 31, 2023, the issuer canceled, pursuant to the issuer's option exchange program, all outstanding unexercised options granted to the reporting person. In exchange, the reporting person received (i) in the case of the canceled options that were fully vested, a grant of 419 restricted stock units (the "RSUs") that vest over two years, with 50% of such RSUs vesting on May 31, 2024 and 50% of such RSUs vesting on May 31, 2025 and (ii) in the case of the canceled options that were unvested, a grant of 1,221 RSUs that vest 100% on May 31, 2025, in each case, subject to the reporting person's continued service with the issuer. Each RSU represents a contingent right to receive one share of the issuer's common stock. F12 · derivative.exercise_date: The cancelled option was granted on June 16, 2022 and provided for vesting as to 100% of the shares underlying the option on the earlier of (i) June 16, 2023 or (ii) the date of the first annual meeting following June 16, 2022. F3 · derivative.underlying_shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022. Read SEC document |
| May 31, 2023 Filed Jun 3, 2023 00:00 UTC | KALA BIO, Inc. KALA · Entity 7964 | Disposition to issuerStock Option (right to buy) · Derivative | 840 | Not disclosed Strike: $105.00 | Not disclosed |
DisclosureSEC source: 0001415889-23-009139 · form4-06022023_080630.xml · derivative · entry 8 Blumenkranz Mark S. · CIK 0001614869 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 840 shares Expires 2031-11-14 F3 · derivative.exercise_price: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022. F3 · shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022. F5 · price: On May 31, 2023, the issuer canceled, pursuant to the issuer's option exchange program, all outstanding unexercised options granted to the reporting person. In exchange, the reporting person received (i) in the case of the canceled options that were fully vested, a grant of 419 restricted stock units (the "RSUs") that vest over two years, with 50% of such RSUs vesting on May 31, 2024 and 50% of such RSUs vesting on May 31, 2025 and (ii) in the case of the canceled options that were unvested, a grant of 1,221 RSUs that vest 100% on May 31, 2025, in each case, subject to the reporting person's continued service with the issuer. Each RSU represents a contingent right to receive one share of the issuer's common stock. F11 · derivative.exercise_date: The cancelled option was granted on November 15, 2021 and provided for vesting with respect to 1/3rd of the shares underlying the option on November 15, 2022 and as to an additional 1/36th of the shares underlying the option at the end of each successive one-month period thereafter until November 15, 2024. F3 · derivative.underlying_shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022. Read SEC document |
| May 31, 2023 Filed Jun 3, 2023 00:00 UTC | KALA BIO, Inc. KALA · Entity 7964 | GrantCommon Stock | 1,640 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001415889-23-009139 · form4-06022023_080630.xml · nonDerivative · entry 3 Blumenkranz Mark S. · CIK 0001614869 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 6,807 F5 · price: On May 31, 2023, the issuer canceled, pursuant to the issuer's option exchange program, all outstanding unexercised options granted to the reporting person. In exchange, the reporting person received (i) in the case of the canceled options that were fully vested, a grant of 419 restricted stock units (the "RSUs") that vest over two years, with 50% of such RSUs vesting on May 31, 2024 and 50% of such RSUs vesting on May 31, 2025 and (ii) in the case of the canceled options that were unvested, a grant of 1,221 RSUs that vest 100% on May 31, 2025, in each case, subject to the reporting person's continued service with the issuer. Each RSU represents a contingent right to receive one share of the issuer's common stock. F3 · balance_after: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022. F6 · balance_after: Includes 1,640 unvested RSUs. Read SEC document |
| May 17, 2023 Filed May 19, 2023 17:47 UTC | IVERIC bio, Inc. ISEE · Entity 111416 | GrantRestricted Stock Units · Derivative | 7,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001410939-23-000080 · wk-form4_1684532862.xml · derivative · entry 1 Blumenkranz Mark S. · CIK 0001614869 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 7,500 Underlying: Common Stock · 7,500 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents the contingent right to receive one share of common stock upon vesting of the units. F2 · derivative.exercise_date: Subject to the Reporting Person providing continued services to the Registrant and other terms and conditions under the Registrant's 2023 Stock Incentive Plan, the award of restricted stock units will vest in full on the earlier of one business day prior to the Registrant's 2024 annual meeting of stockholders or the first anniversary of the grant date. Any unvested shares subject to the award of restricted stock units will be accelerated in full upon the occurrence of a change in control event (as defined in the Registrant's 2023 Stock Incentive Plan). For purposes of this report on Form 4, a change in control event includes the closing of the transaction contemplated by the Agreement and Plan of Merger, dated April 28, 2023, between the Registrant, Astellas US Holding, Inc., Berry Merger Sub, Inc. and solely as provided by Section 8.10(b) of such agreement, Astellas Pharma Inc. F2 · derivative.expiration_date: Subject to the Reporting Person providing continued services to the Registrant and other terms and conditions under the Registrant's 2023 Stock Incentive Plan, the award of restricted stock units will vest in full on the earlier of one business day prior to the Registrant's 2024 annual meeting of stockholders or the first anniversary of the grant date. Any unvested shares subject to the award of restricted stock units will be accelerated in full upon the occurrence of a change in control event (as defined in the Registrant's 2023 Stock Incentive Plan). For purposes of this report on Form 4, a change in control event includes the closing of the transaction contemplated by the Agreement and Plan of Merger, dated April 28, 2023, between the Registrant, Astellas US Holding, Inc., Berry Merger Sub, Inc. and solely as provided by Section 8.10(b) of such agreement, Astellas Pharma Inc. Read SEC document |
| May 11, 2023 Filed May 15, 2023 16:52 UTC | IVERIC bio, Inc. ISEE · Entity 111416 | Exercise / conversionRestricted Stock Units · Derivative | 14,588 | $0.00 | $0.00 |
DisclosureSEC source: 0001410939-23-000078 · wk-form4_1684183910.xml · derivative · entry 2 Blumenkranz Mark S. · CIK 0001614869 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 14,588 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Restricted stock units converted into common stock on a one-for-one basis upon vesting of the units. F2 · derivative.exercise_date: In accordance with the Registrant's Non-Employee Director Compensation Policy, the Reporting Person was granted 14,588 of the Registrant's restricted stock units on May 12, 2022. Subject to the Reporting Person providing continued services to the Registrant and other terms and conditions under the Registrant's 2013 Stock Incentive Plan, the award of restricted stock units vested in full one business day prior to the first anniversary of the grant date. F2 · derivative.expiration_date: In accordance with the Registrant's Non-Employee Director Compensation Policy, the Reporting Person was granted 14,588 of the Registrant's restricted stock units on May 12, 2022. Subject to the Reporting Person providing continued services to the Registrant and other terms and conditions under the Registrant's 2013 Stock Incentive Plan, the award of restricted stock units vested in full one business day prior to the first anniversary of the grant date. Read SEC document |
| May 11, 2023 Filed May 15, 2023 16:52 UTC | IVERIC bio, Inc. ISEE · Entity 111416 | Exercise / conversionCommon Stock | 14,588 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001410939-23-000078 · wk-form4_1684183910.xml · nonDerivative · entry 1 Blumenkranz Mark S. · CIK 0001614869 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 32,088 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Restricted stock units converted into common stock on a one-for-one basis upon vesting of the units. Read SEC document |
| March 10, 2023 Filed Jun 3, 2023 00:00 UTC | KALA BIO, Inc. KALA · Entity 7964 | GrantCommon Stock | 497 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001415889-23-009139 · form4-06022023_080630.xml · nonDerivative · entry 7 Blumenkranz Mark S. · CIK 0001614869 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: 1,276 F10 · shares: On March 10, 2023, the Issuer issued 497 shares of its common stock to Garland Investments, L.P. ("Garland") as a result of the Dosing Milestone. F2 · price: This transaction is being reported late due to an inadvertent administrative error. F10 · price: On March 10, 2023, the Issuer issued 497 shares of its common stock to Garland Investments, L.P. ("Garland") as a result of the Dosing Milestone. F3 · balance_after: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022. F9 · ownership.nature: These securities are held directly by Garland. The reporting person is a managing partner of Garland and may be deemed to have beneficial ownership over the Garland Shares. The reporting person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. Read SEC document |
| March 10, 2023 Filed Jun 3, 2023 00:00 UTC | KALA BIO, Inc. KALA · Entity 7964 | GrantCommon Stock | 65,634 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001415889-23-009139 · form4-06022023_080630.xml · nonDerivative · entry 5 Blumenkranz Mark S. · CIK 0001614869 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: 168,454 F8 · shares: On March 10, 2023, the Issuer issued 65,634 shares of its common stock to Lagunita Biosciences, LLC ("Lagunita") as a result of the Dosing Milestone. F2 · price: This transaction is being reported late due to an inadvertent administrative error. F8 · price: On March 10, 2023, the Issuer issued 65,634 shares of its common stock to Lagunita Biosciences, LLC ("Lagunita") as a result of the Dosing Milestone. F3 · balance_after: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022. F7 · ownership.nature: These securities are held directly by Lagunita. The reporting person is a managing partner of Lagunita and may be deemed to have beneficial ownership over the Lagunita Shares. The reporting person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. Read SEC document |
| March 10, 2023 Filed Jun 3, 2023 00:00 UTC | KALA BIO, Inc. KALA · Entity 7964 | GrantCommon Stock | 2,013 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001415889-23-009139 · form4-06022023_080630.xml · nonDerivative · entry 2 Blumenkranz Mark S. · CIK 0001614869 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 5,167 F4 · shares: The purchase price in connection with the Acquisition included potential future payments that are contingent upon the achievement of specified development, regulatory and commercialization milestones. On March 10, 2023, the Issuer issued 2,013 shares of its common stock to the reporting person following achievement of a milestone related to dosing of the first patient in the Issuer's CHASE Phase 2b clinical trial of KPI-012 for PCED in the United States in February 2023 (the "Dosing Milestone"). F2 · price: This transaction is being reported late due to an inadvertent administrative error. F4 · price: The purchase price in connection with the Acquisition included potential future payments that are contingent upon the achievement of specified development, regulatory and commercialization milestones. On March 10, 2023, the Issuer issued 2,013 shares of its common stock to the reporting person following achievement of a milestone related to dosing of the first patient in the Issuer's CHASE Phase 2b clinical trial of KPI-012 for PCED in the United States in February 2023 (the "Dosing Milestone"). F3 · balance_after: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022. Read SEC document |
| February 22, 2023 Filed Feb 24, 2023 17:29 UTC | 1Life Healthcare Inc ONEM · Entity 116460 | Disposition to issuerRestricted Stock Units · Derivative | 20,728 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001562180-23-001846 · primarydocument.xml · derivative · entry 4 Blumenkranz Mark S. · CIK 0001614869 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 20,728 shares Expires not disclosed F6 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the issuer's common stock. RSUs convert into the issuer's common stock on a one-for-one basis. F7 · price: The RSUs vest on the earlier of (i) the date of the issuer's next annual meeting of stockholders (or the date immediately prior to the next annual meeting of stockholders if the reporting person's service as a director ends at such meeting due to the director's failure to be re-elected or the director not standing for re-election); or (ii) the one-year anniversary measured from the date of grant. At the Effective Time, each outstanding RSU that was unvested was accelerated in full and was automatically converted in to the right to receive the Merger Consideration. F7 · derivative.exercise_date: The RSUs vest on the earlier of (i) the date of the issuer's next annual meeting of stockholders (or the date immediately prior to the next annual meeting of stockholders if the reporting person's service as a director ends at such meeting due to the director's failure to be re-elected or the director not standing for re-election); or (ii) the one-year anniversary measured from the date of grant. At the Effective Time, each outstanding RSU that was unvested was accelerated in full and was automatically converted in to the right to receive the Merger Consideration. F7 · derivative.expiration_date: The RSUs vest on the earlier of (i) the date of the issuer's next annual meeting of stockholders (or the date immediately prior to the next annual meeting of stockholders if the reporting person's service as a director ends at such meeting due to the director's failure to be re-elected or the director not standing for re-election); or (ii) the one-year anniversary measured from the date of grant. At the Effective Time, each outstanding RSU that was unvested was accelerated in full and was automatically converted in to the right to receive the Merger Consideration. Read SEC document |
| February 22, 2023 Filed Feb 24, 2023 17:29 UTC | 1Life Healthcare Inc ONEM · Entity 116460 | Disposition to issuerStock Option (Right to Buy) · Derivative | 5,294 | Not disclosed Strike: $29.00 | Not disclosed |
DisclosureSEC source: 0001562180-23-001846 · primarydocument.xml · derivative · entry 3 Blumenkranz Mark S. · CIK 0001614869 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,294 shares Expires 2030-05-13 F4 · price: Pursuant to the Merger Agreement, at the Effective Time, each Option, whether vested or unvested, that has an exercise price per Share that is greater than the Merger Consideration was canceled without the payment of consideration. F5 · derivative.exercise_date: The shares subject to the option are fully vested and immediately exercisable. Read SEC document |
| February 22, 2023 Filed Feb 24, 2023 17:29 UTC | 1Life Healthcare Inc ONEM · Entity 116460 | Disposition to issuerStock Options (Right to buy) · Derivative | 10,381 | Not disclosed Strike: $11.56 | Not disclosed |
DisclosureSEC source: 0001562180-23-001846 · primarydocument.xml · derivative · entry 2 Blumenkranz Mark S. · CIK 0001614869 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 10,381 shares Expires 2029-11-20 F2 · price: Pursuant to the Merger Agreement, at the Effective Time, each outstanding option ("Option") to purchase Shares granted under any of the Issuer's 2007 Equity Incentive Plan, 2017 Equity Incentive Plan, 2020 Equity Incentive Plan and the Iora Third Amended and Restated 2011 Equity Incentive Plan (collective, the "Issuer Stock Plans") or portion thereof that was vested or became vested as of the Effective Time, and had an exercise price per Share that is less than the Merger Consideration, was canceled and converted into the right to receive an amount in cash, without interest, equal to the product of (i) the amount by which the Merger Consideration exceeds the applicable exercise price per Share of such Option and (ii) the aggregate number of Shares issuable upon exercise of such Option or portion thereof, subject to any required withholding of taxes. F3 · derivative.exercise_date: The shares subject to the option vest as follows: 25% of the shares subject to the option vest on the first anniversary of the vesting commencement date; and 1/48th of the shares subject to the option vest monthly thereafter over the following three years, subject to reporting person's continuous service as of each such date. At the Effective Time, any unvested shares subject to the option was accelerated in full. Read SEC document |
| February 22, 2023 Filed Feb 24, 2023 17:29 UTC | 1Life Healthcare Inc ONEM · Entity 116460 | Disposition to issuerCommon Stock | 4,534 | $18.00 | $81,612.00 |
DisclosureSEC source: 0001562180-23-001846 · primarydocument.xml · nonDerivative · entry 1 Blumenkranz Mark S. · CIK 0001614869 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · price: Reflects disposition of Issuer common stock with the consummation of the transactions contemplated by the Agreement and Plan of Merger (the "Merger Agreement"), dated as of July 20, 2022, by and among Issuer, Amazon.com, Inc. ("Parent") and Negroni Merger Sub, Inc., a wholly owned subsidiary of Parent ("Merger Sub"), including the consummation of the merger (the "Merger") between Issuer and Merger Sub on February 22, 2023. Pursuant to the Merger Agreement, as of the effective time of the Merger (the "Effective Time"), each share of Issuer common stock, par value $0.001 per share ("Shares") issued and outstanding immediately prior to the Effective Time was converted automatically into the right to receive $18.00 in cash, without interest (the "Merger Consideration"). Read SEC document |
| February 15, 2023 Filed Jun 3, 2023 00:00 UTC | KALA BIO, Inc. KALA · Entity 7964 | OtherCommon Stock | 2 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001415889-23-009139 · form4-06022023_080630.xml · nonDerivative · entry 6 Blumenkranz Mark S. · CIK 0001614869 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: 779 F1 · kind: On November 15, 2021, the Issuer acquired Combangio, Inc. (the "Acquisition"). The disposition represented shares previously reported as acquired in the Acquisition that were forfeited in satisfaction of payment obligations of the former Combangio equityholders pursuant to the merger agreement. F1 · price: On November 15, 2021, the Issuer acquired Combangio, Inc. (the "Acquisition"). The disposition represented shares previously reported as acquired in the Acquisition that were forfeited in satisfaction of payment obligations of the former Combangio equityholders pursuant to the merger agreement. F2 · price: This transaction is being reported late due to an inadvertent administrative error. F3 · balance_after: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022. F9 · ownership.nature: These securities are held directly by Garland. The reporting person is a managing partner of Garland and may be deemed to have beneficial ownership over the Garland Shares. The reporting person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. Read SEC document |
| February 15, 2023 Filed Jun 3, 2023 00:00 UTC | KALA BIO, Inc. KALA · Entity 7964 | OtherCommon Stock | 68 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001415889-23-009139 · form4-06022023_080630.xml · nonDerivative · entry 4 Blumenkranz Mark S. · CIK 0001614869 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: 102,820 F1 · kind: On November 15, 2021, the Issuer acquired Combangio, Inc. (the "Acquisition"). The disposition represented shares previously reported as acquired in the Acquisition that were forfeited in satisfaction of payment obligations of the former Combangio equityholders pursuant to the merger agreement. F1 · price: On November 15, 2021, the Issuer acquired Combangio, Inc. (the "Acquisition"). The disposition represented shares previously reported as acquired in the Acquisition that were forfeited in satisfaction of payment obligations of the former Combangio equityholders pursuant to the merger agreement. F2 · price: This transaction is being reported late due to an inadvertent administrative error. F3 · balance_after: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022. F7 · ownership.nature: These securities are held directly by Lagunita. The reporting person is a managing partner of Lagunita and may be deemed to have beneficial ownership over the Lagunita Shares. The reporting person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. Read SEC document |
| February 15, 2023 Filed Jun 3, 2023 00:00 UTC | KALA BIO, Inc. KALA · Entity 7964 | OtherCommon Stock | 3 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001415889-23-009139 · form4-06022023_080630.xml · nonDerivative · entry 1 Blumenkranz Mark S. · CIK 0001614869 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 3,154 F1 · kind: On November 15, 2021, the Issuer acquired Combangio, Inc. (the "Acquisition"). The disposition represented shares previously reported as acquired in the Acquisition that were forfeited in satisfaction of payment obligations of the former Combangio equityholders pursuant to the merger agreement. F1 · price: On November 15, 2021, the Issuer acquired Combangio, Inc. (the "Acquisition"). The disposition represented shares previously reported as acquired in the Acquisition that were forfeited in satisfaction of payment obligations of the former Combangio equityholders pursuant to the merger agreement. F2 · price: This transaction is being reported late due to an inadvertent administrative error. F3 · balance_after: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022. Read SEC document |
| July 15, 2022 Filed Jul 19, 2022 16:09 UTC | IVERIC bio, Inc. ISEE · Entity 111416 | Exercise / conversionRestricted Stock Units · Derivative | 5,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001410939-22-000084 · wf-form4_165826134470561.xml · derivative · entry 2 Blumenkranz Mark S. · CIK 0001614869 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,000 Underlying: Common Stock · 5,000 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: Restricted stock units converted into common stock on a one-for-one basis upon vesting of the units. F2 · derivative.exercise_date: On July 15, 2020, the Reporting Person was granted 15,000 restricted stock units, which vest annually with respect to 1/3rd of the shares underlying such award until the third anniversary of the grant date, subject to the Reporting Person providing continued services to the Registrant and the other terms and conditions under the Registrant's 2013 Stock Incentive Plan. F2 · derivative.expiration_date: On July 15, 2020, the Reporting Person was granted 15,000 restricted stock units, which vest annually with respect to 1/3rd of the shares underlying such award until the third anniversary of the grant date, subject to the Reporting Person providing continued services to the Registrant and the other terms and conditions under the Registrant's 2013 Stock Incentive Plan. Read SEC document |
| July 15, 2022 Filed Jul 19, 2022 16:09 UTC | IVERIC bio, Inc. ISEE · Entity 111416 | Exercise / conversionCommon Stock | 5,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001410939-22-000084 · wf-form4_165826134470561.xml · nonDerivative · entry 1 Blumenkranz Mark S. · CIK 0001614869 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,500 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| June 16, 2022 Filed Jun 17, 2022 20:45 UTC | KALA BIO, Inc. KALA · Entity 7964 | GrantStock Option (right to buy) · Derivative | 40,000 | $0.00 Strike: $0.36 | $0.00 |
DisclosureSEC source: 0001415889-22-006753 · form4-06172022_040626.xml · derivative · entry 1 Blumenkranz Mark S. · CIK 0001614869 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Stock · 40,000 shares Expires 2032-06-15 F1 · derivative.exercise_date: This option was granted on June 16, 2022 and will vest as to 100% of the shares underlying the option on the earlier of (i) June 16, 2023 or (ii) the date of the first annual meeting following June 16, 2022. Read SEC document |
| June 02, 2022 Filed Jun 6, 2022 20:40 UTC | 1Life Healthcare Inc ONEM · Entity 116460 | GrantRestricted Stock Units · Derivative | 20,728 | $0.00 | $0.00 |
DisclosureSEC source: 0001562180-22-004856 · primarydocument.xml · derivative · entry 3 Blumenkranz Mark S. · CIK 0001614869 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,728 Underlying: Common Stock · 20,728 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. Restricted stock units convert into the issuer's common stock on a one-for-one basis. F2 · derivative.exercise_date: The restricted stock units vest on the earlier of (i) the date of the issuer's next annual meeting of stockholders (or the date immediately prior to the next annual meeting of stockholders if the reporting person's service as a director ends at such meeting due to the director's failure to be re-elected or the director not standing for re-election); or (ii) the one-year anniversary measured from the date of grant. F2 · derivative.expiration_date: The restricted stock units vest on the earlier of (i) the date of the issuer's next annual meeting of stockholders (or the date immediately prior to the next annual meeting of stockholders if the reporting person's service as a director ends at such meeting due to the director's failure to be re-elected or the director not standing for re-election); or (ii) the one-year anniversary measured from the date of grant. Read SEC document |
| June 02, 2022 Filed Jun 6, 2022 20:40 UTC | 1Life Healthcare Inc ONEM · Entity 116460 | Exercise / conversionRestricted Stock Units · Derivative | 4,534 | $0.00 | $0.00 |
DisclosureSEC source: 0001562180-22-004856 · primarydocument.xml · derivative · entry 2 Blumenkranz Mark S. · CIK 0001614869 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 4,534 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 represents a contingent right to receive one share of the issuer's common stock. Restricted stock units convert into the issuer's common stock on a one-for-one basis. F2 · derivative.exercise_date: The restricted stock units vest on the earlier of (i) the date of the issuer's next annual meeting of stockholders (or the date immediately prior to the next annual meeting of stockholders if the reporting person's service as a director ends at such meeting due to the director's failure to be re-elected or the director not standing for re-election); or (ii) the one-year anniversary measured from the date of grant. F2 · derivative.expiration_date: The restricted stock units vest on the earlier of (i) the date of the issuer's next annual meeting of stockholders (or the date immediately prior to the next annual meeting of stockholders if the reporting person's service as a director ends at such meeting due to the director's failure to be re-elected or the director not standing for re-election); or (ii) the one-year anniversary measured from the date of grant. Read SEC document |
| June 02, 2022 Filed Jun 6, 2022 20:40 UTC | 1Life Healthcare Inc ONEM · Entity 116460 | Exercise / conversionCommon Stock | 4,534 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001562180-22-004856 · primarydocument.xml · nonDerivative · entry 1 Blumenkranz Mark S. · CIK 0001614869 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,534 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 represents a contingent right to receive one share of the issuer's common stock. Restricted stock units convert into the issuer's common stock on a one-for-one basis. Read SEC document |
| May 12, 2022 Filed May 13, 2022 18:02 UTC | IVERIC bio, Inc. ISEE · Entity 111416 | GrantStock Option (right to buy) · Derivative | 23,186 | $0.00 Strike: $9.94 | $0.00 |
DisclosureSEC source: 0001410939-22-000067 · wf-form4_165247930506311.xml · derivative · entry 4 Blumenkranz Mark S. · CIK 0001614869 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,186 Underlying: Common Stock · 23,186 shares Expires 2032-05-11 F4 · derivative.exercise_date: In accordance with the Registrant's Non-Employee Director Compensation Policy, the Reporting Person was granted a stock option to purchase 23,186 shares of the Registrant's common stock. Subject to the Reporting Person providing continued services to the Registrant and the other terms and conditions under the Registrant's 2013 Stock Incentive Plan, the stock option award will vest monthly with respect to 1/12 of the shares underlying such stock option award until the earlier of the business day immediately prior to the Registrant's 2023 annual meeting of stockholders or the first anniversary of the grant date. Any unvested shares subject to the stock option award will be accelerated in full upon the occurrence of a change in control event (as defined in the Registrant's 2013 Stock Incentive Plan). Read SEC document |
| May 12, 2022 Filed May 13, 2022 18:02 UTC | IVERIC bio, Inc. ISEE · Entity 111416 | GrantRestricted Stock Units · Derivative | 14,588 | $0.00 | $0.00 |
DisclosureSEC source: 0001410939-22-000067 · wf-form4_165247930506311.xml · derivative · entry 3 Blumenkranz Mark S. · CIK 0001614869 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,588 Underlying: Common Stock · 14,588 shares Expires not disclosed F1 · derivative.exercise_price: Restricted stock units converted into common stock on a one-for-one basis upon vesting of the units. F3 · derivative.exercise_date: In accordance with the Registrant's Non-Employee Director Compensation Policy, the Reporting Person was granted 14,588 restricted stock units. Subject to the Reporting Person providing continued services to the Registrant and other terms and conditions under the Registrant's 2013 Stock Incentive Plan, the award of restricted stock units will vest in full on the earlier of one business day prior to the Registrant's 2023 annual meeting of stockholders or the first anniversary of the grant date. Any unvested shares subject to the award of restricted stock units will be accelerated in full upon the occurrence of a change in control event (as defined in the Registrant's 2013 Stock Incentive Plan). F3 · derivative.expiration_date: In accordance with the Registrant's Non-Employee Director Compensation Policy, the Reporting Person was granted 14,588 restricted stock units. Subject to the Reporting Person providing continued services to the Registrant and other terms and conditions under the Registrant's 2013 Stock Incentive Plan, the award of restricted stock units will vest in full on the earlier of one business day prior to the Registrant's 2023 annual meeting of stockholders or the first anniversary of the grant date. Any unvested shares subject to the award of restricted stock units will be accelerated in full upon the occurrence of a change in control event (as defined in the Registrant's 2013 Stock Incentive Plan). Read SEC document |
| May 11, 2022 Filed May 13, 2022 18:02 UTC | IVERIC bio, Inc. ISEE · Entity 111416 | Exercise / conversionRestricted Stock Units · Derivative | 7,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001410939-22-000067 · wf-form4_165247930506311.xml · derivative · entry 2 Blumenkranz Mark S. · CIK 0001614869 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 7,500 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Restricted stock units converted into common stock on a one-for-one basis upon vesting of the units. F2 · derivative.exercise_date: On May 19, 2021, the Reporting Person was granted 7,500 restricted stock units, which vest in full upon on the earlier of one business day prior to the Registrant's 2022 annual meeting of stockholders or the first anniversary of the grant date. F2 · derivative.expiration_date: On May 19, 2021, the Reporting Person was granted 7,500 restricted stock units, which vest in full upon on the earlier of one business day prior to the Registrant's 2022 annual meeting of stockholders or the first anniversary of the grant date. Read SEC document |
| May 11, 2022 Filed May 13, 2022 18:02 UTC | IVERIC bio, Inc. ISEE · Entity 111416 | Exercise / conversionCommon Stock | 7,500 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001410939-22-000067 · wf-form4_165247930506311.xml · nonDerivative · entry 1 Blumenkranz Mark S. · CIK 0001614869 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,500 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Restricted stock units converted into common stock on a one-for-one basis upon vesting of the units. Read SEC document |
| November 15, 2021 Filed Nov 18, 2021 01:01 UTC | KALA BIO, Inc. KALA · Entity 7964 | GrantStock Option (right to buy) · Derivative | 42,000 | $0.00 Strike: $2.10 | $0.00 |
DisclosureSEC source: 0001415889-21-005278 · form4-11172021_051141.xml · derivative · entry 4 Blumenkranz Mark S. · CIK 0001614869 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,000 Underlying: Common Stock · 42,000 shares Expires 2031-11-14 F6 · derivative.exercise_date: This option was granted on November 15, 2021 and vests with respect to 1/3rd of the shares underlying the option on November 15, 2022 and as to an additional 1/36th of the shares underlying the option at the end of each successive one-month period thereafter until November 15, 2024. Read SEC document |
| November 15, 2021 Filed Nov 18, 2021 01:01 UTC | KALA BIO, Inc. KALA · Entity 7964 | GrantCommon Stock | 38,965 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001415889-21-005278 · form4-11172021_051141.xml · nonDerivative · entry 3 Blumenkranz Mark S. · CIK 0001614869 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 38,965 F4 · shares: In connection with the Acquisition, Garland Investments, L.P. ("Garland") acquired the right to receive an aggregate of 38,965 shares of the Issuer's common stock (the "Garland Shares") in exchange for 646,830 shares of Combangio's common stock. On November 12, 2021, the last trading day prior to the closing of the Acquisition, the closing price of the Issuer's common stock on the Nasdaq Global Select Market was $2.07 per share. Of the 38,965 Garland Shares, (i) 34,358 Garland Shares are to be issued by the Issuer to Garland on January 3, 2022 and (ii) 4,607 Garland Shares are being held back by the Issuer and will be issuable fifteen months after the closing of the Acquisition and will serve as partial security for the satisfaction of indemnification obligations and other payment obligations of the former Combangio equityholders. F4 · price: In connection with the Acquisition, Garland Investments, L.P. ("Garland") acquired the right to receive an aggregate of 38,965 shares of the Issuer's common stock (the "Garland Shares") in exchange for 646,830 shares of Combangio's common stock. On November 12, 2021, the last trading day prior to the closing of the Acquisition, the closing price of the Issuer's common stock on the Nasdaq Global Select Market was $2.07 per share. Of the 38,965 Garland Shares, (i) 34,358 Garland Shares are to be issued by the Issuer to Garland on January 3, 2022 and (ii) 4,607 Garland Shares are being held back by the Issuer and will be issuable fifteen months after the closing of the Acquisition and will serve as partial security for the satisfaction of indemnification obligations and other payment obligations of the former Combangio equityholders. F5 · ownership.nature: These securities will be held directly by Garland. The reporting person is a managing partner of Garland and may be deemed to have beneficial ownership over the Garland Shares. The reporting person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. Read SEC document |
| November 15, 2021 Filed Nov 18, 2021 01:01 UTC | KALA BIO, Inc. KALA · Entity 7964 | GrantCommon Stock | 5,144,390 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001415889-21-005278 · form4-11172021_051141.xml · nonDerivative · entry 2 Blumenkranz Mark S. · CIK 0001614869 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 5,144,390 F2 · shares: In connection with the Acquisition, Lagunita Biosciences, LLC ("Lagunita") acquired the right to receive an aggregate of 5,144,390 shares of the Issuer's common stock (the "Lagunita Shares") in exchange for 85,395,439 shares of Combangio's common stock. On November 12, 2021, the last trading day prior to the closing of the Acquisition, the closing price of the Issuer's common stock on the Nasdaq Global Select Market was $2.07 per share. Of the 5,144,390 Lagunita Shares, (i) 4,536,045 Lagunita Shares are to be issued by the Issuer to Lagunita on January 3, 2022 and (ii) 608,345 Lagunita Shares are being held back by the Issuer and will be issuable fifteen months after the closing of the Acquisition and will serve as partial security for the satisfaction of indemnification obligations and other payment obligations of the former Combangio equityholders. F2 · price: In connection with the Acquisition, Lagunita Biosciences, LLC ("Lagunita") acquired the right to receive an aggregate of 5,144,390 shares of the Issuer's common stock (the "Lagunita Shares") in exchange for 85,395,439 shares of Combangio's common stock. On November 12, 2021, the last trading day prior to the closing of the Acquisition, the closing price of the Issuer's common stock on the Nasdaq Global Select Market was $2.07 per share. Of the 5,144,390 Lagunita Shares, (i) 4,536,045 Lagunita Shares are to be issued by the Issuer to Lagunita on January 3, 2022 and (ii) 608,345 Lagunita Shares are being held back by the Issuer and will be issuable fifteen months after the closing of the Acquisition and will serve as partial security for the satisfaction of indemnification obligations and other payment obligations of the former Combangio equityholders. F3 · ownership.nature: These securities will be held directly by Lagunita. The reporting person is a managing partner of Lagunita and may be deemed to have beneficial ownership over the Lagunita Shares. The reporting person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. Read SEC document |
| November 15, 2021 Filed Nov 18, 2021 01:01 UTC | KALA BIO, Inc. KALA · Entity 7964 | GrantCommon Stock | 157,765 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001415889-21-005278 · form4-11172021_051141.xml · nonDerivative · entry 1 Blumenkranz Mark S. · CIK 0001614869 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 157,765 F1 · shares: On November 15, 2021, the Issuer acquired Combangio, Inc. (the "Acquisition"). On November 15, 2021, in connection with the Acquisition, the reporting person acquired the right to receive an aggregate of 157,765 shares of the Issuer's common stock (the "Shares") in exchange for 2,618,875 shares of Combangio's common stock. On November 12, 2021, the last trading day prior to the closing of the Acquisition, the closing price of the Issuer's common stock on the Nasdaq Global Select Market was $2.07 per share. Of the 157,765 Shares, (i) 139,109 Shares are to be issued by the Issuer to the reporting person on January 3, 2022 and (ii) 18,656 Shares are being held back by the Issuer and will be issuable fifteen months after the closing of the Acquisition and will serve as partial security for the satisfaction of indemnification obligations and other payment obligations of the former Combangio equityholders. F1 · price: On November 15, 2021, the Issuer acquired Combangio, Inc. (the "Acquisition"). On November 15, 2021, in connection with the Acquisition, the reporting person acquired the right to receive an aggregate of 157,765 shares of the Issuer's common stock (the "Shares") in exchange for 2,618,875 shares of Combangio's common stock. On November 12, 2021, the last trading day prior to the closing of the Acquisition, the closing price of the Issuer's common stock on the Nasdaq Global Select Market was $2.07 per share. Of the 157,765 Shares, (i) 139,109 Shares are to be issued by the Issuer to the reporting person on January 3, 2022 and (ii) 18,656 Shares are being held back by the Issuer and will be issuable fifteen months after the closing of the Acquisition and will serve as partial security for the satisfaction of indemnification obligations and other payment obligations of the former Combangio equityholders. Read SEC document |
| July 15, 2021 Filed Jul 19, 2021 16:13 UTC | IVERIC bio, Inc. ISEE · Entity 111416 | Exercise / conversionRestricted Stock Units · Derivative | 5,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-093460 · tm2122558-1_4seq1.xml · derivative · entry 2 Blumenkranz Mark S. · CIK 0001614869 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Underlying: Common Stock · 5,000 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: Restricted stock units converted into common stock on a one-for-one basis upon vesting of the units. F2 · derivative.exercise_date: On July 15, 2020, the Reporting Person was granted 15,000 restricted stock units, which vest annually with respect to 1/3rd of the shares underlying such award until the third anniversary of the grant date, subject to the Reporting Person providing continued services to the Registrant and the other terms and conditions under the Registrant's 2013 Stock Incentive Plan. F2 · derivative.expiration_date: On July 15, 2020, the Reporting Person was granted 15,000 restricted stock units, which vest annually with respect to 1/3rd of the shares underlying such award until the third anniversary of the grant date, subject to the Reporting Person providing continued services to the Registrant and the other terms and conditions under the Registrant's 2013 Stock Incentive Plan. Read SEC document |
| July 15, 2021 Filed Jul 19, 2021 16:13 UTC | IVERIC bio, Inc. ISEE · Entity 111416 | Exercise / conversionCommon Stock | 5,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-21-093460 · tm2122558-1_4seq1.xml · nonDerivative · entry 1 Blumenkranz Mark S. · CIK 0001614869 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,000 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: Restricted stock units converted into common stock on a one-for-one basis upon vesting of the units. Read SEC document |
| June 03, 2021 Filed Jun 7, 2021 20:27 UTC | 1Life Healthcare Inc ONEM · Entity 116460 | GrantRestricted Stock Units · Derivative | 4,534 | $0.00 | $0.00 |
DisclosureSEC source: 0001562180-21-004109 · primarydocument.xml · derivative · entry 1 Blumenkranz Mark S. · CIK 0001614869 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,534 Underlying: Common Stock · 4,534 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. F2 · derivative.exercise_date: The restricted stock units will vest on the earlier of (i) the date of the issuer's next annual meeting of stockholders (or the date immediately prior to the next annual meeting of stockholders if the reporting person's service as a director ends at such meeting due to the director's failure to be re-elected or the director not standing for re-election); or (ii) the one-year anniversary measured from the date of grant. F2 · derivative.expiration_date: The restricted stock units will vest on the earlier of (i) the date of the issuer's next annual meeting of stockholders (or the date immediately prior to the next annual meeting of stockholders if the reporting person's service as a director ends at such meeting due to the director's failure to be re-elected or the director not standing for re-election); or (ii) the one-year anniversary measured from the date of grant. Read SEC document |
| May 19, 2021 Filed May 20, 2021 19:54 UTC | IVERIC bio, Inc. ISEE · Entity 111416 | GrantRestricted Stock Units · Derivative | 7,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-070101 · tm2117174-5_4seq1.xml · derivative · entry 2 Blumenkranz Mark S. · CIK 0001614869 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,500 Underlying: Common Stock · 7,500 shares Expires not disclosed F2 · derivative.exercise_price: Each restricted stock unit represents the contingent right to receive one share of common stock upon vesting of the units. F3 · derivative.exercise_date: Subject to the Reporting Person providing continued services to the Registrant and other terms and conditions under the Registrant's 2013 Stock Incentive Plan, the award of restricted stock units will vest in full on the earlier of one business day prior to the Registrant's 2022 annual meeting of stockholders or the first anniversary of the grant date. Any unvested shares subject to the award of restricted stock units will be accelerated in full upon the occurrence of a change in control event (as defined in the Registrant's 2013 Stock Incentive Plan). F3 · derivative.expiration_date: Subject to the Reporting Person providing continued services to the Registrant and other terms and conditions under the Registrant's 2013 Stock Incentive Plan, the award of restricted stock units will vest in full on the earlier of one business day prior to the Registrant's 2022 annual meeting of stockholders or the first anniversary of the grant date. Any unvested shares subject to the award of restricted stock units will be accelerated in full upon the occurrence of a change in control event (as defined in the Registrant's 2013 Stock Incentive Plan). Read SEC document |
| May 19, 2021 Filed May 20, 2021 19:54 UTC | IVERIC bio, Inc. ISEE · Entity 111416 | GrantStock Option (Right to Buy) · Derivative | 15,500 | $0.00 Strike: $6.82 | $0.00 |
DisclosureSEC source: 0001104659-21-070101 · tm2117174-5_4seq1.xml · derivative · entry 1 Blumenkranz Mark S. · CIK 0001614869 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,500 Underlying: Common Stock · 15,500 shares Expires 2031-05-18 F1 · derivative.exercise_date: Subject to the Reporting Person providing continued services to the Registrant and other terms and conditions under the Registrant's 2013 Stock Incentive Plan, the stock option award will vest monthly with respect to 1/12 of the shares underlying such stock option award until the earlier of the business day immediately prior to the Registrant's 2022 annual meeting of stockholders or the first anniversary of the grant date. Any unvested shares subject to the stock option award will be accelerated in full upon the occurrence of a change in control event (as defined in the Registrant's 2013 Stock Incentive Plan). Read SEC document |
| July 15, 2020 Filed Jul 17, 2020 17:27 UTC | IVERIC bio, Inc. ISEE · Entity 111416 | GrantRestricted Stock Units · Derivative | 15,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-20-084577 · a4.xml · derivative · entry 2 Blumenkranz Mark S. · CIK 0001614869 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires not disclosed F2 · derivative.exercise_price: Each restricted stock unit represents the contingent right to receive one share of common stock of the Registrant upon vesting of the unit. F3 · derivative.exercise_date: Subject to the Reporting Person providing continued services to the Registrant and the other terms and conditions under the Registrant's 2013 Stock Incentive Plan, the award of the restricted stock units will vest annually with respect to 1/3rd of the shares underlying such award until the third anniversary of the grant date. F3 · derivative.expiration_date: Subject to the Reporting Person providing continued services to the Registrant and the other terms and conditions under the Registrant's 2013 Stock Incentive Plan, the award of the restricted stock units will vest annually with respect to 1/3rd of the shares underlying such award until the third anniversary of the grant date. Read SEC document |
| July 15, 2020 Filed Jul 17, 2020 17:27 UTC | IVERIC bio, Inc. ISEE · Entity 111416 | GrantStock Option (Right to Buy) · Derivative | 31,000 | $0.00 Strike: $4.48 | $0.00 |
DisclosureSEC source: 0001104659-20-084577 · a4.xml · derivative · entry 1 Blumenkranz Mark S. · CIK 0001614869 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,000 Underlying: Common Stock · 31,000 shares Expires 2030-07-14 F1 · derivative.exercise_date: Subject to the Reporting Person providing continued services to the Registrant and the other terms and conditions under the Registrant's 2013 Stock Incentive Plan, the option will vest and become exercisable monthly with respect to 1/36th of the shares underlying such option until the third anniversary of the grant date. 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.