person · Reporting owner

Grais Linda

Disclosed activity across 7 companies

Tapewire entity: 24296
SEC CIK: 0001413306

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
CareMax, Inc.DFHT · Entity 87127	Director	July 16, 2020	July 16, 2020
Corvus Pharmaceuticals, Inc.CRVS · Entity 4839	Director	June 11, 2026	June 15, 2026
ICON PLCICLR · Entity 3439	Director	August 10, 2026	August 12, 2026
Ocera Therapeutics, Inc.OCRX · Entity 171193	Director · President and CEO	December 11, 2017	December 11, 2017
Oruka Therapeutics, Inc.ABIO · Entity 3781	Director	January 30, 2024	January 31, 2024
Zosano Pharma CorpZSAN · Entity 12518	Director	June 10, 2021	June 15, 2021

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.

CareMax, Inc.

Report date July 16, 2020 · Filed July 16, 2020

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Class B Common StockSEC Table II · derivative / convertible security	Direct	Not disclosed	Reported balance Holding disclosure · report date 2020-07-16 · row 1 Instrument identity requires review; Table II rows are not merged. 1 source row Row 1 · Balance Not disclosed F1: The shares of Class B common stock are convertible for shares of the Issuer's Class A common stock as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-239580) (the "Registration Statement") and have no expiration date.

Filing footnotes · ownership attribution and instrument terms

F1: The shares of Class B common stock are convertible for shares of the Issuer's Class A common stock as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-239580) (the "Registration Statement") and have no expiration date.

Corvus Pharmaceuticals, Inc.

Report date June 11, 2026 · Filed June 15, 2026

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $11.60 · Expires 2036-06-11	Direct	15,000	Reported balance After 2026-06-11 transaction · row 1 Instrument identity requires review; Table II rows are not merged. 1 source row Row 1 · 2026-06-11 · Grant · Acquired 15,000 · Balance 15,000 F1: The underlying shares subject to the option vest and become exercisable as to 100% of the total number of shares subject to the option on the earlier of (i) the first anniversary of the grant date or (ii) the date of the 2027 Annual Meeting of the Issuer's stockholders, assuming continuous service as a director until such vesting date.

Filing footnotes · ownership attribution and instrument terms

F1: The underlying shares subject to the option vest and become exercisable as to 100% of the total number of shares subject to the option on the earlier of (i) the first anniversary of the grant date or (ii) the date of the 2027 Annual Meeting of the Issuer's stockholders, assuming continuous service as a director until such vesting date.

ICON PLC

Report date August 10, 2026 · Filed August 12, 2026

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Ordinary SharesSEC Table I · non-derivative	Direct	6,162	Ending reported balance After 2026-08-11 transaction · row 5 5 source rows · reconciled sequence Row 1 · 2026-08-10 · Exercise / conversion · Acquired 1,732 · Balance 7,003 F1: These restricted share units were granted on May 22, 2025 and vested on August 10, 2026. F2: Each restricted share unit represents a contingent right to receive one ordinary share of the Issuer upon vesting, with a nominal conversion price equal to the par value of the ordinary shares (EUR 0.06) per underlying share automatically deducted from the reporting person's pay in connection with vesting. Row 2 · 2026-08-11 · Sale · Disposed 87 · Balance 6,916 F3: The sale reported represents shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of restricted share units. The sale was to satisfy tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary transaction by the Reporting Person. F4: The price reported in Column 4 is a weighted average price. These shares were sold in multiple aggregated transactions at prices within the range of $162.08 to $163.0799, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range(s) set forth in this footnote of this Form 4. Row 3 · 2026-08-11 · Sale · Disposed 97 · Balance 6,819 F3: The sale reported represents shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of restricted share units. The sale was to satisfy tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary transaction by the Reporting Person. F5: The price reported in Column 4 is a weighted average price. These shares were sold in multiple aggregated transactions at prices within the range of $163.15 to $164.1499, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range(s) set forth in this footnote of this Form 4. Row 4 · 2026-08-11 · Sale · Disposed 590 · Balance 6,229 F3: The sale reported represents shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of restricted share units. The sale was to satisfy tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary transaction by the Reporting Person. F6: The price reported in Column 4 is a weighted average price. These shares were sold in multiple aggregated transactions at prices within the range of $164.16 to $165.1599, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range(s) set forth in this footnote of this Form 4. Row 5 · 2026-08-11 · Sale · Disposed 67 · Balance 6,162 F3: The sale reported represents shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of restricted share units. The sale was to satisfy tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary transaction by the Reporting Person. F7: The price reported in Column 4 is a weighted average price. These shares were sold in multiple aggregated transactions at prices within the range of $165.16 to $166.1599, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range(s) set forth in this footnote of this Form 4.
Restricted Share UnitsSEC Table II · derivative / convertible security	Direct	0	Reported balance After 2026-08-10 transaction · row 6 Instrument identity requires review; Table II rows are not merged. 1 source row Row 6 · 2026-08-10 · Exercise / conversion · Disposed 1,732 · Balance 0 F2: Each restricted share unit represents a contingent right to receive one ordinary share of the Issuer upon vesting, with a nominal conversion price equal to the par value of the ordinary shares (EUR 0.06) per underlying share automatically deducted from the reporting person's pay in connection with vesting. F1: These restricted share units were granted on May 22, 2025 and vested on August 10, 2026.
Restricted Share UnitsSEC Table II · derivative / convertible security	Direct	1,324	Reported balance After 2026-08-10 transaction · row 7 Instrument identity requires review; Table II rows are not merged. 1 source row Row 7 · 2026-08-10 · Grant · Acquired 1,324 · Balance 1,324 F2: Each restricted share unit represents a contingent right to receive one ordinary share of the Issuer upon vesting, with a nominal conversion price equal to the par value of the ordinary shares (EUR 0.06) per underlying share automatically deducted from the reporting person's pay in connection with vesting. F8: These restricted share units were granted on August 10, 2026 and are scheduled to vest on May 22, 2027.

Filing footnotes · ownership attribution and instrument terms

F1: These restricted share units were granted on May 22, 2025 and vested on August 10, 2026.

F2: Each restricted share unit represents a contingent right to receive one ordinary share of the Issuer upon vesting, with a nominal conversion price equal to the par value of the ordinary shares (EUR 0.06) per underlying share automatically deducted from the reporting person's pay in connection with vesting.

F3: The sale reported represents shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of restricted share units. The sale was to satisfy tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary transaction by the Reporting Person.

F4: The price reported in Column 4 is a weighted average price. These shares were sold in multiple aggregated transactions at prices within the range of $162.08 to $163.0799, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range(s) set forth in this footnote of this Form 4.

F5: The price reported in Column 4 is a weighted average price. These shares were sold in multiple aggregated transactions at prices within the range of $163.15 to $164.1499, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range(s) set forth in this footnote of this Form 4.

F6: The price reported in Column 4 is a weighted average price. These shares were sold in multiple aggregated transactions at prices within the range of $164.16 to $165.1599, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range(s) set forth in this footnote of this Form 4.

F7: The price reported in Column 4 is a weighted average price. These shares were sold in multiple aggregated transactions at prices within the range of $165.16 to $166.1599, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range(s) set forth in this footnote of this Form 4.

F8: These restricted share units were granted on August 10, 2026 and are scheduled to vest on May 22, 2027.

Ocera Therapeutics, Inc.

Report date December 11, 2017 · Filed December 11, 2017

Security / award	Ownership account	Disclosure context
Common StockSEC Table I · non-derivative	Direct	Reported balance After 2017-12-11 transaction · row 1 Sequence does not reconcile; account continuity is unresolved. 1 source row Row 1 · 2017-12-11 · Disposition to issuer · Disposed 230,000 · Balance 0 F1: Pursuant to an Agreement and Plan of Merger, dated November 1, 2017 (the "Merger Agreement"), by and between Ocera Therapeutics, Inc., a Delaware corporation (the "Issuer"), MAK LLC, a Delaware limited liability company ("Parent"), MEH Acquisition Co., a Delaware corporation and a direct wholly-owned subsidiary of Parent ("Purchaser"), and for limited purposes, Mallinckrodt plc, an Irish public limited company and the ultimate parent entity of Parent and Purchaser ("Mallinckrodt"), Purchaser was merged with and into Issuer on December 11, 2017, with the Issuer surviving as a wholly-owned subsidiary of Parent (the "Merger"). F2: (Continued from Footnote 1) Pursuant to the terms of the Merger Agreement, all shares of common stock, $0.00001 par value per share (the "Shares"), of the Issuer outstanding immediately prior to the effective time of the Merger (the "Effective Time") , were canceled and converted automatically and without any required action on the part of the Reporting Person into the right to receive (i) $1.52 per Share in cash, without interest, plus (ii) one non-transferable contingent value right per Share (each, a "CVR"), which represents the contractual right under a contingent value rights agreement, by and among Parent, Continental Stock Transfer & Trust Company, and for limited purposes, Mallinckrodt (the "CVR Agreement"), entered into on December 7, 2017 to receive one or more payments in cash currently estimated to be up to $2.58 per Share, contingent upon the achievement of certain milestones, in each case, less any required withholding taxes. F3: At the Effective Time of the Merger, each restricted stock unit outstanding, automatically and without any required action on the part of the Reporting Person, became fully vested and canceled in exchange for a right to receive, for each share of common stock underlying the restricted stock unit, (i) an amount in cash, equal to $1.52, without interest plus (ii) one CVR, less any required withholding taxes.
Common StockSEC Table I · non-derivative	Direct	Reported balance After 2017-12-11 transaction · row 2 Sequence does not reconcile; account continuity is unresolved. 1 source row Row 2 · 2017-12-11 · Disposition to issuer · Disposed 70,000 · Balance 0 F1: Pursuant to an Agreement and Plan of Merger, dated November 1, 2017 (the "Merger Agreement"), by and between Ocera Therapeutics, Inc., a Delaware corporation (the "Issuer"), MAK LLC, a Delaware limited liability company ("Parent"), MEH Acquisition Co., a Delaware corporation and a direct wholly-owned subsidiary of Parent ("Purchaser"), and for limited purposes, Mallinckrodt plc, an Irish public limited company and the ultimate parent entity of Parent and Purchaser ("Mallinckrodt"), Purchaser was merged with and into Issuer on December 11, 2017, with the Issuer surviving as a wholly-owned subsidiary of Parent (the "Merger"). F2: (Continued from Footnote 1) Pursuant to the terms of the Merger Agreement, all shares of common stock, $0.00001 par value per share (the "Shares"), of the Issuer outstanding immediately prior to the effective time of the Merger (the "Effective Time") , were canceled and converted automatically and without any required action on the part of the Reporting Person into the right to receive (i) $1.52 per Share in cash, without interest, plus (ii) one non-transferable contingent value right per Share (each, a "CVR"), which represents the contractual right under a contingent value rights agreement, by and among Parent, Continental Stock Transfer & Trust Company, and for limited purposes, Mallinckrodt (the "CVR Agreement"), entered into on December 7, 2017 to receive one or more payments in cash currently estimated to be up to $2.58 per Share, contingent upon the achievement of certain milestones, in each case, less any required withholding taxes.
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.15 · Expires 2026-12-14	Direct	Reported balance After 2017-12-11 transaction · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · 2017-12-11 · Disposition to issuer · Disposed 289,200 · Balance 0 F4: Pursuant to the terms of the Merger Agreement, each option to purchase a share of the Issuer's common stock outstanding and unexercised immediately prior to the Effective Time, whether or not vested and which had a per-share exercise price of less than the $1.52 (each, an "In the Money Option") was canceled and converted into the right of the holder of such In the Money Company Stock Option to receive, for each Share underlying such In the Money Company Stock Option, (i) an amount in cash, without interest and subject to deduction for any required withholding taxes, equal to the excess, if any, of $1.52 over the applicable exercise price for such Share, plus (ii) one CVR. F5: (Continued from Footnote 4) All other options (each, an "Out of the Money Option") that were outstanding and unexercised and whether or not vested, were canceled and converted into the right to receive one or more cash payments, if any, at each Milestone Payment Date (as defined in the CVR Agreement) equal to (i) the amount by which the Per Share Value Paid (as defined in the Merger Agreement) exceeds the exercise price payable per Share subject to such Out of the Money Option, less (ii) the amount of all payments previously paid with respect to such Out of the Money Option. Any Out of the Money Option with an exercise price per Share equal to or greater than $4.10 was cancelled without any consideration payable therefore. F6: This Out of the Money Option, which provided for vesting in 48 equal monthly installments beginning on January 15, 2017, was cancelled in connection with the Merger in exchange for the right to receive one or more cash payments, without interest and subject to deduction for any required withholding taxes, equal to (i) the amount by which the Per Share Value Paid (as defined in the Merger Agreement) exceeds $2.15, less (ii) the amount of all payments previously paid with respect to such Out of the Money Option.
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.98 · Expires 2026-01-05	Direct	Reported balance After 2017-12-11 transaction · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · 2017-12-11 · Disposition to issuer · Disposed 348,600 · Balance 0 F4: Pursuant to the terms of the Merger Agreement, each option to purchase a share of the Issuer's common stock outstanding and unexercised immediately prior to the Effective Time, whether or not vested and which had a per-share exercise price of less than the $1.52 (each, an "In the Money Option") was canceled and converted into the right of the holder of such In the Money Company Stock Option to receive, for each Share underlying such In the Money Company Stock Option, (i) an amount in cash, without interest and subject to deduction for any required withholding taxes, equal to the excess, if any, of $1.52 over the applicable exercise price for such Share, plus (ii) one CVR. F5: (Continued from Footnote 4) All other options (each, an "Out of the Money Option") that were outstanding and unexercised and whether or not vested, were canceled and converted into the right to receive one or more cash payments, if any, at each Milestone Payment Date (as defined in the CVR Agreement) equal to (i) the amount by which the Per Share Value Paid (as defined in the Merger Agreement) exceeds the exercise price payable per Share subject to such Out of the Money Option, less (ii) the amount of all payments previously paid with respect to such Out of the Money Option. Any Out of the Money Option with an exercise price per Share equal to or greater than $4.10 was cancelled without any consideration payable therefore. F7: This Out of the Money Option, which provided for vesting in 48 equal monthly installments beginning on February 6, 2016, was cancelled in connection with the Merger in exchange for the right to receive one or more cash payments, without interest and subject to deduction for any required withholding taxes, equal to (i) the amount by which the Per Share Value Paid (as defined in the Merger Agreement) exceeds $2.98, less (ii) the amount of all payments previously paid with respect to such Out of the Money Option.
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.76 · Expires 2025-06-17	Direct	Reported balance After 2017-12-11 transaction · row 5 Instrument identity requires review; Table II rows are not merged. 1 source row Row 5 · 2017-12-11 · Disposition to issuer · Disposed 160,000 · Balance 0 F4: Pursuant to the terms of the Merger Agreement, each option to purchase a share of the Issuer's common stock outstanding and unexercised immediately prior to the Effective Time, whether or not vested and which had a per-share exercise price of less than the $1.52 (each, an "In the Money Option") was canceled and converted into the right of the holder of such In the Money Company Stock Option to receive, for each Share underlying such In the Money Company Stock Option, (i) an amount in cash, without interest and subject to deduction for any required withholding taxes, equal to the excess, if any, of $1.52 over the applicable exercise price for such Share, plus (ii) one CVR. F5: (Continued from Footnote 4) All other options (each, an "Out of the Money Option") that were outstanding and unexercised and whether or not vested, were canceled and converted into the right to receive one or more cash payments, if any, at each Milestone Payment Date (as defined in the CVR Agreement) equal to (i) the amount by which the Per Share Value Paid (as defined in the Merger Agreement) exceeds the exercise price payable per Share subject to such Out of the Money Option, less (ii) the amount of all payments previously paid with respect to such Out of the Money Option. Any Out of the Money Option with an exercise price per Share equal to or greater than $4.10 was cancelled without any consideration payable therefore. F8: This Out of the Money Option, which provided for vesting with respect to 25% of such options on June 18, 2017, with the remaining 75% of such options vesting in equal monthly installments over the next succeeding three year period, was cancelled in connection with the Merger in exchange for the right to receive one or more cash payments, without interest and subject to deduction for any required withholding taxes, equal to (i) the amount by which the Per Share Value Paid (as defined in the Merger Agreement) exceeds $2.98, less (ii) the amount of all payments previously paid with respect to such Out of the Money Option.
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $7.38 · Expires 2023-08-13	Direct	Reported balance After 2017-12-11 transaction · row 6 Instrument identity requires review; Table II rows are not merged. 1 source row Row 6 · 2017-12-11 · Disposition to issuer · Disposed 491,550 · Balance 0 F4: Pursuant to the terms of the Merger Agreement, each option to purchase a share of the Issuer's common stock outstanding and unexercised immediately prior to the Effective Time, whether or not vested and which had a per-share exercise price of less than the $1.52 (each, an "In the Money Option") was canceled and converted into the right of the holder of such In the Money Company Stock Option to receive, for each Share underlying such In the Money Company Stock Option, (i) an amount in cash, without interest and subject to deduction for any required withholding taxes, equal to the excess, if any, of $1.52 over the applicable exercise price for such Share, plus (ii) one CVR. F5: (Continued from Footnote 4) All other options (each, an "Out of the Money Option") that were outstanding and unexercised and whether or not vested, were canceled and converted into the right to receive one or more cash payments, if any, at each Milestone Payment Date (as defined in the CVR Agreement) equal to (i) the amount by which the Per Share Value Paid (as defined in the Merger Agreement) exceeds the exercise price payable per Share subject to such Out of the Money Option, less (ii) the amount of all payments previously paid with respect to such Out of the Money Option. Any Out of the Money Option with an exercise price per Share equal to or greater than $4.10 was cancelled without any consideration payable therefore. F9: This Out of the Money Option, which provided for vesting with respect to 25% of such options on August 13, 2015, with the remaining 75% of such options vesting in equal monthly installments over the next succeeding three year period, was cancelled in connection with the Merger for no consideration
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $7.84 · Expires 2024-06-11	Direct	Reported balance After 2017-12-11 transaction · row 7 Instrument identity requires review; Table II rows are not merged. 1 source row Row 7 · 2017-12-11 · Disposition to issuer · Disposed 37,500 · Balance 0 F4: Pursuant to the terms of the Merger Agreement, each option to purchase a share of the Issuer's common stock outstanding and unexercised immediately prior to the Effective Time, whether or not vested and which had a per-share exercise price of less than the $1.52 (each, an "In the Money Option") was canceled and converted into the right of the holder of such In the Money Company Stock Option to receive, for each Share underlying such In the Money Company Stock Option, (i) an amount in cash, without interest and subject to deduction for any required withholding taxes, equal to the excess, if any, of $1.52 over the applicable exercise price for such Share, plus (ii) one CVR. F5: (Continued from Footnote 4) All other options (each, an "Out of the Money Option") that were outstanding and unexercised and whether or not vested, were canceled and converted into the right to receive one or more cash payments, if any, at each Milestone Payment Date (as defined in the CVR Agreement) equal to (i) the amount by which the Per Share Value Paid (as defined in the Merger Agreement) exceeds the exercise price payable per Share subject to such Out of the Money Option, less (ii) the amount of all payments previously paid with respect to such Out of the Money Option. Any Out of the Money Option with an exercise price per Share equal to or greater than $4.10 was cancelled without any consideration payable therefore. F10: This Out of the Money Option, which provided for vesting with respect to 25% of such options on June 11, 2016, with the remaining 75% of such options vesting in equal monthly installments over the next succeeding three year period, was cancelled in connection with the Merger for no consideration.
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.67 · Expires 2022-06-13	Direct	Reported balance After 2017-12-11 transaction · row 8 Instrument identity requires review; Table II rows are not merged. 1 source row Row 8 · 2017-12-11 · Disposition to issuer · Disposed 30,826 · Balance 0 F4: Pursuant to the terms of the Merger Agreement, each option to purchase a share of the Issuer's common stock outstanding and unexercised immediately prior to the Effective Time, whether or not vested and which had a per-share exercise price of less than the $1.52 (each, an "In the Money Option") was canceled and converted into the right of the holder of such In the Money Company Stock Option to receive, for each Share underlying such In the Money Company Stock Option, (i) an amount in cash, without interest and subject to deduction for any required withholding taxes, equal to the excess, if any, of $1.52 over the applicable exercise price for such Share, plus (ii) one CVR. F5: (Continued from Footnote 4) All other options (each, an "Out of the Money Option") that were outstanding and unexercised and whether or not vested, were canceled and converted into the right to receive one or more cash payments, if any, at each Milestone Payment Date (as defined in the CVR Agreement) equal to (i) the amount by which the Per Share Value Paid (as defined in the Merger Agreement) exceeds the exercise price payable per Share subject to such Out of the Money Option, less (ii) the amount of all payments previously paid with respect to such Out of the Money Option. Any Out of the Money Option with an exercise price per Share equal to or greater than $4.10 was cancelled without any consideration payable therefore. F11: This In the Money Option, which became fully vested on August 7, 2013, was cancelled in connection with the Merger in exchange for the right to receive (i) a cash payment, without interest and subject to deduction for any required withholding taxes, equal to (A) the excess, if any, of (x) the Closing Amount over (y) the exercise price payable per Share under such In the Money Option, multiplied by (B) the total number of Shares subject to such In the Money Option immediately prior to the Effective Time and (ii) a CVR with respect to the total number of Shares subject to such In the Money Option immediately prior to the Effective Time.
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.67 · Expires 2022-06-13	Direct	Reported balance After 2017-12-11 transaction · row 9 Instrument identity requires review; Table II rows are not merged. 1 source row Row 9 · 2017-12-11 · Disposition to issuer · Disposed 30,827 · Balance 0 F4: Pursuant to the terms of the Merger Agreement, each option to purchase a share of the Issuer's common stock outstanding and unexercised immediately prior to the Effective Time, whether or not vested and which had a per-share exercise price of less than the $1.52 (each, an "In the Money Option") was canceled and converted into the right of the holder of such In the Money Company Stock Option to receive, for each Share underlying such In the Money Company Stock Option, (i) an amount in cash, without interest and subject to deduction for any required withholding taxes, equal to the excess, if any, of $1.52 over the applicable exercise price for such Share, plus (ii) one CVR. F5: (Continued from Footnote 4) All other options (each, an "Out of the Money Option") that were outstanding and unexercised and whether or not vested, were canceled and converted into the right to receive one or more cash payments, if any, at each Milestone Payment Date (as defined in the CVR Agreement) equal to (i) the amount by which the Per Share Value Paid (as defined in the Merger Agreement) exceeds the exercise price payable per Share subject to such Out of the Money Option, less (ii) the amount of all payments previously paid with respect to such Out of the Money Option. Any Out of the Money Option with an exercise price per Share equal to or greater than $4.10 was cancelled without any consideration payable therefore. F12: This In the Money Option, which became fully vested on July 15, 2013, was cancelled in connection with the Merger in exchange for the right to receive (i) a cash payment, without interest and subject to deduction for any required withholding taxes, equal to (A) the excess, if any, of (x) the Closing Amount over (y) the exercise price payable per Share under such In the Money Option, multiplied by (B) the total number of Shares subject to such In the Money Option immediately prior to the Effective Time and (ii) a CVR with respect to the total number of Shares subject to such In the Money Option immediately prior to the Effective Time.
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.67 · Expires 2021-06-16	Direct	Reported balance After 2017-12-11 transaction · row 10 Instrument identity requires review; Table II rows are not merged. 1 source row Row 10 · 2017-12-11 · Disposition to issuer · Disposed 11,969 · Balance 0 F4: Pursuant to the terms of the Merger Agreement, each option to purchase a share of the Issuer's common stock outstanding and unexercised immediately prior to the Effective Time, whether or not vested and which had a per-share exercise price of less than the $1.52 (each, an "In the Money Option") was canceled and converted into the right of the holder of such In the Money Company Stock Option to receive, for each Share underlying such In the Money Company Stock Option, (i) an amount in cash, without interest and subject to deduction for any required withholding taxes, equal to the excess, if any, of $1.52 over the applicable exercise price for such Share, plus (ii) one CVR. F5: (Continued from Footnote 4) All other options (each, an "Out of the Money Option") that were outstanding and unexercised and whether or not vested, were canceled and converted into the right to receive one or more cash payments, if any, at each Milestone Payment Date (as defined in the CVR Agreement) equal to (i) the amount by which the Per Share Value Paid (as defined in the Merger Agreement) exceeds the exercise price payable per Share subject to such Out of the Money Option, less (ii) the amount of all payments previously paid with respect to such Out of the Money Option. Any Out of the Money Option with an exercise price per Share equal to or greater than $4.10 was cancelled without any consideration payable therefore. F13: This In the Money Option, which became fully vested on July 16, 2011, was cancelled in connection with the Merger in exchange for the right to receive (i) a cash payment, without interest and subject to deduction for any required withholding taxes, equal to (A) the excess, if any, of (x) the Closing Amount over (y) the exercise price payable per Share under such In the Money Option, multiplied by (B) the total number of Shares subject to such In the Money Option immediately prior to the Effective Time and (ii) a CVR with respect to the total number of Shares subject to such In the Money Option immediately prior to the Effective Time.

Filing footnotes · ownership attribution and instrument terms

F1: Pursuant to an Agreement and Plan of Merger, dated November 1, 2017 (the "Merger Agreement"), by and between Ocera Therapeutics, Inc., a Delaware corporation (the "Issuer"), MAK LLC, a Delaware limited liability company ("Parent"), MEH Acquisition Co., a Delaware corporation and a direct wholly-owned subsidiary of Parent ("Purchaser"), and for limited purposes, Mallinckrodt plc, an Irish public limited company and the ultimate parent entity of Parent and Purchaser ("Mallinckrodt"), Purchaser was merged with and into Issuer on December 11, 2017, with the Issuer surviving as a wholly-owned subsidiary of Parent (the "Merger").

F2: (Continued from Footnote 1) Pursuant to the terms of the Merger Agreement, all shares of common stock, $0.00001 par value per share (the "Shares"), of the Issuer outstanding immediately prior to the effective time of the Merger (the "Effective Time") , were canceled and converted automatically and without any required action on the part of the Reporting Person into the right to receive (i) $1.52 per Share in cash, without interest, plus (ii) one non-transferable contingent value right per Share (each, a "CVR"), which represents the contractual right under a contingent value rights agreement, by and among Parent, Continental Stock Transfer & Trust Company, and for limited purposes, Mallinckrodt (the "CVR Agreement"), entered into on December 7, 2017 to receive one or more payments in cash currently estimated to be up to $2.58 per Share, contingent upon the achievement of certain milestones, in each case, less any required withholding taxes.

F3: At the Effective Time of the Merger, each restricted stock unit outstanding, automatically and without any required action on the part of the Reporting Person, became fully vested and canceled in exchange for a right to receive, for each share of common stock underlying the restricted stock unit, (i) an amount in cash, equal to $1.52, without interest plus (ii) one CVR, less any required withholding taxes.

F4: Pursuant to the terms of the Merger Agreement, each option to purchase a share of the Issuer's common stock outstanding and unexercised immediately prior to the Effective Time, whether or not vested and which had a per-share exercise price of less than the $1.52 (each, an "In the Money Option") was canceled and converted into the right of the holder of such In the Money Company Stock Option to receive, for each Share underlying such In the Money Company Stock Option, (i) an amount in cash, without interest and subject to deduction for any required withholding taxes, equal to the excess, if any, of $1.52 over the applicable exercise price for such Share, plus (ii) one CVR.

F5: (Continued from Footnote 4) All other options (each, an "Out of the Money Option") that were outstanding and unexercised and whether or not vested, were canceled and converted into the right to receive one or more cash payments, if any, at each Milestone Payment Date (as defined in the CVR Agreement) equal to (i) the amount by which the Per Share Value Paid (as defined in the Merger Agreement) exceeds the exercise price payable per Share subject to such Out of the Money Option, less (ii) the amount of all payments previously paid with respect to such Out of the Money Option. Any Out of the Money Option with an exercise price per Share equal to or greater than $4.10 was cancelled without any consideration payable therefore.

F6: This Out of the Money Option, which provided for vesting in 48 equal monthly installments beginning on January 15, 2017, was cancelled in connection with the Merger in exchange for the right to receive one or more cash payments, without interest and subject to deduction for any required withholding taxes, equal to (i) the amount by which the Per Share Value Paid (as defined in the Merger Agreement) exceeds $2.15, less (ii) the amount of all payments previously paid with respect to such Out of the Money Option.

F7: This Out of the Money Option, which provided for vesting in 48 equal monthly installments beginning on February 6, 2016, was cancelled in connection with the Merger in exchange for the right to receive one or more cash payments, without interest and subject to deduction for any required withholding taxes, equal to (i) the amount by which the Per Share Value Paid (as defined in the Merger Agreement) exceeds $2.98, less (ii) the amount of all payments previously paid with respect to such Out of the Money Option.

F8: This Out of the Money Option, which provided for vesting with respect to 25% of such options on June 18, 2017, with the remaining 75% of such options vesting in equal monthly installments over the next succeeding three year period, was cancelled in connection with the Merger in exchange for the right to receive one or more cash payments, without interest and subject to deduction for any required withholding taxes, equal to (i) the amount by which the Per Share Value Paid (as defined in the Merger Agreement) exceeds $2.98, less (ii) the amount of all payments previously paid with respect to such Out of the Money Option.

F9: This Out of the Money Option, which provided for vesting with respect to 25% of such options on August 13, 2015, with the remaining 75% of such options vesting in equal monthly installments over the next succeeding three year period, was cancelled in connection with the Merger for no consideration

F10: This Out of the Money Option, which provided for vesting with respect to 25% of such options on June 11, 2016, with the remaining 75% of such options vesting in equal monthly installments over the next succeeding three year period, was cancelled in connection with the Merger for no consideration.

F11: This In the Money Option, which became fully vested on August 7, 2013, was cancelled in connection with the Merger in exchange for the right to receive (i) a cash payment, without interest and subject to deduction for any required withholding taxes, equal to (A) the excess, if any, of (x) the Closing Amount over (y) the exercise price payable per Share under such In the Money Option, multiplied by (B) the total number of Shares subject to such In the Money Option immediately prior to the Effective Time and (ii) a CVR with respect to the total number of Shares subject to such In the Money Option immediately prior to the Effective Time.

F12: This In the Money Option, which became fully vested on July 15, 2013, was cancelled in connection with the Merger in exchange for the right to receive (i) a cash payment, without interest and subject to deduction for any required withholding taxes, equal to (A) the excess, if any, of (x) the Closing Amount over (y) the exercise price payable per Share under such In the Money Option, multiplied by (B) the total number of Shares subject to such In the Money Option immediately prior to the Effective Time and (ii) a CVR with respect to the total number of Shares subject to such In the Money Option immediately prior to the Effective Time.

F13: This In the Money Option, which became fully vested on July 16, 2011, was cancelled in connection with the Merger in exchange for the right to receive (i) a cash payment, without interest and subject to deduction for any required withholding taxes, equal to (A) the excess, if any, of (x) the Closing Amount over (y) the exercise price payable per Share under such In the Money Option, multiplied by (B) the total number of Shares subject to such In the Money Option immediately prior to the Effective Time and (ii) a CVR with respect to the total number of Shares subject to such In the Money Option immediately prior to the Effective Time.

Oruka Therapeutics, Inc.

Report date January 30, 2024 · Filed January 31, 2024

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.64 · Expires 2034-01-30	Direct	6,000	Reported balance After 2024-01-30 transaction · row 1 Instrument identity requires review; Table II rows are not merged. 1 source row Row 1 · 2024-01-30 · Grant · Acquired 6,000 · Balance 6,000 F1: Grant to the Reporting Person of a stock option under the 2020 Equity Incentive Plan, vesting in 12 equal monthly installments beginning as of January 30, 2024, subject to the Reporting Person continuing to provide Continuous Service (as defined in the 2020 Equity Incentive Plan) through such date. If the Reporting Person's service as a director of the Issuer terminates in connection with or at any time following a change in control (for whatever reason), then any unexpired options that remain unvested shall become fully vested.

Filing footnotes · ownership attribution and instrument terms

F1: Grant to the Reporting Person of a stock option under the 2020 Equity Incentive Plan, vesting in 12 equal monthly installments beginning as of January 30, 2024, subject to the Reporting Person continuing to provide Continuous Service (as defined in the 2020 Equity Incentive Plan) through such date. If the Reporting Person's service as a director of the Issuer terminates in connection with or at any time following a change in control (for whatever reason), then any unexpired options that remain unvested shall become fully vested.

Zosano Pharma Corp

Report date June 10, 2021 · Filed June 15, 2021

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	22,500	Reported balance After 2021-06-10 transaction · row 1 1 source row Row 1 · 2021-06-10 · Grant · Acquired 15,000 · Balance 22,500 F1: Represents restricted stock units which vest in a single installment on the earlier of (i) the first anniversary of the grant date and (ii) immediately prior to the annual meeting in 2022 of the Issuer's stockholders, assuming continuous service through such vesting date.
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.93 · Expires 2031-06-09	Direct	30,000	Reported balance After 2021-06-10 transaction · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · 2021-06-10 · Grant · Acquired 30,000 · Balance 30,000 F2: The option will vest and become exercisable as to 100% of the total number of shares subject to the option on the earlier of (i) the first anniversary of the grant date and (ii) immediately prior to the annual meeting in 2022 of the Issuer's stockholders, assuming continuous service through such vesting date.

Filing footnotes · ownership attribution and instrument terms

F1: Represents restricted stock units which vest in a single installment on the earlier of (i) the first anniversary of the grant date and (ii) immediately prior to the annual meeting in 2022 of the Issuer's stockholders, assuming continuous service through such vesting date.

F2: The option will vest and become exercisable as to 100% of the total number of shares subject to the option on the earlier of (i) the first anniversary of the grant date and (ii) immediately prior to the annual meeting in 2022 of the Issuer's stockholders, assuming continuous service through such vesting date.

Past disclosures · reporting ended (1)

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

PRA Health Sciences, Inc.

Report date July 01, 2021 · Filed July 01, 2021

Section 16 reporting ended · disclosed 2021-07-01. 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 2021-07-01 transaction · row 1 1 source row Row 1 · 2021-07-01 · Disposition to issuer · Disposed 9,683 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger (as it may be amended from time to time) (the "Merger Agreement"), dated as of February 24, 2021, by and among the Issuer, ICON plc ("ICON"), ICON US Holdings Inc. ("US HoldCo") and Indigo Merger Sub, Inc., each share of the Issuer's common stock was converted into the right to receive from ICON, 0.4125 of one ordinary share of ICON, and, from US HoldCo, $80.00 in cash, without any interest thereon (collectively, the "Merger Consideration"). F2: Pursuant to the Merger Agreement, each award of restricted stock of the Issuer that is outstanding immediately prior to the effective time of the merger was converted into the right to receive the Merger Consideration.

Filing footnotes · ownership attribution and instrument terms

F1: Pursuant to the Agreement and Plan of Merger (as it may be amended from time to time) (the "Merger Agreement"), dated as of February 24, 2021, by and among the Issuer, ICON plc ("ICON"), ICON US Holdings Inc. ("US HoldCo") and Indigo Merger Sub, Inc., each share of the Issuer's common stock was converted into the right to receive from ICON, 0.4125 of one ordinary share of ICON, and, from US HoldCo, $80.00 in cash, without any interest thereon (collectively, the "Merger Consideration").

F2: Pursuant to the Merger Agreement, each award of restricted stock of the Issuer that is outstanding immediately prior to the effective time of the merger was converted into the right to receive the Merger Consideration.

Transaction history

JSON API

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

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

Transaction date	Company	Activity / security	Shares / units	Reported price	Reported value	Details
August 11, 2026 Filed Aug 12, 2026 20:47 UTC	ICON PLC ICLR · Entity 3439	SaleOrdinary Shares	67	$165.51	$11,089.17	Disclosure SEC source: 0001628280-26-056304 · wk-form4_1786567646.xml · nonDerivative · entry 5 Grais Linda · CIK 0001413306 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 6,162 F3 · kind: The sale reported represents shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of restricted share units. The sale was to satisfy tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary transaction by the Reporting Person. F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple aggregated transactions at prices within the range of $165.16 to $166.1599, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range(s) set forth in this footnote of this Form 4. Read SEC document
August 11, 2026 Filed Aug 12, 2026 20:47 UTC	ICON PLC ICLR · Entity 3439	SaleOrdinary Shares	590	$164.47	$97,037.30	Disclosure SEC source: 0001628280-26-056304 · wk-form4_1786567646.xml · nonDerivative · entry 4 Grais Linda · CIK 0001413306 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 6,229 F3 · kind: The sale reported represents shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of restricted share units. The sale was to satisfy tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary transaction by the Reporting Person. F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple aggregated transactions at prices within the range of $164.16 to $165.1599, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range(s) set forth in this footnote of this Form 4. Read SEC document
August 11, 2026 Filed Aug 12, 2026 20:47 UTC	ICON PLC ICLR · Entity 3439	SaleOrdinary Shares	97	$163.77	$15,885.69	Disclosure SEC source: 0001628280-26-056304 · wk-form4_1786567646.xml · nonDerivative · entry 3 Grais Linda · CIK 0001413306 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 6,819 F3 · kind: The sale reported represents shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of restricted share units. The sale was to satisfy tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary transaction by the Reporting Person. F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple aggregated transactions at prices within the range of $163.15 to $164.1499, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range(s) set forth in this footnote of this Form 4. Read SEC document
August 11, 2026 Filed Aug 12, 2026 20:47 UTC	ICON PLC ICLR · Entity 3439	SaleOrdinary Shares	87	$162.72	$14,156.64	Disclosure SEC source: 0001628280-26-056304 · wk-form4_1786567646.xml · nonDerivative · entry 2 Grais Linda · CIK 0001413306 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 6,916 F3 · kind: The sale reported represents shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of restricted share units. The sale was to satisfy tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary transaction by the Reporting Person. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple aggregated transactions at prices within the range of $162.08 to $163.0799, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range(s) set forth in this footnote of this Form 4. Read SEC document
August 10, 2026 Filed Aug 12, 2026 20:47 UTC	ICON PLC ICLR · Entity 3439	GrantRestricted Share Units · Derivative	1,324	$0.00	$0.00	Disclosure SEC source: 0001628280-26-056304 · wk-form4_1786567646.xml · derivative · entry 7 Grais Linda · CIK 0001413306 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,324 Underlying: Ordinary Shares · 1,324 shares Expires not disclosed F2 · derivative.exercise_price: Each restricted share unit represents a contingent right to receive one ordinary share of the Issuer upon vesting, with a nominal conversion price equal to the par value of the ordinary shares (EUR 0.06) per underlying share automatically deducted from the reporting person's pay in connection with vesting. F8 · derivative.exercise_date: These restricted share units were granted on August 10, 2026 and are scheduled to vest on May 22, 2027. F8 · derivative.expiration_date: These restricted share units were granted on August 10, 2026 and are scheduled to vest on May 22, 2027. F8 · derivative.underlying: These restricted share units were granted on August 10, 2026 and are scheduled to vest on May 22, 2027. Read SEC document
August 10, 2026 Filed Aug 12, 2026 20:47 UTC	ICON PLC ICLR · Entity 3439	Exercise / conversionRestricted Share Units · Derivative	1,732	$0.00	$0.00	Disclosure SEC source: 0001628280-26-056304 · wk-form4_1786567646.xml · derivative · entry 6 Grais Linda · CIK 0001413306 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Ordinary Shares · 1,732 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: Each restricted share unit represents a contingent right to receive one ordinary share of the Issuer upon vesting, with a nominal conversion price equal to the par value of the ordinary shares (EUR 0.06) per underlying share automatically deducted from the reporting person's pay in connection with vesting. F1 · derivative.exercise_date: These restricted share units were granted on May 22, 2025 and vested on August 10, 2026. F1 · derivative.expiration_date: These restricted share units were granted on May 22, 2025 and vested on August 10, 2026. Read SEC document
August 10, 2026 Filed Aug 12, 2026 20:47 UTC	ICON PLC ICLR · Entity 3439	Exercise / conversionOrdinary Shares	1,732	Not disclosed	Not disclosed	Disclosure SEC source: 0001628280-26-056304 · wk-form4_1786567646.xml · nonDerivative · entry 1 Grais Linda · CIK 0001413306 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 7,003 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: These restricted share units were granted on May 22, 2025 and vested on August 10, 2026. F2 · price: Each restricted share unit represents a contingent right to receive one ordinary share of the Issuer upon vesting, with a nominal conversion price equal to the par value of the ordinary shares (EUR 0.06) per underlying share automatically deducted from the reporting person's pay in connection with vesting. Read SEC document
June 11, 2026 Filed Jun 15, 2026 21:08 UTC	Corvus Pharmaceuticals, Inc. CRVS · Entity 4839	GrantStock Option (Right to Buy) · Derivative	15,000	$0.00 Strike: $11.60	$0.00	Disclosure SEC source: 0001610717-26-000221 · form4.xml · derivative · entry 1 Grais Linda · CIK 0001413306 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2036-06-11 F1 · derivative.exercise_date: The underlying shares subject to the option vest and become exercisable as to 100% of the total number of shares subject to the option on the earlier of (i) the first anniversary of the grant date or (ii) the date of the 2027 Annual Meeting of the Issuer's stockholders, assuming continuous service as a director until such vesting date. Read SEC document
June 12, 2025 Filed Jun 16, 2025 20:28 UTC	Corvus Pharmaceuticals, Inc. CRVS · Entity 4839	GrantStock Option (Right to Buy) · Derivative	15,000	$0.00 Strike: $4.24	$0.00	Disclosure SEC source: 0001610717-25-000233 · form4.xml · derivative · entry 1 Grais Linda · CIK 0001413306 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2035-06-12 F1 · derivative.exercise_date: The underlying shares subject to the option vest and become exercisable as to 100% of the total number of shares subject to the option on the earlier of (i) the first anniversary of the grant date or (ii) the date of the 2026 Annual Meeting of the Issuer's stockholders, assuming continuous service as a director until such vesting date. Read SEC document
June 13, 2024 Filed Jun 17, 2024 22:46 UTC	Corvus Pharmaceuticals, Inc. CRVS · Entity 4839	GrantStock Option (Right to Buy) · Derivative	15,000	$0.00 Strike: $2.12	$0.00	Disclosure SEC source: 0001610717-24-000345 · form4.xml · derivative · entry 1 Grais Linda · CIK 0001413306 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2034-06-13 F1 · derivative.exercise_date: The underlying shares subject to the option vest and become exercisable as to 100% of the total number of shares subject to the option on the earlier of (i) the first anniversary of the grant date or (ii) the date of the 2025 Annual Meeting of the Issuer's stockholders, assuming continuous service as a director until such vesting date. Read SEC document
January 30, 2024 Filed Jan 31, 2024 21:25 UTC	Oruka Therapeutics, Inc. ABIO · Entity 3781	GrantStock Option (right to buy) · Derivative	6,000	$0.00 Strike: $1.64	$0.00	Disclosure SEC source: 0001209191-24-002477 · doc4.xml · derivative · entry 1 Grais Linda · CIK 0001413306 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 6,000 Underlying: Common Stock · 6,000 shares Expires 2034-01-30 F1 · derivative.exercise_date: Grant to the Reporting Person of a stock option under the 2020 Equity Incentive Plan, vesting in 12 equal monthly installments beginning as of January 30, 2024, subject to the Reporting Person continuing to provide Continuous Service (as defined in the 2020 Equity Incentive Plan) through such date. If the Reporting Person's service as a director of the Issuer terminates in connection with or at any time following a change in control (for whatever reason), then any unexpired options that remain unvested shall become fully vested. Read SEC document
December 06, 2023 Filed Dec 8, 2023 21:05 UTC	Corvus Pharmaceuticals, Inc. CRVS · Entity 4839	GrantStock Option (Right to Buy) · Derivative	15,000	$0.00 Strike: $1.64	$0.00	Disclosure SEC source: 0001610717-23-000390 · form4.xml · derivative · entry 1 Grais Linda · CIK 0001413306 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2033-12-06 F1 · derivative.exercise_date: The underlying shares subject to the option vest and become exercisable as to one-twelfth (1/12th) of the shares subject to the option in successive, equal monthly installments measured from December 6, 2023, subject to Reporting Person's continued service relationship with the Issuer on each such vesting date. Read SEC document
June 15, 2023 Filed Jun 20, 2023 20:58 UTC	Corvus Pharmaceuticals, Inc. CRVS · Entity 4839	GrantStock Option (Right to Buy) · Derivative	15,000	$0.00 Strike: $2.49	$0.00	Disclosure SEC source: 0001610717-23-000185 · form4.xml · derivative · entry 1 Grais Linda · CIK 0001413306 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2033-06-15 F1 · derivative.exercise_date: The underlying shares subject to the option vest and become exercisable as to 100% of the total number of shares subject to the option on the earlier of (i) the first anniversary of the grant date or (ii) the date of the 2024 Annual Meeting of the Issuer's stockholders, assuming continuous service as a director until such vesting date. Read SEC document
May 15, 2023 Filed May 16, 2023 20:54 UTC	Corvus Pharmaceuticals, Inc. CRVS · Entity 4839	PurchaseCommon Stock	10,000	$2.45	$24,500.00	Disclosure SEC source: 0001610717-23-000041 · form4.xml · nonDerivative · entry 1 Grais Linda · CIK 0001413306 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 10,000 Read SEC document
December 15, 2022 Filed Dec 19, 2022 21:24 UTC	Oruka Therapeutics, Inc. ABIO · Entity 3781	GrantStock Option (right to buy) · Derivative	6,000	$0.00 Strike: $2.32	$0.00	Disclosure SEC source: 0001209191-22-061908 · doc4.xml · derivative · entry 1 Grais Linda · CIK 0001413306 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,000 Underlying: Common Stock · 6,000 shares Expires 2032-12-15 F1 · derivative.exercise_date: Grant to the Reporting Person of a stock option under the 2020 Equity Incentive Plan, vesting in 12 equal monthly installments beginning as of December 15, 2022. If the Reporting Person's service as a director of the Issuer terminates in connection with or at any time following a change in control (for whatever reason), then any unexpired options that remain unvested shall become fully vested. Read SEC document
August 11, 2022 Filed Aug 15, 2022 22:39 UTC	Corvus Pharmaceuticals, Inc. CRVS · Entity 4839	GrantStock Option (Right to Buy) · Derivative	15,000	$0.00 Strike: $0.97	$0.00	Disclosure SEC source: 0001567619-22-016296 · doc1.xml · derivative · entry 1 Grais Linda · CIK 0001413306 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2032-08-11 F1 · derivative.exercise_date: The underlying shares subject to the option vest and become exercisable as to one-twelfth (1/12th) of the shares subject to the option in successive, equal monthly installments measured from August 11, 2022, subject to Reporting Person's continued service relationship with the Issuer on each such vesting date. Read SEC document
June 15, 2022 Filed Jun 18, 2022 01:27 UTC	Corvus Pharmaceuticals, Inc. CRVS · Entity 4839	GrantStock Option (Right to Buy) · Derivative	15,000	$0.00 Strike: $0.99	$0.00	Disclosure SEC source: 0001567619-22-013139 · doc1.xml · derivative · entry 1 Grais Linda · CIK 0001413306 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2032-06-15 F1 · derivative.exercise_date: The underlying shares subject to the option vest and become exercisable as to 100% of the total number of shares subject to the option on the earlier of (i) the first anniversary of the grant date or (ii) the date of the 2023 Annual Meeting of the Issuer's stockholders, assuming continuous service as a director until such vesting date. Read SEC document
September 09, 2021 Filed Sep 13, 2021 20:56 UTC	Corvus Pharmaceuticals, Inc. CRVS · Entity 4839	GrantStock Option (Right to Buy) · Derivative	15,000	$0.00 Strike: $2.60	$0.00	Disclosure SEC source: 0001567619-21-017012 · doc1.xml · derivative · entry 1 Grais Linda · CIK 0001413306 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2031-09-09 F1 · derivative.exercise_date: The underlying shares subject to the option vest and become exercisable as to 100% of the total number of shares subject to the option on the first anniversary of the grant date. Read SEC document
July 01, 2021 Filed Jul 1, 2021 21:34 UTC	PRA Health Sciences, Inc. PRAH · Entity 15912	Disposition to issuerCommon Stock	9,683	Not disclosed	Not disclosed	Disclosure SEC source: 0001104659-21-088348 · tm2121280-3_4seq1.xml · nonDerivative · entry 1 Grais Linda · CIK 0001413306 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · price: Pursuant to the Agreement and Plan of Merger (as it may be amended from time to time) (the "Merger Agreement"), dated as of February 24, 2021, by and among the Issuer, ICON plc ("ICON"), ICON US Holdings Inc. ("US HoldCo") and Indigo Merger Sub, Inc., each share of the Issuer's common stock was converted into the right to receive from ICON, 0.4125 of one ordinary share of ICON, and, from US HoldCo, $80.00 in cash, without any interest thereon (collectively, the "Merger Consideration"). F2 · price: Pursuant to the Merger Agreement, each award of restricted stock of the Issuer that is outstanding immediately prior to the effective time of the merger was converted into the right to receive the Merger Consideration. Read SEC document
June 15, 2021 Filed Jun 16, 2021 20:19 UTC	Corvus Pharmaceuticals, Inc. CRVS · Entity 4839	GrantStock Option (Right to Buy) · Derivative	15,000	$0.00 Strike: $2.74	$0.00	Disclosure SEC source: 0001567619-21-012197 · doc1.xml · derivative · entry 1 Grais Linda · CIK 0001413306 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2031-06-15 F1 · derivative.exercise_date: The underlying shares subject to the option vest and become exercisable as to 100% of the total number of shares subject to the option on the earlier of (i) the first anniversary of the grant date or (ii) the date of the 2022 Annual Meeting of the Issuer's stockholders, assuming continuous service as a director until such vesting date. Read SEC document
June 10, 2021 Filed Jun 15, 2021 01:36 UTC	Zosano Pharma Corp ZSAN · Entity 12518	GrantStock Option (Right to Buy) · Derivative	30,000	$0.00 Strike: $0.93	$0.00	Disclosure SEC source: 0001567619-21-012090 · doc1.xml · derivative · entry 2 Grais Linda · CIK 0001413306 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 Underlying: Common Stock · 30,000 shares Expires 2031-06-09 F2 · derivative.exercise_date: The option will vest and become exercisable as to 100% of the total number of shares subject to the option on the earlier of (i) the first anniversary of the grant date and (ii) immediately prior to the annual meeting in 2022 of the Issuer's stockholders, assuming continuous service through such vesting date. Read SEC document
June 10, 2021 Filed Jun 15, 2021 01:36 UTC	Zosano Pharma Corp ZSAN · Entity 12518	GrantCommon Stock	15,000	$0.00	$0.00	Disclosure SEC source: 0001567619-21-012090 · doc1.xml · nonDerivative · entry 1 Grais Linda · CIK 0001413306 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,500 F1 · shares: Represents restricted stock units which vest in a single installment on the earlier of (i) the first anniversary of the grant date and (ii) immediately prior to the annual meeting in 2022 of the Issuer's stockholders, assuming continuous service through such vesting date. Read SEC document
June 01, 2021 Filed Jun 3, 2021 20:03 UTC	PRA Health Sciences, Inc. PRAH · Entity 15912	GrantCommon Stock	250	$0.00	$0.00	Disclosure SEC source: 0001104659-21-076349 · tm2118302-4_4seq1.xml · nonDerivative · entry 1 Grais Linda · CIK 0001413306 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,683 F1 · kind: Represents a grant of restricted stock granted under the PRA Health Sciences, Inc. 2020 Stock Incentive Plan that will vest on June 1, 2022, subject to continued service on such date. Further, the grant shall vest in full upon a change in control as defined under the applicable award agreement. Read SEC document
January 12, 2021 Filed Jan 14, 2021 00:06 UTC	Oruka Therapeutics, Inc. ABIO · Entity 3781	GrantStock Option (right to buy) · Derivative	12,000	$0.00 Strike: $4.31	$0.00	Disclosure SEC source: 0001209191-21-003470 · doc4.xml · derivative · entry 1 Grais Linda · CIK 0001413306 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,000 Underlying: Common Stock · 12,000 shares Expires 2031-01-12 F1 · derivative.exercise_date: Grant to the Reporting Person of a stock option under the 2020 Equity Incentive Plan, vesting in 36 equal monthly installments beginning as of December 21, 2020. If the Reporting Person's service as a director of the Issuer terminates in connection with or at any time following a change in control (for whatever reason), then any unexpired options that remain unvested shall become fully vested. Read SEC document
June 25, 2020 Filed Jun 30, 2020 01:56 UTC	Zosano Pharma Corp ZSAN · Entity 12518	GrantCommon Stock	7,500	$0.00	$0.00	Disclosure SEC source: 0001140361-20-015098 · form4.xml · nonDerivative · entry 1 Grais Linda S · CIK 0001413306 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,500 F1 · shares: Represents restricted stock units which vest in a single installment on the first anniversary of June 3, 2020, subject to the Reporting Person's continued service to the Issuer on the vesting date. Read SEC document
June 09, 2020 Filed Jun 12, 2020 21:10 UTC	Corvus Pharmaceuticals, Inc. CRVS · Entity 4839	GrantStock Option (Right to Buy) · Derivative	15,000	$0.00 Strike: $3.27	$0.00	Disclosure SEC source: 0001567619-20-012098 · doc1.xml · derivative · entry 1 Grais Linda S · CIK 0001413306 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2030-06-09 F1 · derivative.exercise_date: The underlying shares subject to the option vest and become exercisable as to 100% of the total number of shares subject to the option on the earlier of (i) the first anniversary of the grant date or (ii) the date of the 2021 Annual Meeting of the Issuer's stockholders, assuming continuous service as a director until such vesting date. Read SEC document
June 03, 2020 Filed Jun 5, 2020 21:07 UTC	Zosano Pharma Corp ZSAN · Entity 12518	GrantStock Option (right to buy) · Derivative	15,000	$0.00 Strike: $1.01	$0.00	Disclosure SEC source: 0001567619-20-011811 · doc1.xml · derivative · entry 1 Grais Linda S · CIK 0001413306 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2030-06-02 F1 · derivative.exercise_date: The shares underlying the option shall vest on the first anniversary of the date of grant. Read SEC document
June 03, 2020 Filed Jun 5, 2020 21:08 UTC	Zosano Pharma Corp ZSAN · Entity 12518	GrantStock Option (right to buy) · Derivative	15,000	$0.00 Strike: $1.01	$0.00	Disclosure SEC source: 0001567619-20-011812 · doc1.xml · derivative · entry 1 Grais Linda S · CIK 0001413306 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2030-06-02 F1 · derivative.exercise_date: The shares underlying the option shall vest on the first anniversary of the date of grant. Read SEC document
May 18, 2020 Filed May 20, 2020 20:58 UTC	PRA Health Sciences, Inc. PRAH · Entity 15912	GrantCommon Stock	1,324	$0.00	$0.00	Disclosure SEC source: 0001104659-20-064310 · a4.xml · nonDerivative · entry 1 Grais Linda S · CIK 0001413306 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,433 F1 · kind: Represents a grant of restricted stock that will vest on the first anniversary of the grant date, subject to continued service on such date. Read SEC document
March 19, 2020 Filed Mar 23, 2020 21:31 UTC	Corvus Pharmaceuticals, Inc. CRVS · Entity 4839	GrantStock Option (Right to Buy) · Derivative	15,000	$0.00 Strike: $2.00	$0.00	Disclosure SEC source: 0001567619-20-006910 · doc1.xml · derivative · entry 1 Grais Linda S · CIK 0001413306 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2030-03-19 F1 · derivative.exercise_date: 100% of the shares subject to the option vest and become exercisable on the one-year anniversary of the grant date, subject to continued service as a director through such date. Read SEC document
June 20, 2019 Filed Jun 24, 2019 20:05 UTC	Corvus Pharmaceuticals, Inc. CRVS · Entity 4839	GrantStock Option (Right to Buy) · Derivative	15,000	$0.00 Strike: $3.61	$0.00	Disclosure SEC source: 0000899243-19-017917 · doc4.xml · derivative · entry 1 Grais Linda S · CIK 0001413306 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2029-06-20 F1 · derivative.exercise_date: The underlying shares subject to the option vest and become exercisable as to 100% of the total number of shares subject to the option on the earlier of (i) the first anniversary of the grant date or (ii) the date of the 2020 Annual Meeting of the Issuer's stockholders, assuming continuous service as a director until such vesting date. Read SEC document
June 03, 2019 Filed Jun 5, 2019 21:04 UTC	PRA Health Sciences, Inc. PRAH · Entity 15912	GrantCommon Stock	1,436	$0.00	$0.00	Disclosure SEC source: 0001104659-19-034066 · a4.xml · nonDerivative · entry 1 Grais Linda S · CIK 0001413306 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,109 F1 · kind: Represents a grant of restricted stock that will vest on the first anniversary of the grant date, subject to continued service on such date. Read SEC document
January 28, 2019 Filed Jan 30, 2019 21:08 UTC	Corvus Pharmaceuticals, Inc. CRVS · Entity 4839	GrantStock Option (Right to Buy) · Derivative	30,000	$0.00 Strike: $3.88	$0.00	Disclosure SEC source: 0000899243-19-002194 · doc4.xml · derivative · entry 1 Grais Linda S · CIK 0001413306 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 Underlying: Common Stock · 30,000 shares Expires 2029-01-28 F1 · derivative.exercise_date: The underlying shares subject to the option vest and become exercisable as to one-third (1/3rd) of the shares subject to the option on each annual anniversary measured from January 28, 2019, subject to Reporting Person's continued service relationship with the Issuer on each such vesting date. Read SEC document
January 14, 2019 Filed Jan 17, 2019 00:19 UTC	Zosano Pharma Corp ZSAN · Entity 12518	GrantStock Option (right to buy) · Derivative	25,000	$0.00 Strike: $2.56	$0.00	Disclosure SEC source: 0001567619-19-001255 · doc1.xml · derivative · entry 1 Grais Linda S · CIK 0001413306 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 Underlying: Common Stock · 25,000 shares Expires 2029-01-14 F1 · derivative.exercise_date: 25% of the total number of shares underlying the stock option vest on January 14, 2019, and the remaining underlying shares vest in equal monthly installments over the following three-year period. Read SEC document
June 21, 2018 Filed Jun 25, 2018 20:06 UTC	PRA Health Sciences, Inc. PRAH · Entity 15912	GrantCommon Stock	1,307	$0.00	$0.00	Disclosure SEC source: 0001104659-18-042049 · a4.xml · nonDerivative · entry 1 Grais Linda S · CIK 0001413306 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,673 F1 · kind: Represents a grant of restricted stock which will vest fifty percent on each of the first two anniversaries of the grant date, subject to continued service on such dates. Read SEC document
March 01, 2018 Filed Mar 5, 2018 22:34 UTC	Oruka Therapeutics, Inc. ABIO · Entity 3781	GrantStock Option (right to buy) · Derivative	8,000	$0.00 Strike: $0.72	$0.00	Disclosure SEC source: 0001209191-18-016691 · doc4.xml · derivative · entry 1 Grais Linda S · CIK 0001413306 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,000 Underlying: Common Stock · 8,000 shares Expires 2028-02-29 F1 · derivative.exercise_date: Grant to the Reporting Person of a stock option under the 2013 Amended and Restated Equity Incentive Plan, vesting in 12 equal monthly installments beginning as of January 1, 2018. If the Reporting Person's service as a director of the Issuer terminates in connection with or at any time following a change in control (for whatever reason), then any unexpired options that remain unvested shall become fully vested. Read SEC document
December 11, 2017 Filed Dec 11, 2017 20:25 UTC	Ocera Therapeutics, Inc. OCRX · Entity 171193	Disposition to issuerStock Option (Right to Buy) · Derivative	11,969	Not disclosed Strike: $0.67	Not disclosed	Disclosure SEC source: 0000899243-17-028424 · doc4.xml · derivative · entry 10 Grais Linda S · CIK 0001413306 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 11,969 shares Expires 2021-06-16 F4 · price: Pursuant to the terms of the Merger Agreement, each option to purchase a share of the Issuer's common stock outstanding and unexercised immediately prior to the Effective Time, whether or not vested and which had a per-share exercise price of less than the $1.52 (each, an "In the Money Option") was canceled and converted into the right of the holder of such In the Money Company Stock Option to receive, for each Share underlying such In the Money Company Stock Option, (i) an amount in cash, without interest and subject to deduction for any required withholding taxes, equal to the excess, if any, of $1.52 over the applicable exercise price for such Share, plus (ii) one CVR. F5 · price: (Continued from Footnote 4) All other options (each, an "Out of the Money Option") that were outstanding and unexercised and whether or not vested, were canceled and converted into the right to receive one or more cash payments, if any, at each Milestone Payment Date (as defined in the CVR Agreement) equal to (i) the amount by which the Per Share Value Paid (as defined in the Merger Agreement) exceeds the exercise price payable per Share subject to such Out of the Money Option, less (ii) the amount of all payments previously paid with respect to such Out of the Money Option. Any Out of the Money Option with an exercise price per Share equal to or greater than $4.10 was cancelled without any consideration payable therefore. F13 · price: This In the Money Option, which became fully vested on July 16, 2011, was cancelled in connection with the Merger in exchange for the right to receive (i) a cash payment, without interest and subject to deduction for any required withholding taxes, equal to (A) the excess, if any, of (x) the Closing Amount over (y) the exercise price payable per Share under such In the Money Option, multiplied by (B) the total number of Shares subject to such In the Money Option immediately prior to the Effective Time and (ii) a CVR with respect to the total number of Shares subject to such In the Money Option immediately prior to the Effective Time. F4 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, each option to purchase a share of the Issuer's common stock outstanding and unexercised immediately prior to the Effective Time, whether or not vested and which had a per-share exercise price of less than the $1.52 (each, an "In the Money Option") was canceled and converted into the right of the holder of such In the Money Company Stock Option to receive, for each Share underlying such In the Money Company Stock Option, (i) an amount in cash, without interest and subject to deduction for any required withholding taxes, equal to the excess, if any, of $1.52 over the applicable exercise price for such Share, plus (ii) one CVR. F5 · derivative.exercise_date: (Continued from Footnote 4) All other options (each, an "Out of the Money Option") that were outstanding and unexercised and whether or not vested, were canceled and converted into the right to receive one or more cash payments, if any, at each Milestone Payment Date (as defined in the CVR Agreement) equal to (i) the amount by which the Per Share Value Paid (as defined in the Merger Agreement) exceeds the exercise price payable per Share subject to such Out of the Money Option, less (ii) the amount of all payments previously paid with respect to such Out of the Money Option. Any Out of the Money Option with an exercise price per Share equal to or greater than $4.10 was cancelled without any consideration payable therefore. F13 · derivative.exercise_date: This In the Money Option, which became fully vested on July 16, 2011, was cancelled in connection with the Merger in exchange for the right to receive (i) a cash payment, without interest and subject to deduction for any required withholding taxes, equal to (A) the excess, if any, of (x) the Closing Amount over (y) the exercise price payable per Share under such In the Money Option, multiplied by (B) the total number of Shares subject to such In the Money Option immediately prior to the Effective Time and (ii) a CVR with respect to the total number of Shares subject to such In the Money Option immediately prior to the Effective Time. Read SEC document
December 11, 2017 Filed Dec 11, 2017 20:25 UTC	Ocera Therapeutics, Inc. OCRX · Entity 171193	Disposition to issuerStock Option (Right to Buy) · Derivative	30,827	Not disclosed Strike: $0.67	Not disclosed	Disclosure SEC source: 0000899243-17-028424 · doc4.xml · derivative · entry 9 Grais Linda S · CIK 0001413306 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 30,827 shares Expires 2022-06-13 F4 · price: Pursuant to the terms of the Merger Agreement, each option to purchase a share of the Issuer's common stock outstanding and unexercised immediately prior to the Effective Time, whether or not vested and which had a per-share exercise price of less than the $1.52 (each, an "In the Money Option") was canceled and converted into the right of the holder of such In the Money Company Stock Option to receive, for each Share underlying such In the Money Company Stock Option, (i) an amount in cash, without interest and subject to deduction for any required withholding taxes, equal to the excess, if any, of $1.52 over the applicable exercise price for such Share, plus (ii) one CVR. F5 · price: (Continued from Footnote 4) All other options (each, an "Out of the Money Option") that were outstanding and unexercised and whether or not vested, were canceled and converted into the right to receive one or more cash payments, if any, at each Milestone Payment Date (as defined in the CVR Agreement) equal to (i) the amount by which the Per Share Value Paid (as defined in the Merger Agreement) exceeds the exercise price payable per Share subject to such Out of the Money Option, less (ii) the amount of all payments previously paid with respect to such Out of the Money Option. Any Out of the Money Option with an exercise price per Share equal to or greater than $4.10 was cancelled without any consideration payable therefore. F12 · price: This In the Money Option, which became fully vested on July 15, 2013, was cancelled in connection with the Merger in exchange for the right to receive (i) a cash payment, without interest and subject to deduction for any required withholding taxes, equal to (A) the excess, if any, of (x) the Closing Amount over (y) the exercise price payable per Share under such In the Money Option, multiplied by (B) the total number of Shares subject to such In the Money Option immediately prior to the Effective Time and (ii) a CVR with respect to the total number of Shares subject to such In the Money Option immediately prior to the Effective Time. F4 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, each option to purchase a share of the Issuer's common stock outstanding and unexercised immediately prior to the Effective Time, whether or not vested and which had a per-share exercise price of less than the $1.52 (each, an "In the Money Option") was canceled and converted into the right of the holder of such In the Money Company Stock Option to receive, for each Share underlying such In the Money Company Stock Option, (i) an amount in cash, without interest and subject to deduction for any required withholding taxes, equal to the excess, if any, of $1.52 over the applicable exercise price for such Share, plus (ii) one CVR. F5 · derivative.exercise_date: (Continued from Footnote 4) All other options (each, an "Out of the Money Option") that were outstanding and unexercised and whether or not vested, were canceled and converted into the right to receive one or more cash payments, if any, at each Milestone Payment Date (as defined in the CVR Agreement) equal to (i) the amount by which the Per Share Value Paid (as defined in the Merger Agreement) exceeds the exercise price payable per Share subject to such Out of the Money Option, less (ii) the amount of all payments previously paid with respect to such Out of the Money Option. Any Out of the Money Option with an exercise price per Share equal to or greater than $4.10 was cancelled without any consideration payable therefore. F12 · derivative.exercise_date: This In the Money Option, which became fully vested on July 15, 2013, was cancelled in connection with the Merger in exchange for the right to receive (i) a cash payment, without interest and subject to deduction for any required withholding taxes, equal to (A) the excess, if any, of (x) the Closing Amount over (y) the exercise price payable per Share under such In the Money Option, multiplied by (B) the total number of Shares subject to such In the Money Option immediately prior to the Effective Time and (ii) a CVR with respect to the total number of Shares subject to such In the Money Option immediately prior to the Effective Time. Read SEC document
December 11, 2017 Filed Dec 11, 2017 20:25 UTC	Ocera Therapeutics, Inc. OCRX · Entity 171193	Disposition to issuerStock Option (Right to Buy) · Derivative	30,826	Not disclosed Strike: $0.67	Not disclosed	Disclosure SEC source: 0000899243-17-028424 · doc4.xml · derivative · entry 8 Grais Linda S · CIK 0001413306 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 30,826 shares Expires 2022-06-13 F4 · price: Pursuant to the terms of the Merger Agreement, each option to purchase a share of the Issuer's common stock outstanding and unexercised immediately prior to the Effective Time, whether or not vested and which had a per-share exercise price of less than the $1.52 (each, an "In the Money Option") was canceled and converted into the right of the holder of such In the Money Company Stock Option to receive, for each Share underlying such In the Money Company Stock Option, (i) an amount in cash, without interest and subject to deduction for any required withholding taxes, equal to the excess, if any, of $1.52 over the applicable exercise price for such Share, plus (ii) one CVR. F5 · price: (Continued from Footnote 4) All other options (each, an "Out of the Money Option") that were outstanding and unexercised and whether or not vested, were canceled and converted into the right to receive one or more cash payments, if any, at each Milestone Payment Date (as defined in the CVR Agreement) equal to (i) the amount by which the Per Share Value Paid (as defined in the Merger Agreement) exceeds the exercise price payable per Share subject to such Out of the Money Option, less (ii) the amount of all payments previously paid with respect to such Out of the Money Option. Any Out of the Money Option with an exercise price per Share equal to or greater than $4.10 was cancelled without any consideration payable therefore. F11 · price: This In the Money Option, which became fully vested on August 7, 2013, was cancelled in connection with the Merger in exchange for the right to receive (i) a cash payment, without interest and subject to deduction for any required withholding taxes, equal to (A) the excess, if any, of (x) the Closing Amount over (y) the exercise price payable per Share under such In the Money Option, multiplied by (B) the total number of Shares subject to such In the Money Option immediately prior to the Effective Time and (ii) a CVR with respect to the total number of Shares subject to such In the Money Option immediately prior to the Effective Time. F4 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, each option to purchase a share of the Issuer's common stock outstanding and unexercised immediately prior to the Effective Time, whether or not vested and which had a per-share exercise price of less than the $1.52 (each, an "In the Money Option") was canceled and converted into the right of the holder of such In the Money Company Stock Option to receive, for each Share underlying such In the Money Company Stock Option, (i) an amount in cash, without interest and subject to deduction for any required withholding taxes, equal to the excess, if any, of $1.52 over the applicable exercise price for such Share, plus (ii) one CVR. F5 · derivative.exercise_date: (Continued from Footnote 4) All other options (each, an "Out of the Money Option") that were outstanding and unexercised and whether or not vested, were canceled and converted into the right to receive one or more cash payments, if any, at each Milestone Payment Date (as defined in the CVR Agreement) equal to (i) the amount by which the Per Share Value Paid (as defined in the Merger Agreement) exceeds the exercise price payable per Share subject to such Out of the Money Option, less (ii) the amount of all payments previously paid with respect to such Out of the Money Option. Any Out of the Money Option with an exercise price per Share equal to or greater than $4.10 was cancelled without any consideration payable therefore. F11 · derivative.exercise_date: This In the Money Option, which became fully vested on August 7, 2013, was cancelled in connection with the Merger in exchange for the right to receive (i) a cash payment, without interest and subject to deduction for any required withholding taxes, equal to (A) the excess, if any, of (x) the Closing Amount over (y) the exercise price payable per Share under such In the Money Option, multiplied by (B) the total number of Shares subject to such In the Money Option immediately prior to the Effective Time and (ii) a CVR with respect to the total number of Shares subject to such In the Money Option immediately prior to the Effective Time. Read SEC document
December 11, 2017 Filed Dec 11, 2017 20:25 UTC	Ocera Therapeutics, Inc. OCRX · Entity 171193	Disposition to issuerStock Option (Right to Buy) · Derivative	37,500	Not disclosed Strike: $7.84	Not disclosed	Disclosure SEC source: 0000899243-17-028424 · doc4.xml · derivative · entry 7 Grais Linda S · CIK 0001413306 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 37,500 shares Expires 2024-06-11 F4 · price: Pursuant to the terms of the Merger Agreement, each option to purchase a share of the Issuer's common stock outstanding and unexercised immediately prior to the Effective Time, whether or not vested and which had a per-share exercise price of less than the $1.52 (each, an "In the Money Option") was canceled and converted into the right of the holder of such In the Money Company Stock Option to receive, for each Share underlying such In the Money Company Stock Option, (i) an amount in cash, without interest and subject to deduction for any required withholding taxes, equal to the excess, if any, of $1.52 over the applicable exercise price for such Share, plus (ii) one CVR. F5 · price: (Continued from Footnote 4) All other options (each, an "Out of the Money Option") that were outstanding and unexercised and whether or not vested, were canceled and converted into the right to receive one or more cash payments, if any, at each Milestone Payment Date (as defined in the CVR Agreement) equal to (i) the amount by which the Per Share Value Paid (as defined in the Merger Agreement) exceeds the exercise price payable per Share subject to such Out of the Money Option, less (ii) the amount of all payments previously paid with respect to such Out of the Money Option. Any Out of the Money Option with an exercise price per Share equal to or greater than $4.10 was cancelled without any consideration payable therefore. F10 · price: This Out of the Money Option, which provided for vesting with respect to 25% of such options on June 11, 2016, with the remaining 75% of such options vesting in equal monthly installments over the next succeeding three year period, was cancelled in connection with the Merger for no consideration. F4 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, each option to purchase a share of the Issuer's common stock outstanding and unexercised immediately prior to the Effective Time, whether or not vested and which had a per-share exercise price of less than the $1.52 (each, an "In the Money Option") was canceled and converted into the right of the holder of such In the Money Company Stock Option to receive, for each Share underlying such In the Money Company Stock Option, (i) an amount in cash, without interest and subject to deduction for any required withholding taxes, equal to the excess, if any, of $1.52 over the applicable exercise price for such Share, plus (ii) one CVR. F5 · derivative.exercise_date: (Continued from Footnote 4) All other options (each, an "Out of the Money Option") that were outstanding and unexercised and whether or not vested, were canceled and converted into the right to receive one or more cash payments, if any, at each Milestone Payment Date (as defined in the CVR Agreement) equal to (i) the amount by which the Per Share Value Paid (as defined in the Merger Agreement) exceeds the exercise price payable per Share subject to such Out of the Money Option, less (ii) the amount of all payments previously paid with respect to such Out of the Money Option. Any Out of the Money Option with an exercise price per Share equal to or greater than $4.10 was cancelled without any consideration payable therefore. F10 · derivative.exercise_date: This Out of the Money Option, which provided for vesting with respect to 25% of such options on June 11, 2016, with the remaining 75% of such options vesting in equal monthly installments over the next succeeding three year period, was cancelled in connection with the Merger for no consideration. Read SEC document
December 11, 2017 Filed Dec 11, 2017 20:25 UTC	Ocera Therapeutics, Inc. OCRX · Entity 171193	Disposition to issuerStock Option (Right to Buy) · Derivative	491,550	Not disclosed Strike: $7.38	Not disclosed	Disclosure SEC source: 0000899243-17-028424 · doc4.xml · derivative · entry 6 Grais Linda S · CIK 0001413306 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 491,550 shares Expires 2023-08-13 F4 · price: Pursuant to the terms of the Merger Agreement, each option to purchase a share of the Issuer's common stock outstanding and unexercised immediately prior to the Effective Time, whether or not vested and which had a per-share exercise price of less than the $1.52 (each, an "In the Money Option") was canceled and converted into the right of the holder of such In the Money Company Stock Option to receive, for each Share underlying such In the Money Company Stock Option, (i) an amount in cash, without interest and subject to deduction for any required withholding taxes, equal to the excess, if any, of $1.52 over the applicable exercise price for such Share, plus (ii) one CVR. F5 · price: (Continued from Footnote 4) All other options (each, an "Out of the Money Option") that were outstanding and unexercised and whether or not vested, were canceled and converted into the right to receive one or more cash payments, if any, at each Milestone Payment Date (as defined in the CVR Agreement) equal to (i) the amount by which the Per Share Value Paid (as defined in the Merger Agreement) exceeds the exercise price payable per Share subject to such Out of the Money Option, less (ii) the amount of all payments previously paid with respect to such Out of the Money Option. Any Out of the Money Option with an exercise price per Share equal to or greater than $4.10 was cancelled without any consideration payable therefore. F9 · price: This Out of the Money Option, which provided for vesting with respect to 25% of such options on August 13, 2015, with the remaining 75% of such options vesting in equal monthly installments over the next succeeding three year period, was cancelled in connection with the Merger for no consideration F4 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, each option to purchase a share of the Issuer's common stock outstanding and unexercised immediately prior to the Effective Time, whether or not vested and which had a per-share exercise price of less than the $1.52 (each, an "In the Money Option") was canceled and converted into the right of the holder of such In the Money Company Stock Option to receive, for each Share underlying such In the Money Company Stock Option, (i) an amount in cash, without interest and subject to deduction for any required withholding taxes, equal to the excess, if any, of $1.52 over the applicable exercise price for such Share, plus (ii) one CVR. F5 · derivative.exercise_date: (Continued from Footnote 4) All other options (each, an "Out of the Money Option") that were outstanding and unexercised and whether or not vested, were canceled and converted into the right to receive one or more cash payments, if any, at each Milestone Payment Date (as defined in the CVR Agreement) equal to (i) the amount by which the Per Share Value Paid (as defined in the Merger Agreement) exceeds the exercise price payable per Share subject to such Out of the Money Option, less (ii) the amount of all payments previously paid with respect to such Out of the Money Option. Any Out of the Money Option with an exercise price per Share equal to or greater than $4.10 was cancelled without any consideration payable therefore. F9 · derivative.exercise_date: This Out of the Money Option, which provided for vesting with respect to 25% of such options on August 13, 2015, with the remaining 75% of such options vesting in equal monthly installments over the next succeeding three year period, was cancelled in connection with the Merger for no consideration Read SEC document
December 11, 2017 Filed Dec 11, 2017 20:25 UTC	Ocera Therapeutics, Inc. OCRX · Entity 171193	Disposition to issuerStock Option (Right to Buy) · Derivative	160,000	Not disclosed Strike: $3.76	Not disclosed	Disclosure SEC source: 0000899243-17-028424 · doc4.xml · derivative · entry 5 Grais Linda S · CIK 0001413306 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 160,000 shares Expires 2025-06-17 F4 · price: Pursuant to the terms of the Merger Agreement, each option to purchase a share of the Issuer's common stock outstanding and unexercised immediately prior to the Effective Time, whether or not vested and which had a per-share exercise price of less than the $1.52 (each, an "In the Money Option") was canceled and converted into the right of the holder of such In the Money Company Stock Option to receive, for each Share underlying such In the Money Company Stock Option, (i) an amount in cash, without interest and subject to deduction for any required withholding taxes, equal to the excess, if any, of $1.52 over the applicable exercise price for such Share, plus (ii) one CVR. F5 · price: (Continued from Footnote 4) All other options (each, an "Out of the Money Option") that were outstanding and unexercised and whether or not vested, were canceled and converted into the right to receive one or more cash payments, if any, at each Milestone Payment Date (as defined in the CVR Agreement) equal to (i) the amount by which the Per Share Value Paid (as defined in the Merger Agreement) exceeds the exercise price payable per Share subject to such Out of the Money Option, less (ii) the amount of all payments previously paid with respect to such Out of the Money Option. Any Out of the Money Option with an exercise price per Share equal to or greater than $4.10 was cancelled without any consideration payable therefore. F8 · price: This Out of the Money Option, which provided for vesting with respect to 25% of such options on June 18, 2017, with the remaining 75% of such options vesting in equal monthly installments over the next succeeding three year period, was cancelled in connection with the Merger in exchange for the right to receive one or more cash payments, without interest and subject to deduction for any required withholding taxes, equal to (i) the amount by which the Per Share Value Paid (as defined in the Merger Agreement) exceeds $2.98, less (ii) the amount of all payments previously paid with respect to such Out of the Money Option. F4 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, each option to purchase a share of the Issuer's common stock outstanding and unexercised immediately prior to the Effective Time, whether or not vested and which had a per-share exercise price of less than the $1.52 (each, an "In the Money Option") was canceled and converted into the right of the holder of such In the Money Company Stock Option to receive, for each Share underlying such In the Money Company Stock Option, (i) an amount in cash, without interest and subject to deduction for any required withholding taxes, equal to the excess, if any, of $1.52 over the applicable exercise price for such Share, plus (ii) one CVR. F5 · derivative.exercise_date: (Continued from Footnote 4) All other options (each, an "Out of the Money Option") that were outstanding and unexercised and whether or not vested, were canceled and converted into the right to receive one or more cash payments, if any, at each Milestone Payment Date (as defined in the CVR Agreement) equal to (i) the amount by which the Per Share Value Paid (as defined in the Merger Agreement) exceeds the exercise price payable per Share subject to such Out of the Money Option, less (ii) the amount of all payments previously paid with respect to such Out of the Money Option. Any Out of the Money Option with an exercise price per Share equal to or greater than $4.10 was cancelled without any consideration payable therefore. F8 · derivative.exercise_date: This Out of the Money Option, which provided for vesting with respect to 25% of such options on June 18, 2017, with the remaining 75% of such options vesting in equal monthly installments over the next succeeding three year period, was cancelled in connection with the Merger in exchange for the right to receive one or more cash payments, without interest and subject to deduction for any required withholding taxes, equal to (i) the amount by which the Per Share Value Paid (as defined in the Merger Agreement) exceeds $2.98, less (ii) the amount of all payments previously paid with respect to such Out of the Money Option. Read SEC document
December 11, 2017 Filed Dec 11, 2017 20:25 UTC	Ocera Therapeutics, Inc. OCRX · Entity 171193	Disposition to issuerStock Option (Right to Buy) · Derivative	348,600	Not disclosed Strike: $2.98	Not disclosed	Disclosure SEC source: 0000899243-17-028424 · doc4.xml · derivative · entry 4 Grais Linda S · CIK 0001413306 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 348,600 shares Expires 2026-01-05 F4 · price: Pursuant to the terms of the Merger Agreement, each option to purchase a share of the Issuer's common stock outstanding and unexercised immediately prior to the Effective Time, whether or not vested and which had a per-share exercise price of less than the $1.52 (each, an "In the Money Option") was canceled and converted into the right of the holder of such In the Money Company Stock Option to receive, for each Share underlying such In the Money Company Stock Option, (i) an amount in cash, without interest and subject to deduction for any required withholding taxes, equal to the excess, if any, of $1.52 over the applicable exercise price for such Share, plus (ii) one CVR. F5 · price: (Continued from Footnote 4) All other options (each, an "Out of the Money Option") that were outstanding and unexercised and whether or not vested, were canceled and converted into the right to receive one or more cash payments, if any, at each Milestone Payment Date (as defined in the CVR Agreement) equal to (i) the amount by which the Per Share Value Paid (as defined in the Merger Agreement) exceeds the exercise price payable per Share subject to such Out of the Money Option, less (ii) the amount of all payments previously paid with respect to such Out of the Money Option. Any Out of the Money Option with an exercise price per Share equal to or greater than $4.10 was cancelled without any consideration payable therefore. F7 · price: This Out of the Money Option, which provided for vesting in 48 equal monthly installments beginning on February 6, 2016, was cancelled in connection with the Merger in exchange for the right to receive one or more cash payments, without interest and subject to deduction for any required withholding taxes, equal to (i) the amount by which the Per Share Value Paid (as defined in the Merger Agreement) exceeds $2.98, less (ii) the amount of all payments previously paid with respect to such Out of the Money Option. F4 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, each option to purchase a share of the Issuer's common stock outstanding and unexercised immediately prior to the Effective Time, whether or not vested and which had a per-share exercise price of less than the $1.52 (each, an "In the Money Option") was canceled and converted into the right of the holder of such In the Money Company Stock Option to receive, for each Share underlying such In the Money Company Stock Option, (i) an amount in cash, without interest and subject to deduction for any required withholding taxes, equal to the excess, if any, of $1.52 over the applicable exercise price for such Share, plus (ii) one CVR. F5 · derivative.exercise_date: (Continued from Footnote 4) All other options (each, an "Out of the Money Option") that were outstanding and unexercised and whether or not vested, were canceled and converted into the right to receive one or more cash payments, if any, at each Milestone Payment Date (as defined in the CVR Agreement) equal to (i) the amount by which the Per Share Value Paid (as defined in the Merger Agreement) exceeds the exercise price payable per Share subject to such Out of the Money Option, less (ii) the amount of all payments previously paid with respect to such Out of the Money Option. Any Out of the Money Option with an exercise price per Share equal to or greater than $4.10 was cancelled without any consideration payable therefore. F7 · derivative.exercise_date: This Out of the Money Option, which provided for vesting in 48 equal monthly installments beginning on February 6, 2016, was cancelled in connection with the Merger in exchange for the right to receive one or more cash payments, without interest and subject to deduction for any required withholding taxes, equal to (i) the amount by which the Per Share Value Paid (as defined in the Merger Agreement) exceeds $2.98, less (ii) the amount of all payments previously paid with respect to such Out of the Money Option. Read SEC document
December 11, 2017 Filed Dec 11, 2017 20:25 UTC	Ocera Therapeutics, Inc. OCRX · Entity 171193	Disposition to issuerStock Option (Right to Buy) · Derivative	289,200	Not disclosed Strike: $2.15	Not disclosed	Disclosure SEC source: 0000899243-17-028424 · doc4.xml · derivative · entry 3 Grais Linda S · CIK 0001413306 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 289,200 shares Expires 2026-12-14 F4 · price: Pursuant to the terms of the Merger Agreement, each option to purchase a share of the Issuer's common stock outstanding and unexercised immediately prior to the Effective Time, whether or not vested and which had a per-share exercise price of less than the $1.52 (each, an "In the Money Option") was canceled and converted into the right of the holder of such In the Money Company Stock Option to receive, for each Share underlying such In the Money Company Stock Option, (i) an amount in cash, without interest and subject to deduction for any required withholding taxes, equal to the excess, if any, of $1.52 over the applicable exercise price for such Share, plus (ii) one CVR. F5 · price: (Continued from Footnote 4) All other options (each, an "Out of the Money Option") that were outstanding and unexercised and whether or not vested, were canceled and converted into the right to receive one or more cash payments, if any, at each Milestone Payment Date (as defined in the CVR Agreement) equal to (i) the amount by which the Per Share Value Paid (as defined in the Merger Agreement) exceeds the exercise price payable per Share subject to such Out of the Money Option, less (ii) the amount of all payments previously paid with respect to such Out of the Money Option. Any Out of the Money Option with an exercise price per Share equal to or greater than $4.10 was cancelled without any consideration payable therefore. F6 · price: This Out of the Money Option, which provided for vesting in 48 equal monthly installments beginning on January 15, 2017, was cancelled in connection with the Merger in exchange for the right to receive one or more cash payments, without interest and subject to deduction for any required withholding taxes, equal to (i) the amount by which the Per Share Value Paid (as defined in the Merger Agreement) exceeds $2.15, less (ii) the amount of all payments previously paid with respect to such Out of the Money Option. F4 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, each option to purchase a share of the Issuer's common stock outstanding and unexercised immediately prior to the Effective Time, whether or not vested and which had a per-share exercise price of less than the $1.52 (each, an "In the Money Option") was canceled and converted into the right of the holder of such In the Money Company Stock Option to receive, for each Share underlying such In the Money Company Stock Option, (i) an amount in cash, without interest and subject to deduction for any required withholding taxes, equal to the excess, if any, of $1.52 over the applicable exercise price for such Share, plus (ii) one CVR. F5 · derivative.exercise_date: (Continued from Footnote 4) All other options (each, an "Out of the Money Option") that were outstanding and unexercised and whether or not vested, were canceled and converted into the right to receive one or more cash payments, if any, at each Milestone Payment Date (as defined in the CVR Agreement) equal to (i) the amount by which the Per Share Value Paid (as defined in the Merger Agreement) exceeds the exercise price payable per Share subject to such Out of the Money Option, less (ii) the amount of all payments previously paid with respect to such Out of the Money Option. Any Out of the Money Option with an exercise price per Share equal to or greater than $4.10 was cancelled without any consideration payable therefore. F6 · derivative.exercise_date: This Out of the Money Option, which provided for vesting in 48 equal monthly installments beginning on January 15, 2017, was cancelled in connection with the Merger in exchange for the right to receive one or more cash payments, without interest and subject to deduction for any required withholding taxes, equal to (i) the amount by which the Per Share Value Paid (as defined in the Merger Agreement) exceeds $2.15, less (ii) the amount of all payments previously paid with respect to such Out of the Money Option. Read SEC document
December 11, 2017 Filed Dec 11, 2017 20:25 UTC	Ocera Therapeutics, Inc. OCRX · Entity 171193	Disposition to issuerCommon Stock	70,000	$1.52	$106,400.00	Disclosure SEC source: 0000899243-17-028424 · doc4.xml · nonDerivative · entry 2 Grais Linda S · CIK 0001413306 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · price: Pursuant to an Agreement and Plan of Merger, dated November 1, 2017 (the "Merger Agreement"), by and between Ocera Therapeutics, Inc., a Delaware corporation (the "Issuer"), MAK LLC, a Delaware limited liability company ("Parent"), MEH Acquisition Co., a Delaware corporation and a direct wholly-owned subsidiary of Parent ("Purchaser"), and for limited purposes, Mallinckrodt plc, an Irish public limited company and the ultimate parent entity of Parent and Purchaser ("Mallinckrodt"), Purchaser was merged with and into Issuer on December 11, 2017, with the Issuer surviving as a wholly-owned subsidiary of Parent (the "Merger"). F2 · price: (Continued from Footnote 1) Pursuant to the terms of the Merger Agreement, all shares of common stock, $0.00001 par value per share (the "Shares"), of the Issuer outstanding immediately prior to the effective time of the Merger (the "Effective Time") , were canceled and converted automatically and without any required action on the part of the Reporting Person into the right to receive (i) $1.52 per Share in cash, without interest, plus (ii) one non-transferable contingent value right per Share (each, a "CVR"), which represents the contractual right under a contingent value rights agreement, by and among Parent, Continental Stock Transfer & Trust Company, and for limited purposes, Mallinckrodt (the "CVR Agreement"), entered into on December 7, 2017 to receive one or more payments in cash currently estimated to be up to $2.58 per Share, contingent upon the achievement of certain milestones, in each case, less any required withholding taxes. Read SEC document
December 11, 2017 Filed Dec 11, 2017 20:25 UTC	Ocera Therapeutics, Inc. OCRX · Entity 171193	Disposition to issuerCommon Stock	230,000	$1.52	$349,600.00	Disclosure SEC source: 0000899243-17-028424 · doc4.xml · nonDerivative · entry 1 Grais Linda S · CIK 0001413306 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · price: Pursuant to an Agreement and Plan of Merger, dated November 1, 2017 (the "Merger Agreement"), by and between Ocera Therapeutics, Inc., a Delaware corporation (the "Issuer"), MAK LLC, a Delaware limited liability company ("Parent"), MEH Acquisition Co., a Delaware corporation and a direct wholly-owned subsidiary of Parent ("Purchaser"), and for limited purposes, Mallinckrodt plc, an Irish public limited company and the ultimate parent entity of Parent and Purchaser ("Mallinckrodt"), Purchaser was merged with and into Issuer on December 11, 2017, with the Issuer surviving as a wholly-owned subsidiary of Parent (the "Merger"). F2 · price: (Continued from Footnote 1) Pursuant to the terms of the Merger Agreement, all shares of common stock, $0.00001 par value per share (the "Shares"), of the Issuer outstanding immediately prior to the effective time of the Merger (the "Effective Time") , were canceled and converted automatically and without any required action on the part of the Reporting Person into the right to receive (i) $1.52 per Share in cash, without interest, plus (ii) one non-transferable contingent value right per Share (each, a "CVR"), which represents the contractual right under a contingent value rights agreement, by and among Parent, Continental Stock Transfer & Trust Company, and for limited purposes, Mallinckrodt (the "CVR Agreement"), entered into on December 7, 2017 to receive one or more payments in cash currently estimated to be up to $2.58 per Share, contingent upon the achievement of certain milestones, in each case, less any required withholding taxes. F3 · price: At the Effective Time of the Merger, each restricted stock unit outstanding, automatically and without any required action on the part of the Reporting Person, became fully vested and canceled in exchange for a right to receive, for each share of common stock underlying the restricted stock unit, (i) an amount in cash, equal to $1.52, without interest plus (ii) one CVR, less any required withholding taxes. Read SEC document
July 12, 2017 Filed Jul 14, 2017 20:05 UTC	PRA Health Sciences, Inc. PRAH · Entity 15912	GrantCommon Stock	1,318	$0.00	$0.00	Disclosure SEC source: 0001104659-17-045045 · a4.xml · nonDerivative · entry 1 Grais Linda S · CIK 0001413306 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,366 F1 · kind: Represents a grant of restricted stock which will vest fifty percent on each of the first two anniversaries of the grant date, subject to continued service on such dates. Read SEC document
March 29, 2017 Filed Mar 30, 2017 21:15 UTC	Ocera Therapeutics, Inc. OCRX · Entity 171193	GrantCommon Stock	230,000	$0.00	$0.00	Disclosure SEC source: 0001274644-17-000021 · wf-form4_149090853361731.xml · nonDerivative · entry 1 Grais Linda S · CIK 0001413306 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 300,000 F1 · shares: These shares represent Restricted Stock Units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock. 50% of the RSUs shall vest on December 31, 2017, if the recipient is employed by or providing services to the Issuer on such date, and the remaining 50% of the RSUs shall vest on December 31, 2018, if the recipient is employed by or providing services to the Issuer on such date. Read SEC document
February 16, 2017 Filed Feb 21, 2017 22:24 UTC	Oruka Therapeutics, Inc. ABIO · Entity 3781	GrantStock Option (right to buy) · Derivative	8,000	$0.00 Strike: $2.50	$0.00	Disclosure SEC source: 0001209191-17-012803 · doc4.xml · derivative · entry 1 Grais Linda S · CIK 0001413306 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,000 Underlying: Common Stock · 8,000 shares Expires 2027-02-15 F1 · derivative.exercise_date: Grant to the Reporting Person of a stock option under the 2013 Amended and Restated Equity Incentive Plan, vesting in 12 equal monthly installments beginning as of January 1, 2017. If the Reporting Person's service as a director of the Issuer terminates in connection with or at any time following a change in control (for whatever reason), then any unexpired options that remain unvested shall become fully vested. Read SEC document
December 15, 2016 Filed Dec 16, 2016 21:40 UTC	Ocera Therapeutics, Inc. OCRX · Entity 171193	GrantStock Option (Right to Buy) · Derivative	289,200	$0.00 Strike: $2.15	$0.00	Disclosure SEC source: 0001274644-16-000163 · wf-form4_148192440453402.xml · derivative · entry 1 Grais Linda S · CIK 0001413306 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 289,200 Underlying: Common Stock · 289,200 shares Expires 2026-12-14 F1 · security: Option to purchase Common Stock granted by the Issuer pursuant to the Issuer's Fourth Amended and Restated 2011 Stock Option and Incentive Plan (the "Plan"), qualified under Rule 16b-3(d). F2 · derivative.exercise_date: The option shall vest and become exercisable in 48 equal monthly installments beginning on January 15, 2017, subject to the Reporting Person's continued service to the Issuer through each such 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.