Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| AGENUS INCAGEN · Entity 5774 | Director | October 01, 2026 | October 02, 2026 |
| Acurx Pharmaceuticals, Inc.ACXP · Entity 8195 | Director | April 20, 2026 | April 22, 2026 |
| Advanced Flower Capital Inc.AFCG · Entity 6926 | Director | November 20, 2025 | November 24, 2025 |
| Fifth Street Asset Management Inc.FSAM · Entity 171240 | Director | December 08, 2017 | December 11, 2017 |
| Zynerba Pharmaceuticals, Inc.ZYNE · Entity 109058 | Director | June 06, 2018 | June 07, 2018 |
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.
AGENUS INC
Report date October 01, 2026 · Filed October 02, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 51,988 |
Reported balance
After 2026-10-01 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2026-10-01 · Grant · Acquired 4,443 · Balance 51,988 F1: Acquired under the Agenus Inc. Board Compensation Election Policy pursuant to which a director may elect to receive their director fees in shares of Agenus' common stock. F2: 6.893 is the average of the closing price for the Company's common stock for all trading days during the calendar quarter immediately preceding the date such shares were issued. |
Filing footnotes · ownership attribution and instrument terms
F1: Acquired under the Agenus Inc. Board Compensation Election Policy pursuant to which a director may elect to receive their director fees in shares of Agenus' common stock.
F2: 6.893 is the average of the closing price for the Company's common stock for all trading days during the calendar quarter immediately preceding the date such shares were issued.
Acurx Pharmaceuticals, Inc.
Report date April 20, 2026 · Filed April 22, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $2.36 · Expires 2036-04-20 | Direct | 2,150 |
Reported balance
After 2026-04-20 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-04-20 · Grant · Acquired 2,150 · Balance 2,150 F1: This stock option award is related to service on the Issuer's board of directors granted pursuant to the Issuer's Director Compensation Policy. The shares subject to the options shall vest on April 20, 2027. |
Filing footnotes · ownership attribution and instrument terms
F1: This stock option award is related to service on the Issuer's board of directors granted pursuant to the Issuer's Director Compensation Policy. The shares subject to the options shall vest on April 20, 2027.
Advanced Flower Capital Inc.
Report date November 20, 2025 · Filed November 24, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 24,539 |
Reported balance
After 2025-11-20 transaction · row 1
1 source rowRow 1 · 2025-11-20 · Grant · Acquired 5,474 · Balance 24,539 F1: Represents restricted stock granted under the Issuer's Stock Incentive Plan that is fully-vested as of November 20, 2025. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents restricted stock granted under the Issuer's Stock Incentive Plan that is fully-vested as of November 20, 2025.
Fifth Street Asset Management Inc.
Report date December 08, 2017 · Filed December 11, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common Stock, $0.01 par value per shareSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2017-12-08 transaction · row 1
1 source rowRow 1 · 2017-12-08 · Sale · Disposed 6,000 · Balance 0 |
Zynerba Pharmaceuticals, Inc.
Report date June 06, 2018 · Filed June 07, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $11.30 · Expires 2028-06-06 | Direct | 15,000 |
Reported balance
After 2018-06-06 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2018-06-06 · Grant · Acquired 15,000 · Balance 15,000 F1: The option vests upon the earlier of (i) June 6, 2019, or (ii) the day before the 2019 annual meeting of stockholders of Zynerba Pharmaceuticals, Inc. |
Filing footnotes · ownership attribution and instrument terms
F1: The option vests upon the earlier of (i) June 6, 2019, or (ii) the day before the 2019 annual meeting of stockholders of Zynerba Pharmaceuticals, Inc.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
PLx Pharma Inc.
Report date January 17, 2017 · Filed April 20, 2017
Section 16 reporting ended · disclosed 2017-04-20. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $1.80 · Expires 2027-01-17 | Direct | 20,000 |
Reported balance
After 2017-01-17 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2017-01-17 · Grant · Acquired 20,000 · Balance 20,000 F1: Options to purchase shares of common stock vest as follows: options to purchase 10,000 shares of common stock vested on January 17, 2017; options to purchase 416 shares of common stock vest monthly in each of the 23 months after the date of grant and options to purchase 432 shares of common stock will vest on the 24th month anniversary of the date of grant. |
Filing footnotes · ownership attribution and instrument terms
F1: Options to purchase shares of common stock vest as follows: options to purchase 10,000 shares of common stock vested on January 17, 2017; options to purchase 416 shares of common stock vest monthly in each of the 23 months after the date of grant and options to purchase 432 shares of common stock will vest on the 24th month anniversary of the date of grant.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| October 01, 2026 Filed Oct 2, 2026 23:21 UTC | AGENUS INC AGEN · Entity 5774 | GrantCommon Stock | 4,443 | $6.89 | $30,625.60 |
DisclosureSEC source: 0001193125-26-412039 · ownership.xml · nonDerivative · entry 1 HARRISON THOMAS L · CIK 0001247340 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 51,988 F1 · security: Acquired under the Agenus Inc. Board Compensation Election Policy pursuant to which a director may elect to receive their director fees in shares of Agenus' common stock. F2 · price: 6.893 is the average of the closing price for the Company's common stock for all trading days during the calendar quarter immediately preceding the date such shares were issued. Read SEC document |
| August 05, 2026 Filed Aug 11, 2026 20:08 UTC | AGENUS INC AGEN · Entity 5774 | GrantStock Option · Derivative | 50,000 | $0.00 Strike: $7.78 | $0.00 |
DisclosureSEC source: 0001193125-26-344617 · ownership.xml · derivative · entry 1 HARRISON THOMAS L · CIK 0001247340 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Stock · 50,000 shares Expires 2036-08-05 F1 · derivative.exercise_date: Option awarded in accordance with the Agenus Inc. 2019 Amended and Restated Equity Incentive Plan, and vest over three (3) years, with one-third (1/3) vesting on the first anniversary of the Grant Date and the remaining two-thirds (2/3) vesting in two equal annual installments thereafter. Read SEC document |
| July 01, 2026 Filed Jul 7, 2026 14:45 UTC | AGENUS INC AGEN · Entity 5774 | GrantCommon Stock | 8,547 | $3.58 | $30,623.90 |
DisclosureSEC source: 0001193125-26-297094 · ownership.xml · nonDerivative · entry 1 HARRISON THOMAS L · CIK 0001247340 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 47,545 F1 · security: Acquired under the Agenus Inc. Board Compensation Election Policy pursuant to which a director may elect to receive their director fees in shares of Agenus' common stock. F2 · price: $3.583 is the average of the closing price for the Company's common stock for all trading days during the calendar quarter immediately preceding the date such shares were issued. Read SEC document |
| April 24, 2026 Filed Apr 28, 2026 20:15 UTC | AGENUS INC AGEN · Entity 5774 | GrantStock Option · Derivative | 122,500 | $0.00 Strike: $3.90 | $0.00 |
DisclosureSEC source: 0001193125-26-187082 · ownership.xml · derivative · entry 1 HARRISON THOMAS L · CIK 0001247340 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 122,500 Underlying: Common Stock · 122,500 shares Expires 2036-04-24 F1 · derivative.exercise_date: Option awarded in accordance with the Agenus Inc. 2019 Amended and Restated Equity Incentive Plan, and vests on the one-year anniversary of the grant date. Read SEC document |
| April 20, 2026 Filed Apr 22, 2026 20:19 UTC | Acurx Pharmaceuticals, Inc. ACXP · Entity 8195 | GrantStock Option · Derivative | 2,150 | $0.00 Strike: $2.36 | $0.00 |
DisclosureSEC source: 0001104659-26-046840 · tm2612397-5_4seq1.xml · derivative · entry 1 HARRISON THOMAS L · CIK 0001247340 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,150 Underlying: Common Stock · 2,150 shares Expires 2036-04-20 F1 · shares: This stock option award is related to service on the Issuer's board of directors granted pursuant to the Issuer's Director Compensation Policy. The shares subject to the options shall vest on April 20, 2027. Read SEC document |
| April 01, 2026 Filed Apr 13, 2026 20:15 UTC | AGENUS INC AGEN · Entity 5774 | GrantCommon Stock | 9,228 | $3.32 | $30,627.73 |
DisclosureSEC source: 0001193125-26-152886 · ownership.xml · nonDerivative · entry 1 HARRISON THOMAS L · CIK 0001247340 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 38,998 F1 · security: Acquired under the Agenus Inc. Board Compensation Election Policy pursuant to which a director may elect to receive their director fees in shares of Agenus' common stock. F2 · price: $3.319 is the average of the closing price for the Company's common stock for all trading days during the calendar quarter immediately preceding the date such shares were issued. Read SEC document |
| January 02, 2026 Filed Jan 5, 2026 21:05 UTC | AGENUS INC AGEN · Entity 5774 | GrantCommon Stock | 7,691 | $3.98 | $30,625.56 |
DisclosureSEC source: 0001193125-26-002395 · ownership.xml · nonDerivative · entry 1 HARRISON THOMAS L · CIK 0001247340 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 29,770 F1 · security: Acquired under the Agenus Inc. Board Compensation Election Policy pursuant to which a director may elect to receive their director fees in shares of Ageuns' common stock. F2 · price: $3.982 is the average of the closing price for the Company's common stock for all trading days during the calendar quarter immediately preceding the date such shares were issued. Read SEC document |
| November 20, 2025 Filed Nov 24, 2025 22:07 UTC | Advanced Flower Capital Inc. AFCG · Entity 6926 | GrantCommon Stock | 5,474 | $2.74 | $14,998.76 |
DisclosureSEC source: 0001247340-25-000006 · wk-form4_1764021531.xml · nonDerivative · entry 1 HARRISON THOMAS L · CIK 0001247340 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 24,539 F1 · shares: Represents restricted stock granted under the Issuer's Stock Incentive Plan that is fully-vested as of November 20, 2025. Read SEC document |
| October 01, 2025 Filed Oct 3, 2025 20:05 UTC | AGENUS INC AGEN · Entity 5774 | GrantCommon Stock | 5,780 | $5.01 | $28,957.80 |
DisclosureSEC source: 0001193125-25-230100 · ownership.xml · nonDerivative · entry 1 HARRISON THOMAS L · CIK 0001247340 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 22,079 F1 · security: Acquired under the Agenus Inc. Board Compensation Election Policy pursuant to which a director may elect to receive their director fees in shares of Ageuns' common stock. F2 · price: $5.01 is the average of the closing price for the Company's common stock for all trading days during the calendar quarter immediately preceding the date such shares were issued. Read SEC document |
| July 01, 2025 Filed Jul 15, 2025 20:05 UTC | AGENUS INC AGEN · Entity 5774 | GrantCommon Stock | 7,401 | $3.46 | $25,622.26 |
DisclosureSEC source: 0000950170-25-095865 · ownership.xml · nonDerivative · entry 1 HARRISON THOMAS L · CIK 0001247340 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 16,299 F1 · security: Acquired under the Agenus Inc. Board Compensation Election Policy pursuant to which a director may elect to receive their director fees in shares of Ageuns' common stock. F2 · price: $3.462 is the average of the closing price for the Company's common stock for all trading days during the calendar quarter immediately preceding the date such shares were issued. Read SEC document |
| June 17, 2025 Filed Jul 15, 2025 20:05 UTC | AGENUS INC AGEN · Entity 5774 | GrantStock Option · Derivative | 17,500 | $0.00 Strike: $3.02 | $0.00 |
DisclosureSEC source: 0000950170-25-095865 · ownership.xml · derivative · entry 2 HARRISON THOMAS L · CIK 0001247340 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 30,000 Underlying: Common Stock · 17,500 shares Expires 2035-05-28 F3 · derivative.exercise_date: Options were granted on May 28, 2025 subject to shareholder approval, which was obtained at the Company's annual shareholder meeting on June 17, 2025. Option awarded in accordance with the Agenus Inc. 2019 Amended and Restated Equity Incentive Plan, and vests on the one-year anniversary of the grant date. Read SEC document |
| April 01, 2025 Filed Apr 3, 2025 20:05 UTC | AGENUS INC AGEN · Entity 5774 | GrantCommon Stock | 8,898 | $2.88 | $25,626.24 |
DisclosureSEC source: 0000950170-25-050373 · ownership.xml · nonDerivative · entry 1 HARRISON THOMAS L · CIK 0001247340 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 8,898 F1 · security: Acquired under the Agenus Inc. Board Compensation Election Policy pursuant to which a director may elect to receive their director fees in shares of Ageuns' common stock. F2 · price: $2.88 is the average of the closing price for the Company's common stock for all trading days during the calendar quarter immediately preceding the date such shares were issued. Read SEC document |
| February 25, 2025 Filed Feb 27, 2025 21:25 UTC | Advanced Flower Capital Inc. AFCG · Entity 6926 | GrantCommon Stock | 1,792 | $8.37 | $14,999.04 |
DisclosureSEC source: 0001247340-25-000002 · wk-form4_1740691491.xml · nonDerivative · entry 1 HARRISON THOMAS L · CIK 0001247340 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 19,065 F1 · shares: Represents restricted stock granted under the Issuer's Stock Incentive Plan and shall vest on the one-year anniversary of January 2, 2025, subject to early termination and adjustment as provided in the applicable restricted stock grant agreement. Read SEC document |
| August 07, 2024 Filed Aug 8, 2024 20:45 UTC | AGENUS INC AGEN · Entity 5774 | GrantStock Option · Derivative | 7,500 | $0.00 Strike: $5.08 | $0.00 |
DisclosureSEC source: 0000950170-24-094126 · ownership.xml · derivative · entry 1 HARRISON THOMAS L · CIK 0001247340 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 7,500 Underlying: Common Stock · 7,500 shares Expires 2034-08-07 F1 · derivative.exercise_date: The Stock Options were awarded in accordance with the Agenus Inc. 2019 Amended and Restated Equity Incentive Plan on August 7, 2024 and will vest in three equal annual installments on each of August 7, 2025, 2026 and 2027 (provided Mr. Harrison maintains a service relationship with the company through each such vesting date). Read SEC document |
| June 17, 2024 Filed Jun 18, 2024 20:12 UTC | Acurx Pharmaceuticals, Inc. ACXP · Entity 8195 | GrantStock Option · Derivative | 12,000 | $0.00 Strike: $2.38 | $0.00 |
DisclosureSEC source: 0001104659-24-072810 · tm2417510-3_4seq1.xml · derivative · entry 1 HARRISON THOMAS L · CIK 0001247340 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 12,000 Underlying: Common Stock · 12,000 shares Expires 2034-06-17 F1 · derivative.exercise_date: This stock option award is related to service on the Issuer's board of directors granted pursuant to the Issuer's Director Compensation Policy. The shares subject to the options shall vest on June 17, 2025. Read SEC document |
| January 24, 2024 Filed Jan 25, 2024 22:22 UTC | Advanced Flower Capital Inc. AFCG · Entity 6926 | GrantCommon Stock | 1,282 | $11.70 | $14,999.40 |
DisclosureSEC source: 0001822523-24-000004 · wk-form4_1706221315.xml · nonDerivative · entry 1 HARRISON THOMAS L · CIK 0001247340 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 17,273 F1 · shares: Represents restricted stock granted under the Issuer's Stock Incentive Plan and shall vest on the one-year anniversary of January 2, 2024, subject to early termination and adjustment as provided in the applicable restricted stock grant agreement. Read SEC document |
| June 15, 2023 Filed Jun 16, 2023 21:46 UTC | Acurx Pharmaceuticals, Inc. ACXP · Entity 8195 | GrantStock Option · Derivative | 10,000 | $0.00 Strike: $2.75 | $0.00 |
DisclosureSEC source: 0001104659-23-072371 · tm2319012-4_4seq1.xml · derivative · entry 1 HARRISON THOMAS L · CIK 0001247340 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 10,000 Underlying: Common Stock · 10,000 shares Expires 2033-06-15 F1 · derivative.exercise_date: This stock option award is related to service on the Issuer's board of directors granted pursuant to the Issuer's Director Compensation Policy. The shares subject to the options shall vest on June 15, 2024. Read SEC document |
| January 03, 2023 Filed Jan 5, 2023 23:00 UTC | Advanced Flower Capital Inc. AFCG · Entity 6926 | GrantCommon Stock | 963 | $15.57 | $14,993.91 |
DisclosureSEC source: 0001209191-23-002038 · doc4.xml · nonDerivative · entry 1 HARRISON THOMAS L · CIK 0001247340 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,991 F1 · shares: Represents restricted stock granted under the Issuer's Stock Incentive Plan and shall vest on the one-year anniversary of January 3, 2023, subject to early termination and adjustment as provided in the applicable restricted stock grant agreement. Read SEC document |
| January 11, 2022 Filed Jan 13, 2022 23:00 UTC | Advanced Flower Capital Inc. AFCG · Entity 6926 | GrantStock Option (right to buy) · Derivative | 5,000 | $0.00 Strike: $20.18 | $0.00 |
DisclosureSEC source: 0001140361-22-001641 · form4.xml · derivative · entry 1 HARRISON THOMAS L · CIK 0001247340 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,000 Underlying: Common Stock · 5,000 shares Expires 2029-01-10 F1 · derivative.exercise_date: The Stock Option will vest and become exercisable upon the one-year anniversary of the grant date, subject to early termination and adjustment as provided in the applicable stock option agreement. Read SEC document |
| July 01, 2021 Filed Jul 6, 2021 20:13 UTC | Acurx Pharmaceuticals, Inc. ACXP · Entity 8195 | GrantStock Option · Derivative | 50,000 | $0.00 Strike: $6.18 | $0.00 |
DisclosureSEC source: 0001104659-21-089410 · tm2121302d3_4seq1.xml · derivative · entry 1 HARRISON THOMAS L · CIK 0001247340 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Stock · 50,000 shares Expires 2031-06-30 F1 · derivative.exercise_date: This stock option award is related to service on the Issuer's board of directors granted pursuant to the Issuer's Director Compensation Policy. 1/36th of the shares granted shall become vested and exercisable as of each monthly anniversary from July 1, 2021, such that all shares subject to this stock option shall be fully vested and exercisable by July 1, 2024. Read SEC document |
| March 23, 2021 Filed Mar 26, 2021 01:38 UTC | Advanced Flower Capital Inc. AFCG · Entity 6926 | GrantStock Option (right to buy) · Derivative | 700 | $0.00 Strike: $19.00 | $0.00 |
DisclosureSEC source: 0001140361-21-010095 · form4.xml · derivative · entry 2 HARRISON THOMAS L · CIK 0001247340 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 700 Underlying: Common Stock · 700 shares Expires 2028-03-23 F2 · derivative.exercise_date: The shares subject to this option fully vested and became exercisable upon the consummation of the Issuer's initial public offering. Read SEC document |
| March 23, 2021 Filed Mar 26, 2021 01:38 UTC | Advanced Flower Capital Inc. AFCG · Entity 6926 | PurchaseCommon Stock | 5,000 | $19.00 | $95,000.00 |
DisclosureSEC source: 0001140361-21-010095 · form4.xml · nonDerivative · entry 1 HARRISON THOMAS L · CIK 0001247340 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,028 F1 · shares: The shares were purchased in the Issuer's directed share program at the initial public offering price. Read SEC document |
| June 06, 2018 Filed Jun 7, 2018 20:31 UTC | Zynerba Pharmaceuticals, Inc. ZYNE · Entity 109058 | GrantStock Option (right to buy) · Derivative | 15,000 | $0.00 Strike: $11.30 | $0.00 |
DisclosureSEC source: 0001192482-18-000275 · edgar.xml · derivative · entry 1 HARRISON THOMAS L · CIK 0001247340 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2028-06-06 F1 · derivative.exercise_date: The option vests upon the earlier of (i) June 6, 2019, or (ii) the day before the 2019 annual meeting of stockholders of Zynerba Pharmaceuticals, Inc. Read SEC document |
| December 08, 2017 Filed Dec 11, 2017 21:32 UTC | Fifth Street Asset Management Inc. FSAM · Entity 171240 | SaleClass A Common Stock, $0.01 par value per share | 6,000 | $4.05 | $24,300.00 |
DisclosureSEC source: 0001209191-17-065004 · doc4.xml · nonDerivative · entry 1 HARRISON THOMAS L · CIK 0001247340 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Read SEC document |
| November 30, 2017 Filed Dec 4, 2017 21:42 UTC | Fifth Street Asset Management Inc. FSAM · Entity 171240 | Exercise / conversionOption (right to buy) · Derivative | 20,000 | $0.00 Strike: $3.28 | $0.00 |
DisclosureSEC source: 0001209191-17-063578 · doc4.xml · derivative · entry 3 HARRISON THOMAS L · CIK 0001247340 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 20,000 shares Expires 2021-03-14 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| November 30, 2017 Filed Dec 4, 2017 21:42 UTC | Fifth Street Asset Management Inc. FSAM · Entity 171240 | SaleClass A Common Stock, $0.01 par value per share | 20,000 | $4.07 | $81,378.00 |
DisclosureSEC source: 0001209191-17-063578 · doc4.xml · nonDerivative · entry 2 HARRISON THOMAS L · CIK 0001247340 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · price: This transaction was executed in multiple trades at prices ranging from $4.05 to $4.15; the price reported reflects the weighted average price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer. Read SEC document |
| November 30, 2017 Filed Dec 4, 2017 21:42 UTC | Fifth Street Asset Management Inc. FSAM · Entity 171240 | Exercise / conversionClass A Common Stock, $0.01 par value per share | 20,000 | $3.28 | $65,600.00 |
DisclosureSEC source: 0001209191-17-063578 · doc4.xml · nonDerivative · entry 1 HARRISON THOMAS L · CIK 0001247340 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| November 30, 2017 Filed Dec 11, 2017 21:31 UTC Amendment | Fifth Street Asset Management Inc. FSAM · Entity 171240 | Exercise / conversionOption (right to buy) · Derivative | 20,000 | $0.00 Strike: $3.28 | $0.00 |
DisclosureSEC source: 0001209191-17-065002 · doc4a.xml · derivative · entry 3 HARRISON THOMAS L · CIK 0001247340 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 20,000 shares Expires 2021-03-14 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| November 30, 2017 Filed Dec 11, 2017 21:31 UTC Amendment | Fifth Street Asset Management Inc. FSAM · Entity 171240 | SaleClass A Common Stock, $0.01 par value per share | 20,000 | $4.07 | $81,378.00 |
DisclosureSEC source: 0001209191-17-065002 · doc4a.xml · nonDerivative · entry 2 HARRISON THOMAS L · CIK 0001247340 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,000 F1 · price: This transaction was executed in multiple trades at prices ranging from $4.05 to $4.15; the price reported reflects the weighted average price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer. Read SEC document |
| November 30, 2017 Filed Dec 11, 2017 21:31 UTC Amendment | Fifth Street Asset Management Inc. FSAM · Entity 171240 | Exercise / conversionClass A Common Stock, $0.01 par value per share | 20,000 | $3.28 | $65,600.00 |
DisclosureSEC source: 0001209191-17-065002 · doc4a.xml · nonDerivative · entry 1 HARRISON THOMAS L · CIK 0001247340 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,000 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| October 02, 2017 Filed Oct 3, 2017 20:06 UTC | Zynerba Pharmaceuticals, Inc. ZYNE · Entity 109058 | GrantStock Option (right to buy) · Derivative | 2,057 | $5.47 Strike: $8.69 | $11,251.79 |
DisclosureSEC source: 0001123292-17-001494 · edgar.xml · derivative · entry 1 HARRISON THOMAS L · CIK 0001247340 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,057 Underlying: Common Stock · 2,057 shares Expires 2027-10-02 F1 · price: This option was issued to the reporting person pursuant to the Zynerba Pharmaceuticals, Inc. Non-Employee Director Compensation Policy in lieu of cash retainer of $11,250. Read SEC document |
| July 03, 2017 Filed Jul 6, 2017 20:00 UTC | Zynerba Pharmaceuticals, Inc. ZYNE · Entity 109058 | GrantStock Option (right to buy) · Derivative | 1,058 | $10.63 Strike: $16.90 | $11,246.54 |
DisclosureSEC source: 0001123292-17-001202 · edgar.xml · derivative · entry 1 HARRISON THOMAS L · CIK 0001247340 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,058 Underlying: Common Stock · 1,058 shares Expires 2027-07-03 F1 · price: This option was issued to the reporting person pursuant to the Zynerba Pharmaceuticals, Inc. Non-Employee Director Compensation Policy in lieu of cash retainer of $11,250. Read SEC document |
| June 07, 2017 Filed Jun 9, 2017 21:12 UTC | Zynerba Pharmaceuticals, Inc. ZYNE · Entity 109058 | GrantStock Option (right to buy) · Derivative | 15,000 | $0.00 Strike: $18.77 | $0.00 |
DisclosureSEC source: 0001123292-17-001121 · edgar.xml · derivative · entry 1 HARRISON THOMAS L · CIK 0001247340 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2027-06-07 F1 · derivative.exercise_date: The option vests on the earlier of (i) June 7, 2018 and (ii) the day before the 2018 annual meeting of stockholders of Zynerba Pharmaceuticals, Inc. Read SEC document |
| May 04, 2017 Filed May 9, 2017 01:32 UTC | Fifth Street Asset Management Inc. FSAM · Entity 171240 | GrantOption (right to buy) · Derivative | 5,000 | $0.00 Strike: $4.60 | $0.00 |
DisclosureSEC source: 0001144204-17-025395 · v466456_form4.xml · derivative · entry 1 HARRISON THOMAS L · CIK 0001247340 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,000 Underlying: Class A Common Stock · 5,000 shares Expires 2022-05-04 F1 · derivative.exercise_date: The option shall vest on the earlier to occur of the one-year anniversary of the grant date and the date that is immediately prior to the first annual meeting of the Company' stockholders occurring after the grant date. The date of grant of the option was May 4, 2017. Read SEC document |
| April 03, 2017 Filed Apr 4, 2017 20:12 UTC | Zynerba Pharmaceuticals, Inc. ZYNE · Entity 109058 | GrantStock Option (right to buy) · Derivative | 880 | $12.77 Strike: $20.32 | $11,237.60 |
DisclosureSEC source: 0001123292-17-000801 · edgar.xml · derivative · entry 1 HARRISON THOMAS L · CIK 0001247340 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 880 Underlying: Common Stock · 880 shares Expires 2027-04-03 F1 · price: This option was issued to the reporting person pursuant to the Zynerba Pharmaceuticals, Inc. Non-Employee Director Compensation Policy in lieu of cash retainer of $11,250. Read SEC document |
| January 17, 2017 Filed Apr 20, 2017 06:24 UTC | PLx Pharma Inc. DPRX · Entity 129056 | GrantOptions · Derivative | 20,000 | $0.00 Strike: $1.80 | $0.00 |
DisclosureSEC source: 0001144204-17-021126 · v464466_4.xml · derivative · entry 1 HARRISON THOMAS L · CIK 0001247340 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2027-01-17 F1 · derivative.exercise_date: Options to purchase shares of common stock vest as follows: options to purchase 10,000 shares of common stock vested on January 17, 2017; options to purchase 416 shares of common stock vest monthly in each of the 23 months after the date of grant and options to purchase 432 shares of common stock will vest on the 24th month anniversary of the date of grant. 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.