Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ANAPTYSBIO, INCANAB · Entity 4640 | Director | June 15, 2026 | June 17, 2026 |
| BlossomHill Therapeutics, Inc.BLSM · Entity 5423 | Director | August 10, 2026 | August 10, 2026 |
| Design Therapeutics, Inc.DSGN · Entity 4991 | Director | June 09, 2026 | June 11, 2026 |
| First Tracks Biotherapeutics, Inc.TRAX · Entity 4696 | Director | June 15, 2026 | June 17, 2026 |
| Helix Acquisition Corp. IIIHLXC · Entity 6010 | Director | January 22, 2026 | January 23, 2026 |
| MoonLake ImmunotherapeuticsHLXA · Entity 4785 | Director | October 19, 2020 | October 20, 2020 |
| XERIS PHARMACEUTICALS INCXERS · Entity 134906 | Director | October 05, 2021 | October 05, 2021 |
| Xeris Biopharma Holdings, Inc.XERS · Entity 4670 | Director | August 12, 2024 | August 13, 2024 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
ANAPTYSBIO, INC
Report date June 15, 2026 · Filed June 17, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 37,652 |
Reported balance
After 2026-06-15 transaction · row 1
1 source rowRow 1 · 2026-06-15 · Exercise / conversion · Acquired 6,030 · Balance 37,652 F1: Each restricted stock award ("RSU") represents a contingent right to receive 1 share of the Issuer's Common Stock upon settlement for no consideration. |
| Restricted Stock UnitSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2026-06-15 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2026-06-15 · Exercise / conversion · Disposed 6,030 · Balance 0 F1: Each restricted stock award ("RSU") represents a contingent right to receive 1 share of the Issuer's Common Stock upon settlement for no consideration. F2: The RSUs vests as to 100% of the total RSUs on June 15, 2026, subject to the Reporting Person's provision of service to the Issuer on each vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: Each restricted stock award ("RSU") represents a contingent right to receive 1 share of the Issuer's Common Stock upon settlement for no consideration.
F2: The RSUs vests as to 100% of the total RSUs on June 15, 2026, subject to the Reporting Person's provision of service to the Issuer on each vesting date.
BlossomHill Therapeutics, Inc.
Report date August 10, 2026 · Filed August 10, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 6,000 |
Reported balance
After 2026-08-10 transaction · row 1
1 source rowRow 1 · 2026-08-10 · Purchase · Acquired 6,000 · Balance 6,000 |
Design Therapeutics, Inc.
Report date June 09, 2026 · Filed June 11, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $10.55 · Expires 2036-06-08 | Direct | 30,000 |
Reported balance
After 2026-06-09 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-06-09 · Grant · Acquired 30,000 · Balance 30,000 F1: The shares subject to the option vest in equal monthly installments over 12 months following June 9, 2026 provided that the shares subject to the option will in any case be fully vested on the date of the Company's next annual meeting of stockholders. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares subject to the option vest in equal monthly installments over 12 months following June 9, 2026 provided that the shares subject to the option will in any case be fully vested on the date of the Company's next annual meeting of stockholders.
First Tracks Biotherapeutics, Inc.
Report date June 15, 2026 · Filed June 17, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 37,652 |
Reported balance
After 2026-06-15 transaction · row 1
1 source rowRow 1 · 2026-06-15 · Exercise / conversion · Acquired 6,030 · Balance 37,652 F1: Each restricted stock award ("RSU") represents a contingent right to receive 1 share of the Issuer's Common Stock upon settlement for no consideration. |
| Restricted Stock UnitSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2026-06-15 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2026-06-15 · Exercise / conversion · Disposed 6,030 · Balance 0 F1: Each restricted stock award ("RSU") represents a contingent right to receive 1 share of the Issuer's Common Stock upon settlement for no consideration. F2: The RSUs vests as to 100% of the total RSUs on June 15, 2026, subject to the Reporting Person's provision of service to the Issuer on each vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: Each restricted stock award ("RSU") represents a contingent right to receive 1 share of the Issuer's Common Stock upon settlement for no consideration.
F2: The RSUs vests as to 100% of the total RSUs on June 15, 2026, subject to the Reporting Person's provision of service to the Issuer on each vesting date.
Helix Acquisition Corp. III
Report date January 22, 2026 · Filed January 23, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class B Ordinary SharesSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | Not disclosed |
Reported balance
Holding disclosure · report date 2026-01-22 · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · Balance Not disclosed F1: The reporting person owns 30,000 Class B ordinary shares which will automatically convert into Class A ordinary shares concurrently with or immediately following the consummation of the Issuer's initial business combination or earlier at the option of the holder on a one-for-one basis, subject to adjustment for share sub-divisions, share capitalizations, reorganizations, recapitalizations and the like, and certain anti-dilution rights as described under the heading "Description of Securities--Founder Shares and Private Placement Shares" in the Issuer's registration statement on Form S-1 (File No. 333-291933) and have no expiration date. |
Filing footnotes · ownership attribution and instrument terms
F1: The reporting person owns 30,000 Class B ordinary shares which will automatically convert into Class A ordinary shares concurrently with or immediately following the consummation of the Issuer's initial business combination or earlier at the option of the holder on a one-for-one basis, subject to adjustment for share sub-divisions, share capitalizations, reorganizations, recapitalizations and the like, and certain anti-dilution rights as described under the heading "Description of Securities--Founder Shares and Private Placement Shares" in the Issuer's registration statement on Form S-1 (File No. 333-291933) and have no expiration date.
MoonLake Immunotherapeutics
Report date October 19, 2020 · Filed October 20, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class B Ordinary SharesSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | Not disclosed |
Reported balance
Holding disclosure · report date 2020-10-19 · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · Balance Not disclosed F1: The reporting person owns 30,000 Class B ordinary shares which will automatically convert into Class A ordinary shares at the time of the registrant's initial business combination on a one-for-one basis (unless otherwise provided in our initial business combination agreement), subject to adjustment for share subdivisions, share consolidations, share capitalizations, reorganizations, recapitalizations and the like, and certain anti-dilution rights as described under the heading "Description of Shares--Founder Shares and Private Placement Shares" in the Issuer's registration statement on Form S-1 (File No. 333-249197) and have no expiration date. |
Filing footnotes · ownership attribution and instrument terms
F1: The reporting person owns 30,000 Class B ordinary shares which will automatically convert into Class A ordinary shares at the time of the registrant's initial business combination on a one-for-one basis (unless otherwise provided in our initial business combination agreement), subject to adjustment for share subdivisions, share consolidations, share capitalizations, reorganizations, recapitalizations and the like, and certain anti-dilution rights as described under the heading "Description of Shares--Founder Shares and Private Placement Shares" in the Issuer's registration statement on Form S-1 (File No. 333-249197) and have no expiration date.
XERIS PHARMACEUTICALS INC
Report date October 05, 2021 · Filed October 05, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2021-10-05 transaction · row 1
1 source rowRow 1 · 2021-10-05 · Disposition to issuer · Disposed 5,659 · Balance 0 F1: On October 5, 2021, pursuant to the transaction agreement dated as of May 24, 2021 ("Transaction Agreement") by and among the Issuer ("Xeris"), Strongbridge Biopharma plc ("Strongbridge"), Xeris Biopharma Holdings, Inc. ("HoldCo") and Wells MergerSub, Inc., a wholly owned subsidiary of HoldCo ("MergerSub"), HoldCo acquired the entire issued and to be issued ordinary share capital of Strongbridge (the "Acquisition"), and MergerSub merged with and into Xeris, with Xeris continuing as the surviving corporation and wholly owned subsidiary of HoldCo (the "Merger", and together with the Acquisition, the "Transaction"). At the effective time of the Merger (the "Effective Time"), all existing shares of Xeris common stock (the "Xeris common stock") were cancelled and automatically converted into the right to receive HoldCo common stock on a one-for-one basis. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $12.50 · Expires 2028-05-15 | Direct | 0 |
Reported balance
After 2021-10-05 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2021-10-05 · Disposition to issuer · Disposed 25,220 · Balance 0 F2: At the Effective Time, each option to purchase shares of Xeris common stock (the "Xeris Option") that was outstanding immediately prior to the Effective Time, whether vested or unvested, was automatically converted into an option to purchase shares of HoldCo common stock (the "HoldCo Option"), on the same terms and conditions including any applicable vesting and exercisability requirements) as were applicable to such Xeris Option immediately prior to the Effective Time, including that the number of shares of HoldCo common stock subject to the HoldCo Option is equal to the number of shares that were subject to the Xeris Option and the exercise price applicable to the HoldCo Option is the same as applied to the Xeris Option. F3: These options are fully vested as of the date hereof. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $10.00 · Expires 2029-02-27 | Direct | 0 |
Reported balance
After 2021-10-05 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2021-10-05 · Disposition to issuer · Disposed 20,000 · Balance 0 F2: At the Effective Time, each option to purchase shares of Xeris common stock (the "Xeris Option") that was outstanding immediately prior to the Effective Time, whether vested or unvested, was automatically converted into an option to purchase shares of HoldCo common stock (the "HoldCo Option"), on the same terms and conditions including any applicable vesting and exercisability requirements) as were applicable to such Xeris Option immediately prior to the Effective Time, including that the number of shares of HoldCo common stock subject to the HoldCo Option is equal to the number of shares that were subject to the Xeris Option and the exercise price applicable to the HoldCo Option is the same as applied to the Xeris Option. F3: These options are fully vested as of the date hereof. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $4.68 · Expires 2030-06-04 | Direct | 0 |
Reported balance
After 2021-10-05 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2021-10-05 · Disposition to issuer · Disposed 11,228 · Balance 0 F2: At the Effective Time, each option to purchase shares of Xeris common stock (the "Xeris Option") that was outstanding immediately prior to the Effective Time, whether vested or unvested, was automatically converted into an option to purchase shares of HoldCo common stock (the "HoldCo Option"), on the same terms and conditions including any applicable vesting and exercisability requirements) as were applicable to such Xeris Option immediately prior to the Effective Time, including that the number of shares of HoldCo common stock subject to the HoldCo Option is equal to the number of shares that were subject to the Xeris Option and the exercise price applicable to the HoldCo Option is the same as applied to the Xeris Option. F3: These options are fully vested as of the date hereof. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.90 · Expires 2031-06-08 | Direct | 0 |
Reported balance
After 2021-10-05 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2021-10-05 · Disposition to issuer · Disposed 11,228 · Balance 0 F2: At the Effective Time, each option to purchase shares of Xeris common stock (the "Xeris Option") that was outstanding immediately prior to the Effective Time, whether vested or unvested, was automatically converted into an option to purchase shares of HoldCo common stock (the "HoldCo Option"), on the same terms and conditions including any applicable vesting and exercisability requirements) as were applicable to such Xeris Option immediately prior to the Effective Time, including that the number of shares of HoldCo common stock subject to the HoldCo Option is equal to the number of shares that were subject to the Xeris Option and the exercise price applicable to the HoldCo Option is the same as applied to the Xeris Option. F4: Such options will vest in full upon the earlier to occur of June 8, 2022 or the date of the Company's next annual meeting of stockholders. |
Filing footnotes · ownership attribution and instrument terms
F1: On October 5, 2021, pursuant to the transaction agreement dated as of May 24, 2021 ("Transaction Agreement") by and among the Issuer ("Xeris"), Strongbridge Biopharma plc ("Strongbridge"), Xeris Biopharma Holdings, Inc. ("HoldCo") and Wells MergerSub, Inc., a wholly owned subsidiary of HoldCo ("MergerSub"), HoldCo acquired the entire issued and to be issued ordinary share capital of Strongbridge (the "Acquisition"), and MergerSub merged with and into Xeris, with Xeris continuing as the surviving corporation and wholly owned subsidiary of HoldCo (the "Merger", and together with the Acquisition, the "Transaction"). At the effective time of the Merger (the "Effective Time"), all existing shares of Xeris common stock (the "Xeris common stock") were cancelled and automatically converted into the right to receive HoldCo common stock on a one-for-one basis.
F2: At the Effective Time, each option to purchase shares of Xeris common stock (the "Xeris Option") that was outstanding immediately prior to the Effective Time, whether vested or unvested, was automatically converted into an option to purchase shares of HoldCo common stock (the "HoldCo Option"), on the same terms and conditions including any applicable vesting and exercisability requirements) as were applicable to such Xeris Option immediately prior to the Effective Time, including that the number of shares of HoldCo common stock subject to the HoldCo Option is equal to the number of shares that were subject to the Xeris Option and the exercise price applicable to the HoldCo Option is the same as applied to the Xeris Option.
F3: These options are fully vested as of the date hereof.
F4: Such options will vest in full upon the earlier to occur of June 8, 2022 or the date of the Company's next annual meeting of stockholders.
Xeris Biopharma Holdings, Inc.
Report date August 12, 2024 · Filed August 13, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy: The Schmid Family Trust dated August 15, 2017 | 25,200 |
Reported balance
After 2024-08-12 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2024-08-12 · Purchase · Acquired 4,515 · Balance 25,200 F1: The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. |
| Common StockSEC Table I · non-derivative | Direct | 113,159 |
Reported balance
Holding disclosure · report date 2024-08-12 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 113,159 |
Filing footnotes · ownership attribution and instrument terms
F1: The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.
Past disclosures · reporting ended (3)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
BridgeBio Oncology Therapeutics, Inc.
Report date August 11, 2025 · Filed August 11, 2025
Section 16 reporting ended · disclosed 2025-08-11. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 30,000 |
Reported balance
After 2025-08-11 transaction · row 1
1 source rowRow 1 · 2025-08-11 · Exercise / conversion · Acquired 30,000 · Balance 30,000 F1: In connection with and prior to the closing of the business combination between the Issuer (which was formerly known as Helix Acquisition Corp. II, "Helix") and TheRas, Inc., among other things, (i) each of Helix's Class B ordinary shares converted into one Helix Class A ordinary share, on a one-for-one basis, as described under the heading "Description of Securities" in Helix's Registration Statement on Form S-1 (File No. 333-276591), (ii) Helix migrated to and domesticated as a Delaware corporation in accordance with Section 388 of the Delaware General Corporation Law, as amended, and the Cayman Islands Companies Act (As Revised) (the "Domestication"), and (iii) as a result of the Domestication, each Class A ordinary share of Helix converted into one share of the Issuer's common stock, on a one-for-one basis. Prior to such conversion, the Helix Class B ordinary shares had no expiration date. |
| Class B ordinary sharesSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2025-08-11 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2025-08-11 · Exercise / conversion · Disposed 30,000 · Balance 0 F1: In connection with and prior to the closing of the business combination between the Issuer (which was formerly known as Helix Acquisition Corp. II, "Helix") and TheRas, Inc., among other things, (i) each of Helix's Class B ordinary shares converted into one Helix Class A ordinary share, on a one-for-one basis, as described under the heading "Description of Securities" in Helix's Registration Statement on Form S-1 (File No. 333-276591), (ii) Helix migrated to and domesticated as a Delaware corporation in accordance with Section 388 of the Delaware General Corporation Law, as amended, and the Cayman Islands Companies Act (As Revised) (the "Domestication"), and (iii) as a result of the Domestication, each Class A ordinary share of Helix converted into one share of the Issuer's common stock, on a one-for-one basis. Prior to such conversion, the Helix Class B ordinary shares had no expiration date. |
Filing footnotes · ownership attribution and instrument terms
F1: In connection with and prior to the closing of the business combination between the Issuer (which was formerly known as Helix Acquisition Corp. II, "Helix") and TheRas, Inc., among other things, (i) each of Helix's Class B ordinary shares converted into one Helix Class A ordinary share, on a one-for-one basis, as described under the heading "Description of Securities" in Helix's Registration Statement on Form S-1 (File No. 333-276591), (ii) Helix migrated to and domesticated as a Delaware corporation in accordance with Section 388 of the Delaware General Corporation Law, as amended, and the Cayman Islands Companies Act (As Revised) (the "Domestication"), and (iii) as a result of the Domestication, each Class A ordinary share of Helix converted into one share of the Issuer's common stock, on a one-for-one basis. Prior to such conversion, the Helix Class B ordinary shares had no expiration date.
Neos Therapeutics, Inc.
Report date March 19, 2021 · Filed March 19, 2021
Section 16 reporting ended · disclosed 2021-03-19. 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 2021-03-19 transaction · row 1
1 source rowRow 1 · 2021-03-19 · Disposition to issuer · Disposed 23,453 · Balance 0 F1: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement") dated as of December 10, 2020, by and among the Company, Aytu BioScience, Inc. ("Parent"), and Neutron Acquisition Sub, Inc., a wholly-owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Company (the "Merger") effective as of March 19, 2021 (the "Effective Time"). F2: At the Effective Time, each issued and outstanding share of common stock of the Issuer (each, a "Share") (excluding any Shares held in the treasury of the Company or owned, directly or indirectly, by Parent or Merger Sub immediately prior to the Effective Time) was cancelled and converted into the right to receive 0.1088 (the "Exchange Ratio") shares of Common Stock of Parent (the "Parent Common Stock"), plus the right, if any, to receive cash in lieu of fractional shares of Parent Common Stock into which such Shares would have been converted (as described in the Merger Agreement). F3: This number includes 23,453 restricted stock units (each, an "RSU") held by the Reporting Person. At the Effective Time, each RSU that was outstanding prior to the Effective Time immediately and automatically ceased to represent a right to acquire shares of Company Common Stock and was assumed by Parent and converted automatically into a restricted stock unit denominated in Parent Common Stock equal to the number of Shares subject to the RSU prior to the Effective Time multiplied by the Exchange Ratio, and any cash in lieu of fractional shares of Parent Common Stock. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $10.73 | Direct | 0 |
Reported balance
After 2021-03-19 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2021-03-19 · Disposition to issuer · Disposed 12,500 · Balance 0 F4: At the Effective Time, each option to purchase Shares of the Company that was outstanding immediately prior to the Effective Time that had an exercise price per share equal to or less than $0.95 (any such option, an "Assumed Company Option") ceased to represent a right to acquire Shares, was assumed by Parent and automatically converted into the option to purchase shares of Parent Common Stock equal to the number of Shares underlying each such Assumed Company Option multiplied by the Exchange Ratio. All outstanding stock options of the Company that were not Assumed Company Options were cancelled at the Effective Time without payment of any consideration. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $9.63 | Direct | 0 |
Reported balance
After 2021-03-19 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2021-03-19 · Disposition to issuer · Disposed 14,777 · Balance 0 F4: At the Effective Time, each option to purchase Shares of the Company that was outstanding immediately prior to the Effective Time that had an exercise price per share equal to or less than $0.95 (any such option, an "Assumed Company Option") ceased to represent a right to acquire Shares, was assumed by Parent and automatically converted into the option to purchase shares of Parent Common Stock equal to the number of Shares underlying each such Assumed Company Option multiplied by the Exchange Ratio. All outstanding stock options of the Company that were not Assumed Company Options were cancelled at the Effective Time without payment of any consideration. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $7.65 | Direct | 0 |
Reported balance
After 2021-03-19 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2021-03-19 · Disposition to issuer · Disposed 18,322 · Balance 0 F4: At the Effective Time, each option to purchase Shares of the Company that was outstanding immediately prior to the Effective Time that had an exercise price per share equal to or less than $0.95 (any such option, an "Assumed Company Option") ceased to represent a right to acquire Shares, was assumed by Parent and automatically converted into the option to purchase shares of Parent Common Stock equal to the number of Shares underlying each such Assumed Company Option multiplied by the Exchange Ratio. All outstanding stock options of the Company that were not Assumed Company Options were cancelled at the Effective Time without payment of any consideration. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $6.05 | Direct | 0 |
Reported balance
After 2021-03-19 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2021-03-19 · Disposition to issuer · Disposed 22,756 · Balance 0 F4: At the Effective Time, each option to purchase Shares of the Company that was outstanding immediately prior to the Effective Time that had an exercise price per share equal to or less than $0.95 (any such option, an "Assumed Company Option") ceased to represent a right to acquire Shares, was assumed by Parent and automatically converted into the option to purchase shares of Parent Common Stock equal to the number of Shares underlying each such Assumed Company Option multiplied by the Exchange Ratio. All outstanding stock options of the Company that were not Assumed Company Options were cancelled at the Effective Time without payment of any consideration. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.44 | Direct | 0 |
Reported balance
After 2021-03-19 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2021-03-19 · Disposition to issuer · Disposed 46,907 · Balance 0 F4: At the Effective Time, each option to purchase Shares of the Company that was outstanding immediately prior to the Effective Time that had an exercise price per share equal to or less than $0.95 (any such option, an "Assumed Company Option") ceased to represent a right to acquire Shares, was assumed by Parent and automatically converted into the option to purchase shares of Parent Common Stock equal to the number of Shares underlying each such Assumed Company Option multiplied by the Exchange Ratio. All outstanding stock options of the Company that were not Assumed Company Options were cancelled at the Effective Time without payment of any consideration. |
Filing footnotes · ownership attribution and instrument terms
F1: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement") dated as of December 10, 2020, by and among the Company, Aytu BioScience, Inc. ("Parent"), and Neutron Acquisition Sub, Inc., a wholly-owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Company (the "Merger") effective as of March 19, 2021 (the "Effective Time").
F2: At the Effective Time, each issued and outstanding share of common stock of the Issuer (each, a "Share") (excluding any Shares held in the treasury of the Company or owned, directly or indirectly, by Parent or Merger Sub immediately prior to the Effective Time) was cancelled and converted into the right to receive 0.1088 (the "Exchange Ratio") shares of Common Stock of Parent (the "Parent Common Stock"), plus the right, if any, to receive cash in lieu of fractional shares of Parent Common Stock into which such Shares would have been converted (as described in the Merger Agreement).
F3: This number includes 23,453 restricted stock units (each, an "RSU") held by the Reporting Person. At the Effective Time, each RSU that was outstanding prior to the Effective Time immediately and automatically ceased to represent a right to acquire shares of Company Common Stock and was assumed by Parent and converted automatically into a restricted stock unit denominated in Parent Common Stock equal to the number of Shares subject to the RSU prior to the Effective Time multiplied by the Exchange Ratio, and any cash in lieu of fractional shares of Parent Common Stock.
F4: At the Effective Time, each option to purchase Shares of the Company that was outstanding immediately prior to the Effective Time that had an exercise price per share equal to or less than $0.95 (any such option, an "Assumed Company Option") ceased to represent a right to acquire Shares, was assumed by Parent and automatically converted into the option to purchase shares of Parent Common Stock equal to the number of Shares underlying each such Assumed Company Option multiplied by the Exchange Ratio. All outstanding stock options of the Company that were not Assumed Company Options were cancelled at the Effective Time without payment of any consideration.
Poseida Therapeutics, Inc.
Report date January 08, 2025 · Filed January 08, 2025
Section 16 reporting ended · disclosed 2025-01-08. 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 2025-01-08 transaction · row 1
1 source rowRow 1 · 2025-01-08 · Other · Disposed 58,950 · Balance 0 F1: Disposed of pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of November 25, 2024, by and among Poseida Therapeutics, Inc. (the "Issuer"), Roche Holdings, Inc. ("Parent") and Blue Giant Acquisition Corp., a wholly owned subsidiary of Parent ("Merger Sub"). On January 8, 2025, Parent and Merger Sub completed a tender offer pursuant to the terms of the Merger Agreement for all outstanding shares of common stock of the Issuer (each, a "Share") for an offer price of (i) $9.00 per Share in cash (the "Cash Amount"), and (ii) one non-tradeable contingent value right (each, a "CVR") representing the right to receive certain contingent payments of up to an aggregate amount of $4.00 per Share, [continues to Footnote 2] F2: [continues from Footnote 1] in cash, upon the achievement of specified milestones, subject to and in accordance with the terms of the Contingent Value Rights Agreement (the "CVR Agreement"), in each case, without interest, and subject to any applicable withholding taxes (the Cash Amount plus one CVR, collectively, the "Offer Price"). Merger Sub thereafter merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Parent (the "Merger"). At the effective time of the Merger, each issued and outstanding Share (other than any Excluded Shares (as such term is defined in the Merger Agreement)) was cancelled in exchange for the right to receive the Offer Price. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $12.00 · Expires 2028-07-16 | Direct | 0 |
Reported balance
After 2025-01-08 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2025-01-08 · Disposition to issuer · Disposed 32,076 · Balance 0 F3: As of immediately prior to and conditioned upon the effective time of the effective time of the Merger, pursuant to the Merger Agreement, each outstanding option to purchase Shares (each, an "Option") became fully vested and exercisable, and to the extent not exercised prior to the effective time of the Merger, was cancelled and converted into the right to receive (a) an amount in cash (without interest and subject to deduction for any required withholding tax) equal to the product of (1) the excess, if any, of the Cash Amount over the exercise price per share of each such Option and (2) the number of Shares underlying such Option immediately prior to the effective time of the Merger and (b) one CVR in respect of each Share underlying such Option (the "Option Consideration"); provided, however, that if the exercise price per Share of any Option was equal to or greater than the Cash Amount, but less than $13.00 (any such option, an "Underwater Option"), [continues to Footnote 4] F4: [Continues from Footnote 3] such Underwater Option was not entitled to any payment of the Cash Amount in respect thereof and each Underwater Option was converted into the right to receive the CVR included in the Option Consideration with respect to each Share underlying such Underwater Option and became entitled to receive, at each time a milestone payment becomes due and payable under the terms of the CVR Agreement, an amount in cash equal to the product of (a) the total number of Shares underlying such Underwater Option, multiplied by (b) the amount, if any, by which (1) the Cash Amount plus the amount of such milestone payment plus the amount of any other milestone payments that previously became due and payable under the terms of the CVR Agreement exceeds (2) the exercise price per Share with respect to such Underwater Option plus the Milestone Payment Amounts (as such term is defined in the CVR Agreement), [continues to Footnote 5] F5: [Continues from Footnote 4] if any, previously paid pursuant to the CVR Agreement in respect of each CVR granted in respect of such Underwater Option; provided further, that any Option with an exercise price that was equal to or greater than $13.00, was cancelled immediately prior to the effective time of the Merger without any payment being made in respect thereof. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $11.74 · Expires 2029-06-19 | Direct | 0 |
Reported balance
After 2025-01-08 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2025-01-08 · Disposition to issuer · Disposed 16,038 · Balance 0 F3: As of immediately prior to and conditioned upon the effective time of the effective time of the Merger, pursuant to the Merger Agreement, each outstanding option to purchase Shares (each, an "Option") became fully vested and exercisable, and to the extent not exercised prior to the effective time of the Merger, was cancelled and converted into the right to receive (a) an amount in cash (without interest and subject to deduction for any required withholding tax) equal to the product of (1) the excess, if any, of the Cash Amount over the exercise price per share of each such Option and (2) the number of Shares underlying such Option immediately prior to the effective time of the Merger and (b) one CVR in respect of each Share underlying such Option (the "Option Consideration"); provided, however, that if the exercise price per Share of any Option was equal to or greater than the Cash Amount, but less than $13.00 (any such option, an "Underwater Option"), [continues to Footnote 4] F4: [Continues from Footnote 3] such Underwater Option was not entitled to any payment of the Cash Amount in respect thereof and each Underwater Option was converted into the right to receive the CVR included in the Option Consideration with respect to each Share underlying such Underwater Option and became entitled to receive, at each time a milestone payment becomes due and payable under the terms of the CVR Agreement, an amount in cash equal to the product of (a) the total number of Shares underlying such Underwater Option, multiplied by (b) the amount, if any, by which (1) the Cash Amount plus the amount of such milestone payment plus the amount of any other milestone payments that previously became due and payable under the terms of the CVR Agreement exceeds (2) the exercise price per Share with respect to such Underwater Option plus the Milestone Payment Amounts (as such term is defined in the CVR Agreement), [continues to Footnote 5] F5: [Continues from Footnote 4] if any, previously paid pursuant to the CVR Agreement in respect of each CVR granted in respect of such Underwater Option; provided further, that any Option with an exercise price that was equal to or greater than $13.00, was cancelled immediately prior to the effective time of the Merger without any payment being made in respect thereof. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $16.00 · Expires 2030-07-08 | Direct | 0 |
Reported balance
After 2025-01-08 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2025-01-08 · Disposition to issuer · Disposed 20,000 · Balance 0 F3: As of immediately prior to and conditioned upon the effective time of the effective time of the Merger, pursuant to the Merger Agreement, each outstanding option to purchase Shares (each, an "Option") became fully vested and exercisable, and to the extent not exercised prior to the effective time of the Merger, was cancelled and converted into the right to receive (a) an amount in cash (without interest and subject to deduction for any required withholding tax) equal to the product of (1) the excess, if any, of the Cash Amount over the exercise price per share of each such Option and (2) the number of Shares underlying such Option immediately prior to the effective time of the Merger and (b) one CVR in respect of each Share underlying such Option (the "Option Consideration"); provided, however, that if the exercise price per Share of any Option was equal to or greater than the Cash Amount, but less than $13.00 (any such option, an "Underwater Option"), [continues to Footnote 4] F4: [Continues from Footnote 3] such Underwater Option was not entitled to any payment of the Cash Amount in respect thereof and each Underwater Option was converted into the right to receive the CVR included in the Option Consideration with respect to each Share underlying such Underwater Option and became entitled to receive, at each time a milestone payment becomes due and payable under the terms of the CVR Agreement, an amount in cash equal to the product of (a) the total number of Shares underlying such Underwater Option, multiplied by (b) the amount, if any, by which (1) the Cash Amount plus the amount of such milestone payment plus the amount of any other milestone payments that previously became due and payable under the terms of the CVR Agreement exceeds (2) the exercise price per Share with respect to such Underwater Option plus the Milestone Payment Amounts (as such term is defined in the CVR Agreement), [continues to Footnote 5] F5: [Continues from Footnote 4] if any, previously paid pursuant to the CVR Agreement in respect of each CVR granted in respect of such Underwater Option; provided further, that any Option with an exercise price that was equal to or greater than $13.00, was cancelled immediately prior to the effective time of the Merger without any payment being made in respect thereof. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $8.98 · Expires 2031-06-15 | Direct | 0 |
Reported balance
After 2025-01-08 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2025-01-08 · Disposition to issuer · Disposed 20,000 · Balance 0 F3: As of immediately prior to and conditioned upon the effective time of the effective time of the Merger, pursuant to the Merger Agreement, each outstanding option to purchase Shares (each, an "Option") became fully vested and exercisable, and to the extent not exercised prior to the effective time of the Merger, was cancelled and converted into the right to receive (a) an amount in cash (without interest and subject to deduction for any required withholding tax) equal to the product of (1) the excess, if any, of the Cash Amount over the exercise price per share of each such Option and (2) the number of Shares underlying such Option immediately prior to the effective time of the Merger and (b) one CVR in respect of each Share underlying such Option (the "Option Consideration"); provided, however, that if the exercise price per Share of any Option was equal to or greater than the Cash Amount, but less than $13.00 (any such option, an "Underwater Option"), [continues to Footnote 4] F4: [Continues from Footnote 3] such Underwater Option was not entitled to any payment of the Cash Amount in respect thereof and each Underwater Option was converted into the right to receive the CVR included in the Option Consideration with respect to each Share underlying such Underwater Option and became entitled to receive, at each time a milestone payment becomes due and payable under the terms of the CVR Agreement, an amount in cash equal to the product of (a) the total number of Shares underlying such Underwater Option, multiplied by (b) the amount, if any, by which (1) the Cash Amount plus the amount of such milestone payment plus the amount of any other milestone payments that previously became due and payable under the terms of the CVR Agreement exceeds (2) the exercise price per Share with respect to such Underwater Option plus the Milestone Payment Amounts (as such term is defined in the CVR Agreement), [continues to Footnote 5] F5: [Continues from Footnote 4] if any, previously paid pursuant to the CVR Agreement in respect of each CVR granted in respect of such Underwater Option; provided further, that any Option with an exercise price that was equal to or greater than $13.00, was cancelled immediately prior to the effective time of the Merger without any payment being made in respect thereof. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $8.63 · Expires 2031-07-22 | Direct | 0 |
Reported balance
After 2025-01-08 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2025-01-08 · Disposition to issuer · Disposed 25,833 · Balance 0 F3: As of immediately prior to and conditioned upon the effective time of the effective time of the Merger, pursuant to the Merger Agreement, each outstanding option to purchase Shares (each, an "Option") became fully vested and exercisable, and to the extent not exercised prior to the effective time of the Merger, was cancelled and converted into the right to receive (a) an amount in cash (without interest and subject to deduction for any required withholding tax) equal to the product of (1) the excess, if any, of the Cash Amount over the exercise price per share of each such Option and (2) the number of Shares underlying such Option immediately prior to the effective time of the Merger and (b) one CVR in respect of each Share underlying such Option (the "Option Consideration"); provided, however, that if the exercise price per Share of any Option was equal to or greater than the Cash Amount, but less than $13.00 (any such option, an "Underwater Option"), [continues to Footnote 4] F4: [Continues from Footnote 3] such Underwater Option was not entitled to any payment of the Cash Amount in respect thereof and each Underwater Option was converted into the right to receive the CVR included in the Option Consideration with respect to each Share underlying such Underwater Option and became entitled to receive, at each time a milestone payment becomes due and payable under the terms of the CVR Agreement, an amount in cash equal to the product of (a) the total number of Shares underlying such Underwater Option, multiplied by (b) the amount, if any, by which (1) the Cash Amount plus the amount of such milestone payment plus the amount of any other milestone payments that previously became due and payable under the terms of the CVR Agreement exceeds (2) the exercise price per Share with respect to such Underwater Option plus the Milestone Payment Amounts (as such term is defined in the CVR Agreement), [continues to Footnote 5] F5: [Continues from Footnote 4] if any, previously paid pursuant to the CVR Agreement in respect of each CVR granted in respect of such Underwater Option; provided further, that any Option with an exercise price that was equal to or greater than $13.00, was cancelled immediately prior to the effective time of the Merger without any payment being made in respect thereof. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.01 · Expires 2032-06-15 | Direct | 0 |
Reported balance
After 2025-01-08 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2025-01-08 · Disposition to issuer · Disposed 28,500 · Balance 0 F3: As of immediately prior to and conditioned upon the effective time of the effective time of the Merger, pursuant to the Merger Agreement, each outstanding option to purchase Shares (each, an "Option") became fully vested and exercisable, and to the extent not exercised prior to the effective time of the Merger, was cancelled and converted into the right to receive (a) an amount in cash (without interest and subject to deduction for any required withholding tax) equal to the product of (1) the excess, if any, of the Cash Amount over the exercise price per share of each such Option and (2) the number of Shares underlying such Option immediately prior to the effective time of the Merger and (b) one CVR in respect of each Share underlying such Option (the "Option Consideration"); provided, however, that if the exercise price per Share of any Option was equal to or greater than the Cash Amount, but less than $13.00 (any such option, an "Underwater Option"), [continues to Footnote 4] F4: [Continues from Footnote 3] such Underwater Option was not entitled to any payment of the Cash Amount in respect thereof and each Underwater Option was converted into the right to receive the CVR included in the Option Consideration with respect to each Share underlying such Underwater Option and became entitled to receive, at each time a milestone payment becomes due and payable under the terms of the CVR Agreement, an amount in cash equal to the product of (a) the total number of Shares underlying such Underwater Option, multiplied by (b) the amount, if any, by which (1) the Cash Amount plus the amount of such milestone payment plus the amount of any other milestone payments that previously became due and payable under the terms of the CVR Agreement exceeds (2) the exercise price per Share with respect to such Underwater Option plus the Milestone Payment Amounts (as such term is defined in the CVR Agreement), [continues to Footnote 5] F5: [Continues from Footnote 4] if any, previously paid pursuant to the CVR Agreement in respect of each CVR granted in respect of such Underwater Option; provided further, that any Option with an exercise price that was equal to or greater than $13.00, was cancelled immediately prior to the effective time of the Merger without any payment being made in respect thereof. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.47 · Expires 2033-06-14 | Direct | 0 |
Reported balance
After 2025-01-08 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2025-01-08 · Disposition to issuer · Disposed 27,350 · Balance 0 F3: As of immediately prior to and conditioned upon the effective time of the effective time of the Merger, pursuant to the Merger Agreement, each outstanding option to purchase Shares (each, an "Option") became fully vested and exercisable, and to the extent not exercised prior to the effective time of the Merger, was cancelled and converted into the right to receive (a) an amount in cash (without interest and subject to deduction for any required withholding tax) equal to the product of (1) the excess, if any, of the Cash Amount over the exercise price per share of each such Option and (2) the number of Shares underlying such Option immediately prior to the effective time of the Merger and (b) one CVR in respect of each Share underlying such Option (the "Option Consideration"); provided, however, that if the exercise price per Share of any Option was equal to or greater than the Cash Amount, but less than $13.00 (any such option, an "Underwater Option"), [continues to Footnote 4] F4: [Continues from Footnote 3] such Underwater Option was not entitled to any payment of the Cash Amount in respect thereof and each Underwater Option was converted into the right to receive the CVR included in the Option Consideration with respect to each Share underlying such Underwater Option and became entitled to receive, at each time a milestone payment becomes due and payable under the terms of the CVR Agreement, an amount in cash equal to the product of (a) the total number of Shares underlying such Underwater Option, multiplied by (b) the amount, if any, by which (1) the Cash Amount plus the amount of such milestone payment plus the amount of any other milestone payments that previously became due and payable under the terms of the CVR Agreement exceeds (2) the exercise price per Share with respect to such Underwater Option plus the Milestone Payment Amounts (as such term is defined in the CVR Agreement), [continues to Footnote 5] F5: [Continues from Footnote 4] if any, previously paid pursuant to the CVR Agreement in respect of each CVR granted in respect of such Underwater Option; provided further, that any Option with an exercise price that was equal to or greater than $13.00, was cancelled immediately prior to the effective time of the Merger without any payment being made in respect thereof. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.81 · Expires 2034-06-16 | Direct | 0 |
Reported balance
After 2025-01-08 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2025-01-08 · Disposition to issuer · Disposed 27,350 · Balance 0 F3: As of immediately prior to and conditioned upon the effective time of the effective time of the Merger, pursuant to the Merger Agreement, each outstanding option to purchase Shares (each, an "Option") became fully vested and exercisable, and to the extent not exercised prior to the effective time of the Merger, was cancelled and converted into the right to receive (a) an amount in cash (without interest and subject to deduction for any required withholding tax) equal to the product of (1) the excess, if any, of the Cash Amount over the exercise price per share of each such Option and (2) the number of Shares underlying such Option immediately prior to the effective time of the Merger and (b) one CVR in respect of each Share underlying such Option (the "Option Consideration"); provided, however, that if the exercise price per Share of any Option was equal to or greater than the Cash Amount, but less than $13.00 (any such option, an "Underwater Option"), [continues to Footnote 4] F4: [Continues from Footnote 3] such Underwater Option was not entitled to any payment of the Cash Amount in respect thereof and each Underwater Option was converted into the right to receive the CVR included in the Option Consideration with respect to each Share underlying such Underwater Option and became entitled to receive, at each time a milestone payment becomes due and payable under the terms of the CVR Agreement, an amount in cash equal to the product of (a) the total number of Shares underlying such Underwater Option, multiplied by (b) the amount, if any, by which (1) the Cash Amount plus the amount of such milestone payment plus the amount of any other milestone payments that previously became due and payable under the terms of the CVR Agreement exceeds (2) the exercise price per Share with respect to such Underwater Option plus the Milestone Payment Amounts (as such term is defined in the CVR Agreement), [continues to Footnote 5] F5: [Continues from Footnote 4] if any, previously paid pursuant to the CVR Agreement in respect of each CVR granted in respect of such Underwater Option; provided further, that any Option with an exercise price that was equal to or greater than $13.00, was cancelled immediately prior to the effective time of the Merger without any payment being made in respect thereof. |
Filing footnotes · ownership attribution and instrument terms
F1: Disposed of pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of November 25, 2024, by and among Poseida Therapeutics, Inc. (the "Issuer"), Roche Holdings, Inc. ("Parent") and Blue Giant Acquisition Corp., a wholly owned subsidiary of Parent ("Merger Sub"). On January 8, 2025, Parent and Merger Sub completed a tender offer pursuant to the terms of the Merger Agreement for all outstanding shares of common stock of the Issuer (each, a "Share") for an offer price of (i) $9.00 per Share in cash (the "Cash Amount"), and (ii) one non-tradeable contingent value right (each, a "CVR") representing the right to receive certain contingent payments of up to an aggregate amount of $4.00 per Share, [continues to Footnote 2]
F2: [continues from Footnote 1] in cash, upon the achievement of specified milestones, subject to and in accordance with the terms of the Contingent Value Rights Agreement (the "CVR Agreement"), in each case, without interest, and subject to any applicable withholding taxes (the Cash Amount plus one CVR, collectively, the "Offer Price"). Merger Sub thereafter merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Parent (the "Merger"). At the effective time of the Merger, each issued and outstanding Share (other than any Excluded Shares (as such term is defined in the Merger Agreement)) was cancelled in exchange for the right to receive the Offer Price.
F3: As of immediately prior to and conditioned upon the effective time of the effective time of the Merger, pursuant to the Merger Agreement, each outstanding option to purchase Shares (each, an "Option") became fully vested and exercisable, and to the extent not exercised prior to the effective time of the Merger, was cancelled and converted into the right to receive (a) an amount in cash (without interest and subject to deduction for any required withholding tax) equal to the product of (1) the excess, if any, of the Cash Amount over the exercise price per share of each such Option and (2) the number of Shares underlying such Option immediately prior to the effective time of the Merger and (b) one CVR in respect of each Share underlying such Option (the "Option Consideration"); provided, however, that if the exercise price per Share of any Option was equal to or greater than the Cash Amount, but less than $13.00 (any such option, an "Underwater Option"), [continues to Footnote 4]
F4: [Continues from Footnote 3] such Underwater Option was not entitled to any payment of the Cash Amount in respect thereof and each Underwater Option was converted into the right to receive the CVR included in the Option Consideration with respect to each Share underlying such Underwater Option and became entitled to receive, at each time a milestone payment becomes due and payable under the terms of the CVR Agreement, an amount in cash equal to the product of (a) the total number of Shares underlying such Underwater Option, multiplied by (b) the amount, if any, by which (1) the Cash Amount plus the amount of such milestone payment plus the amount of any other milestone payments that previously became due and payable under the terms of the CVR Agreement exceeds (2) the exercise price per Share with respect to such Underwater Option plus the Milestone Payment Amounts (as such term is defined in the CVR Agreement), [continues to Footnote 5]
F5: [Continues from Footnote 4] if any, previously paid pursuant to the CVR Agreement in respect of each CVR granted in respect of such Underwater Option; provided further, that any Option with an exercise price that was equal to or greater than $13.00, was cancelled immediately prior to the effective time of the Merger without any payment being made in respect thereof.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| October 05, 2021 Filed Oct 5, 2021 23:41 UTC | Xeris Biopharma Holdings, Inc. XERS · Entity 4670 | GrantCommon Stock | 5,659 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-21-039323 · doc4.xml · nonDerivative · entry 1 Schmid John P. · CIK 0001478916 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,659 F1 · kind: On October 5, 2021, pursuant to the transaction agreement dated as of May 24, 2021 ("Transaction Agreement") by and among Xeris Pharmaceuticals, Inc. ("Xeris"), Strongbridge Biopharma plc ("Strongbridge"), the Issuer ("HoldCo") and Wells MergerSub, Inc., a wholly owned subsidiary of HoldCo ("MergerSub"), HoldCo acquired the entire issued and to be issued ordinary share capital of Strongbridge (the "Acquisition"), and MergerSub merged with and into Xeris, with Xeris continuing as the surviving corporation and wholly owned subsidiary of HoldCo (the "Merger", and together with the Acquisition, the "Transaction"). At the effective time of the Merger (the "Merger Effective Time"), all existing shares of Xeris common stock (the "Xeris common stock") were cancelled and automatically converted into the right to receive HoldCo common stock on a one-for-one basis. F1 · price: On October 5, 2021, pursuant to the transaction agreement dated as of May 24, 2021 ("Transaction Agreement") by and among Xeris Pharmaceuticals, Inc. ("Xeris"), Strongbridge Biopharma plc ("Strongbridge"), the Issuer ("HoldCo") and Wells MergerSub, Inc., a wholly owned subsidiary of HoldCo ("MergerSub"), HoldCo acquired the entire issued and to be issued ordinary share capital of Strongbridge (the "Acquisition"), and MergerSub merged with and into Xeris, with Xeris continuing as the surviving corporation and wholly owned subsidiary of HoldCo (the "Merger", and together with the Acquisition, the "Transaction"). At the effective time of the Merger (the "Merger Effective Time"), all existing shares of Xeris common stock (the "Xeris common stock") were cancelled and automatically converted into the right to receive HoldCo common stock on a one-for-one basis. Read SEC document |
| October 05, 2021 Filed Oct 5, 2021 21:37 UTC | XERIS PHARMACEUTICALS INC XERS · Entity 134906 | Disposition to issuerStock Option (Right to Buy) · Derivative | 11,228 | Not disclosed Strike: $3.90 | Not disclosed |
DisclosureSEC source: 0000899243-21-039257 · doc4.xml · derivative · entry 5 Schmid John P. · CIK 0001478916 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 11,228 shares Expires 2031-06-08 F2 · kind: At the Effective Time, each option to purchase shares of Xeris common stock (the "Xeris Option") that was outstanding immediately prior to the Effective Time, whether vested or unvested, was automatically converted into an option to purchase shares of HoldCo common stock (the "HoldCo Option"), on the same terms and conditions including any applicable vesting and exercisability requirements) as were applicable to such Xeris Option immediately prior to the Effective Time, including that the number of shares of HoldCo common stock subject to the HoldCo Option is equal to the number of shares that were subject to the Xeris Option and the exercise price applicable to the HoldCo Option is the same as applied to the Xeris Option. F2 · price: At the Effective Time, each option to purchase shares of Xeris common stock (the "Xeris Option") that was outstanding immediately prior to the Effective Time, whether vested or unvested, was automatically converted into an option to purchase shares of HoldCo common stock (the "HoldCo Option"), on the same terms and conditions including any applicable vesting and exercisability requirements) as were applicable to such Xeris Option immediately prior to the Effective Time, including that the number of shares of HoldCo common stock subject to the HoldCo Option is equal to the number of shares that were subject to the Xeris Option and the exercise price applicable to the HoldCo Option is the same as applied to the Xeris Option. F4 · derivative.exercise_date: Such options will vest in full upon the earlier to occur of June 8, 2022 or the date of the Company's next annual meeting of stockholders. Read SEC document |
| October 05, 2021 Filed Oct 5, 2021 21:37 UTC | XERIS PHARMACEUTICALS INC XERS · Entity 134906 | Disposition to issuerStock Option (Right to Buy) · Derivative | 11,228 | Not disclosed Strike: $4.68 | Not disclosed |
DisclosureSEC source: 0000899243-21-039257 · doc4.xml · derivative · entry 4 Schmid John P. · CIK 0001478916 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 11,228 shares Expires 2030-06-04 F2 · kind: At the Effective Time, each option to purchase shares of Xeris common stock (the "Xeris Option") that was outstanding immediately prior to the Effective Time, whether vested or unvested, was automatically converted into an option to purchase shares of HoldCo common stock (the "HoldCo Option"), on the same terms and conditions including any applicable vesting and exercisability requirements) as were applicable to such Xeris Option immediately prior to the Effective Time, including that the number of shares of HoldCo common stock subject to the HoldCo Option is equal to the number of shares that were subject to the Xeris Option and the exercise price applicable to the HoldCo Option is the same as applied to the Xeris Option. F2 · price: At the Effective Time, each option to purchase shares of Xeris common stock (the "Xeris Option") that was outstanding immediately prior to the Effective Time, whether vested or unvested, was automatically converted into an option to purchase shares of HoldCo common stock (the "HoldCo Option"), on the same terms and conditions including any applicable vesting and exercisability requirements) as were applicable to such Xeris Option immediately prior to the Effective Time, including that the number of shares of HoldCo common stock subject to the HoldCo Option is equal to the number of shares that were subject to the Xeris Option and the exercise price applicable to the HoldCo Option is the same as applied to the Xeris Option. F3 · derivative.exercise_date: These options are fully vested as of the date hereof. Read SEC document |
| October 05, 2021 Filed Oct 5, 2021 21:37 UTC | XERIS PHARMACEUTICALS INC XERS · Entity 134906 | Disposition to issuerStock Option (Right to Buy) · Derivative | 20,000 | Not disclosed Strike: $10.00 | Not disclosed |
DisclosureSEC source: 0000899243-21-039257 · doc4.xml · derivative · entry 3 Schmid John P. · CIK 0001478916 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 20,000 shares Expires 2029-02-27 F2 · kind: At the Effective Time, each option to purchase shares of Xeris common stock (the "Xeris Option") that was outstanding immediately prior to the Effective Time, whether vested or unvested, was automatically converted into an option to purchase shares of HoldCo common stock (the "HoldCo Option"), on the same terms and conditions including any applicable vesting and exercisability requirements) as were applicable to such Xeris Option immediately prior to the Effective Time, including that the number of shares of HoldCo common stock subject to the HoldCo Option is equal to the number of shares that were subject to the Xeris Option and the exercise price applicable to the HoldCo Option is the same as applied to the Xeris Option. F2 · price: At the Effective Time, each option to purchase shares of Xeris common stock (the "Xeris Option") that was outstanding immediately prior to the Effective Time, whether vested or unvested, was automatically converted into an option to purchase shares of HoldCo common stock (the "HoldCo Option"), on the same terms and conditions including any applicable vesting and exercisability requirements) as were applicable to such Xeris Option immediately prior to the Effective Time, including that the number of shares of HoldCo common stock subject to the HoldCo Option is equal to the number of shares that were subject to the Xeris Option and the exercise price applicable to the HoldCo Option is the same as applied to the Xeris Option. F3 · derivative.exercise_date: These options are fully vested as of the date hereof. Read SEC document |
| October 05, 2021 Filed Oct 5, 2021 21:37 UTC | XERIS PHARMACEUTICALS INC XERS · Entity 134906 | Disposition to issuerStock Option (Right to Buy) · Derivative | 25,220 | Not disclosed Strike: $12.50 | Not disclosed |
DisclosureSEC source: 0000899243-21-039257 · doc4.xml · derivative · entry 2 Schmid John P. · CIK 0001478916 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 25,220 shares Expires 2028-05-15 F2 · kind: At the Effective Time, each option to purchase shares of Xeris common stock (the "Xeris Option") that was outstanding immediately prior to the Effective Time, whether vested or unvested, was automatically converted into an option to purchase shares of HoldCo common stock (the "HoldCo Option"), on the same terms and conditions including any applicable vesting and exercisability requirements) as were applicable to such Xeris Option immediately prior to the Effective Time, including that the number of shares of HoldCo common stock subject to the HoldCo Option is equal to the number of shares that were subject to the Xeris Option and the exercise price applicable to the HoldCo Option is the same as applied to the Xeris Option. F2 · price: At the Effective Time, each option to purchase shares of Xeris common stock (the "Xeris Option") that was outstanding immediately prior to the Effective Time, whether vested or unvested, was automatically converted into an option to purchase shares of HoldCo common stock (the "HoldCo Option"), on the same terms and conditions including any applicable vesting and exercisability requirements) as were applicable to such Xeris Option immediately prior to the Effective Time, including that the number of shares of HoldCo common stock subject to the HoldCo Option is equal to the number of shares that were subject to the Xeris Option and the exercise price applicable to the HoldCo Option is the same as applied to the Xeris Option. F3 · derivative.exercise_date: These options are fully vested as of the date hereof. Read SEC document |
| October 05, 2021 Filed Oct 5, 2021 21:37 UTC | XERIS PHARMACEUTICALS INC XERS · Entity 134906 | Disposition to issuerCommon Stock | 5,659 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-21-039257 · doc4.xml · nonDerivative · entry 1 Schmid John P. · CIK 0001478916 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · kind: On October 5, 2021, pursuant to the transaction agreement dated as of May 24, 2021 ("Transaction Agreement") by and among the Issuer ("Xeris"), Strongbridge Biopharma plc ("Strongbridge"), Xeris Biopharma Holdings, Inc. ("HoldCo") and Wells MergerSub, Inc., a wholly owned subsidiary of HoldCo ("MergerSub"), HoldCo acquired the entire issued and to be issued ordinary share capital of Strongbridge (the "Acquisition"), and MergerSub merged with and into Xeris, with Xeris continuing as the surviving corporation and wholly owned subsidiary of HoldCo (the "Merger", and together with the Acquisition, the "Transaction"). At the effective time of the Merger (the "Effective Time"), all existing shares of Xeris common stock (the "Xeris common stock") were cancelled and automatically converted into the right to receive HoldCo common stock on a one-for-one basis. F1 · price: On October 5, 2021, pursuant to the transaction agreement dated as of May 24, 2021 ("Transaction Agreement") by and among the Issuer ("Xeris"), Strongbridge Biopharma plc ("Strongbridge"), Xeris Biopharma Holdings, Inc. ("HoldCo") and Wells MergerSub, Inc., a wholly owned subsidiary of HoldCo ("MergerSub"), HoldCo acquired the entire issued and to be issued ordinary share capital of Strongbridge (the "Acquisition"), and MergerSub merged with and into Xeris, with Xeris continuing as the surviving corporation and wholly owned subsidiary of HoldCo (the "Merger", and together with the Acquisition, the "Transaction"). At the effective time of the Merger (the "Effective Time"), all existing shares of Xeris common stock (the "Xeris common stock") were cancelled and automatically converted into the right to receive HoldCo common stock on a one-for-one basis. Read SEC document |
| July 23, 2021 Filed Jul 26, 2021 20:32 UTC | Poseida Therapeutics, Inc. PSTX · Entity 84243 | GrantStock Option (Right to Buy) · Derivative | 25,833 | $0.00 Strike: $8.63 | $0.00 |
DisclosureSEC source: 0001209191-21-048258 · doc4.xml · derivative · entry 1 Schmid John P. · CIK 0001478916 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,833 Underlying: Common Stock · 25,833 shares Expires 2031-07-23 F1 · derivative.exercise_date: The stock option will vest and become exercisable on the earlier to occur of (i) June 16, 2022 and (ii) the day preceding the date of the 2022 annual meeting of the Issuer's stockholders. Read SEC document |
| June 16, 2021 Filed Jun 17, 2021 17:03 UTC | Poseida Therapeutics, Inc. PSTX · Entity 84243 | GrantStock Option (Right to Buy) · Derivative | 20,000 | $0.00 Strike: $8.98 | $0.00 |
DisclosureSEC source: 0001209191-21-041513 · doc4.xml · derivative · entry 1 Schmid John P. · CIK 0001478916 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2031-06-15 F1 · derivative.exercise_date: The stock option will vest and become fully exercisable on the earlier to occur of (i) June 16, 2022 and (ii) the day preceding the date of the next annual meeting of the Issuer's stockholders. Read SEC document |
| June 08, 2021 Filed Jun 8, 2021 23:08 UTC | XERIS PHARMACEUTICALS INC XERS · Entity 134906 | GrantStock Option (Right to Buy) · Derivative | 11,228 | $0.00 Strike: $3.90 | $0.00 |
DisclosureSEC source: 0001346302-21-000059 · wf-form4_162319371933489.xml · derivative · entry 1 Schmid John P. · CIK 0001478916 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,228 Underlying: Common Stock · 11,228 shares Expires 2031-06-08 F1 · derivative.exercise_date: Such options will vest in full upon the earlier to occur of June 8, 2022 or the date of the Company's next annual meeting of stockholders. Read SEC document |
| March 25, 2021 Filed Mar 29, 2021 21:55 UTC | Design Therapeutics, Inc. DSGN · Entity 4991 | GrantStock Option (right to buy) · Derivative | 15,000 | $0.00 Strike: $20.00 | $0.00 |
DisclosureSEC source: 0001209191-21-023465 · doc4.xml · derivative · entry 1 Schmid John P. · CIK 0001478916 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2031-03-24 F1 · derivative.exercise_date: The shares subject to the option vest in equal monthly installments over the 12 months following March 25, 2021. Read SEC document |
| March 19, 2021 Filed Mar 19, 2021 21:33 UTC | Neos Therapeutics, Inc. NEOS · Entity 141061 | Disposition to issuerStock Option (Right to Buy) · Derivative | 46,907 | $0.00 Strike: $1.44 | $0.00 |
DisclosureSEC source: 0001104659-21-039225 · tm219870-10_4seq1.xml · derivative · entry 6 Schmid John P. · CIK 0001478916 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 46,907 shares Expires not disclosed F4 · kind: At the Effective Time, each option to purchase Shares of the Company that was outstanding immediately prior to the Effective Time that had an exercise price per share equal to or less than $0.95 (any such option, an "Assumed Company Option") ceased to represent a right to acquire Shares, was assumed by Parent and automatically converted into the option to purchase shares of Parent Common Stock equal to the number of Shares underlying each such Assumed Company Option multiplied by the Exchange Ratio. All outstanding stock options of the Company that were not Assumed Company Options were cancelled at the Effective Time without payment of any consideration. F4 · derivative.exercise_date: At the Effective Time, each option to purchase Shares of the Company that was outstanding immediately prior to the Effective Time that had an exercise price per share equal to or less than $0.95 (any such option, an "Assumed Company Option") ceased to represent a right to acquire Shares, was assumed by Parent and automatically converted into the option to purchase shares of Parent Common Stock equal to the number of Shares underlying each such Assumed Company Option multiplied by the Exchange Ratio. All outstanding stock options of the Company that were not Assumed Company Options were cancelled at the Effective Time without payment of any consideration. F4 · derivative.expiration_date: At the Effective Time, each option to purchase Shares of the Company that was outstanding immediately prior to the Effective Time that had an exercise price per share equal to or less than $0.95 (any such option, an "Assumed Company Option") ceased to represent a right to acquire Shares, was assumed by Parent and automatically converted into the option to purchase shares of Parent Common Stock equal to the number of Shares underlying each such Assumed Company Option multiplied by the Exchange Ratio. All outstanding stock options of the Company that were not Assumed Company Options were cancelled at the Effective Time without payment of any consideration. Read SEC document |
| March 19, 2021 Filed Mar 19, 2021 21:33 UTC | Neos Therapeutics, Inc. NEOS · Entity 141061 | Disposition to issuerStock Option (Right to Buy) · Derivative | 22,756 | $0.00 Strike: $6.05 | $0.00 |
DisclosureSEC source: 0001104659-21-039225 · tm219870-10_4seq1.xml · derivative · entry 5 Schmid John P. · CIK 0001478916 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 22,756 shares Expires not disclosed F4 · kind: At the Effective Time, each option to purchase Shares of the Company that was outstanding immediately prior to the Effective Time that had an exercise price per share equal to or less than $0.95 (any such option, an "Assumed Company Option") ceased to represent a right to acquire Shares, was assumed by Parent and automatically converted into the option to purchase shares of Parent Common Stock equal to the number of Shares underlying each such Assumed Company Option multiplied by the Exchange Ratio. All outstanding stock options of the Company that were not Assumed Company Options were cancelled at the Effective Time without payment of any consideration. F4 · derivative.exercise_date: At the Effective Time, each option to purchase Shares of the Company that was outstanding immediately prior to the Effective Time that had an exercise price per share equal to or less than $0.95 (any such option, an "Assumed Company Option") ceased to represent a right to acquire Shares, was assumed by Parent and automatically converted into the option to purchase shares of Parent Common Stock equal to the number of Shares underlying each such Assumed Company Option multiplied by the Exchange Ratio. All outstanding stock options of the Company that were not Assumed Company Options were cancelled at the Effective Time without payment of any consideration. F4 · derivative.expiration_date: At the Effective Time, each option to purchase Shares of the Company that was outstanding immediately prior to the Effective Time that had an exercise price per share equal to or less than $0.95 (any such option, an "Assumed Company Option") ceased to represent a right to acquire Shares, was assumed by Parent and automatically converted into the option to purchase shares of Parent Common Stock equal to the number of Shares underlying each such Assumed Company Option multiplied by the Exchange Ratio. All outstanding stock options of the Company that were not Assumed Company Options were cancelled at the Effective Time without payment of any consideration. Read SEC document |
| March 19, 2021 Filed Mar 19, 2021 21:33 UTC | Neos Therapeutics, Inc. NEOS · Entity 141061 | Disposition to issuerStock Option (Right to Buy) · Derivative | 18,322 | $0.00 Strike: $7.65 | $0.00 |
DisclosureSEC source: 0001104659-21-039225 · tm219870-10_4seq1.xml · derivative · entry 4 Schmid John P. · CIK 0001478916 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 18,322 shares Expires not disclosed F4 · kind: At the Effective Time, each option to purchase Shares of the Company that was outstanding immediately prior to the Effective Time that had an exercise price per share equal to or less than $0.95 (any such option, an "Assumed Company Option") ceased to represent a right to acquire Shares, was assumed by Parent and automatically converted into the option to purchase shares of Parent Common Stock equal to the number of Shares underlying each such Assumed Company Option multiplied by the Exchange Ratio. All outstanding stock options of the Company that were not Assumed Company Options were cancelled at the Effective Time without payment of any consideration. F4 · derivative.exercise_date: At the Effective Time, each option to purchase Shares of the Company that was outstanding immediately prior to the Effective Time that had an exercise price per share equal to or less than $0.95 (any such option, an "Assumed Company Option") ceased to represent a right to acquire Shares, was assumed by Parent and automatically converted into the option to purchase shares of Parent Common Stock equal to the number of Shares underlying each such Assumed Company Option multiplied by the Exchange Ratio. All outstanding stock options of the Company that were not Assumed Company Options were cancelled at the Effective Time without payment of any consideration. F4 · derivative.expiration_date: At the Effective Time, each option to purchase Shares of the Company that was outstanding immediately prior to the Effective Time that had an exercise price per share equal to or less than $0.95 (any such option, an "Assumed Company Option") ceased to represent a right to acquire Shares, was assumed by Parent and automatically converted into the option to purchase shares of Parent Common Stock equal to the number of Shares underlying each such Assumed Company Option multiplied by the Exchange Ratio. All outstanding stock options of the Company that were not Assumed Company Options were cancelled at the Effective Time without payment of any consideration. Read SEC document |
| March 19, 2021 Filed Mar 19, 2021 21:33 UTC | Neos Therapeutics, Inc. NEOS · Entity 141061 | Disposition to issuerStock Option (Right to Buy) · Derivative | 14,777 | $0.00 Strike: $9.63 | $0.00 |
DisclosureSEC source: 0001104659-21-039225 · tm219870-10_4seq1.xml · derivative · entry 3 Schmid John P. · CIK 0001478916 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 14,777 shares Expires not disclosed F4 · kind: At the Effective Time, each option to purchase Shares of the Company that was outstanding immediately prior to the Effective Time that had an exercise price per share equal to or less than $0.95 (any such option, an "Assumed Company Option") ceased to represent a right to acquire Shares, was assumed by Parent and automatically converted into the option to purchase shares of Parent Common Stock equal to the number of Shares underlying each such Assumed Company Option multiplied by the Exchange Ratio. All outstanding stock options of the Company that were not Assumed Company Options were cancelled at the Effective Time without payment of any consideration. F4 · derivative.exercise_date: At the Effective Time, each option to purchase Shares of the Company that was outstanding immediately prior to the Effective Time that had an exercise price per share equal to or less than $0.95 (any such option, an "Assumed Company Option") ceased to represent a right to acquire Shares, was assumed by Parent and automatically converted into the option to purchase shares of Parent Common Stock equal to the number of Shares underlying each such Assumed Company Option multiplied by the Exchange Ratio. All outstanding stock options of the Company that were not Assumed Company Options were cancelled at the Effective Time without payment of any consideration. F4 · derivative.expiration_date: At the Effective Time, each option to purchase Shares of the Company that was outstanding immediately prior to the Effective Time that had an exercise price per share equal to or less than $0.95 (any such option, an "Assumed Company Option") ceased to represent a right to acquire Shares, was assumed by Parent and automatically converted into the option to purchase shares of Parent Common Stock equal to the number of Shares underlying each such Assumed Company Option multiplied by the Exchange Ratio. All outstanding stock options of the Company that were not Assumed Company Options were cancelled at the Effective Time without payment of any consideration. Read SEC document |
| March 19, 2021 Filed Mar 19, 2021 21:33 UTC | Neos Therapeutics, Inc. NEOS · Entity 141061 | Disposition to issuerStock Option (Right to Buy) · Derivative | 12,500 | $0.00 Strike: $10.73 | $0.00 |
DisclosureSEC source: 0001104659-21-039225 · tm219870-10_4seq1.xml · derivative · entry 2 Schmid John P. · CIK 0001478916 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 12,500 shares Expires not disclosed F4 · kind: At the Effective Time, each option to purchase Shares of the Company that was outstanding immediately prior to the Effective Time that had an exercise price per share equal to or less than $0.95 (any such option, an "Assumed Company Option") ceased to represent a right to acquire Shares, was assumed by Parent and automatically converted into the option to purchase shares of Parent Common Stock equal to the number of Shares underlying each such Assumed Company Option multiplied by the Exchange Ratio. All outstanding stock options of the Company that were not Assumed Company Options were cancelled at the Effective Time without payment of any consideration. F4 · derivative.exercise_date: At the Effective Time, each option to purchase Shares of the Company that was outstanding immediately prior to the Effective Time that had an exercise price per share equal to or less than $0.95 (any such option, an "Assumed Company Option") ceased to represent a right to acquire Shares, was assumed by Parent and automatically converted into the option to purchase shares of Parent Common Stock equal to the number of Shares underlying each such Assumed Company Option multiplied by the Exchange Ratio. All outstanding stock options of the Company that were not Assumed Company Options were cancelled at the Effective Time without payment of any consideration. F4 · derivative.expiration_date: At the Effective Time, each option to purchase Shares of the Company that was outstanding immediately prior to the Effective Time that had an exercise price per share equal to or less than $0.95 (any such option, an "Assumed Company Option") ceased to represent a right to acquire Shares, was assumed by Parent and automatically converted into the option to purchase shares of Parent Common Stock equal to the number of Shares underlying each such Assumed Company Option multiplied by the Exchange Ratio. All outstanding stock options of the Company that were not Assumed Company Options were cancelled at the Effective Time without payment of any consideration. Read SEC document |
| March 19, 2021 Filed Mar 19, 2021 21:33 UTC | Neos Therapeutics, Inc. NEOS · Entity 141061 | Disposition to issuerCommon Stock | 23,453 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-21-039225 · tm219870-10_4seq1.xml · nonDerivative · entry 1 Schmid John P. · CIK 0001478916 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · kind: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement") dated as of December 10, 2020, by and among the Company, Aytu BioScience, Inc. ("Parent"), and Neutron Acquisition Sub, Inc., a wholly-owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Company (the "Merger") effective as of March 19, 2021 (the "Effective Time"). F2 · kind: At the Effective Time, each issued and outstanding share of common stock of the Issuer (each, a "Share") (excluding any Shares held in the treasury of the Company or owned, directly or indirectly, by Parent or Merger Sub immediately prior to the Effective Time) was cancelled and converted into the right to receive 0.1088 (the "Exchange Ratio") shares of Common Stock of Parent (the "Parent Common Stock"), plus the right, if any, to receive cash in lieu of fractional shares of Parent Common Stock into which such Shares would have been converted (as described in the Merger Agreement). F3 · shares: This number includes 23,453 restricted stock units (each, an "RSU") held by the Reporting Person. At the Effective Time, each RSU that was outstanding prior to the Effective Time immediately and automatically ceased to represent a right to acquire shares of Company Common Stock and was assumed by Parent and converted automatically into a restricted stock unit denominated in Parent Common Stock equal to the number of Shares subject to the RSU prior to the Effective Time multiplied by the Exchange Ratio, and any cash in lieu of fractional shares of Parent Common Stock. F1 · price: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement") dated as of December 10, 2020, by and among the Company, Aytu BioScience, Inc. ("Parent"), and Neutron Acquisition Sub, Inc., a wholly-owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Company (the "Merger") effective as of March 19, 2021 (the "Effective Time"). F2 · price: At the Effective Time, each issued and outstanding share of common stock of the Issuer (each, a "Share") (excluding any Shares held in the treasury of the Company or owned, directly or indirectly, by Parent or Merger Sub immediately prior to the Effective Time) was cancelled and converted into the right to receive 0.1088 (the "Exchange Ratio") shares of Common Stock of Parent (the "Parent Common Stock"), plus the right, if any, to receive cash in lieu of fractional shares of Parent Common Stock into which such Shares would have been converted (as described in the Merger Agreement). Read SEC document |
| February 10, 2021 Filed Feb 13, 2021 02:36 UTC | ANAPTYSBIO, INC ANAB · Entity 4640 | GrantStock Option (right to buy) · Derivative | 11,000 | $0.00 Strike: $29.70 | $0.00 |
DisclosureSEC source: 0001209191-21-010527 · doc4.xml · derivative · entry 1 Schmid John P. · CIK 0001478916 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,000 Underlying: Common Stock · 11,000 shares Expires 2031-02-09 F1 · derivative.exercise_date: The stock option vests as of 1/12 of the total shares monthly beginning on March 10, 2021 until fully vested, subject to the Reporting Person's provision of service to the Issuer on each vesting date. Read SEC document |
| July 09, 2020 Filed Jul 13, 2020 19:00 UTC | Poseida Therapeutics, Inc. PSTX · Entity 84243 | GrantStock Option (Right to Buy) · Derivative | 20,000 | $0.00 Strike: $16.00 | $0.00 |
DisclosureSEC source: 0001209191-20-042318 · doc4.xml · derivative · entry 1 Schmid John P. · CIK 0001478916 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2030-07-08 F1 · derivative.exercise_date: The stock option will vest and become exercisable in 12 equal monthly installments from the date of grant. Read SEC document |
| June 10, 2020 Filed Jun 12, 2020 00:24 UTC | Neos Therapeutics, Inc. NEOS · Entity 141061 | GrantCommon Stock | 23,453 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-20-072551 · a4.xml · nonDerivative · entry 1 Schmid John P. · CIK 0001478916 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,453 F1 · security: Represents shares of common stock underlying restricted stock unit grants awarded to the Reporting Person. The restricted stock units will vest on the one-year anniversary of June 10, 2020. Read SEC document |
| June 04, 2020 Filed Jun 5, 2020 01:02 UTC | XERIS PHARMACEUTICALS INC XERS · Entity 134906 | GrantStock Option (right to buy) · Derivative | 11,228 | $0.00 Strike: $4.68 | $0.00 |
DisclosureSEC source: 0000899243-20-015329 · doc4.xml · derivative · entry 1 Schmid John P. · CIK 0001478916 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,228 Underlying: Common Stock · 11,228 shares Expires 2030-06-04 F1 · derivative.exercise_date: Such options will vest in full upon the earlier to occur of June 4, 2021 or the date of the Company's next annual meeting of stockholders. Read SEC document |
| February 12, 2020 Filed Feb 13, 2020 22:08 UTC | ANAPTYSBIO, INC ANAB · Entity 4640 | GrantDirector Stock Option (Right to Buy) · Derivative | 11,000 | $0.00 Strike: $16.56 | $0.00 |
DisclosureSEC source: 0001209191-20-009325 · doc4.xml · derivative · entry 1 Schmid John P. · CIK 0001478916 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,000 Underlying: Common Stock · 11,000 shares Expires 2030-02-11 F1 · derivative.exercise_date: The stock option vests and becomes exercisable in 12 equal monthly installments beginning on March 12, 2020, until such time as the option is 100% vested, subject to the continuing service of the Reporting Person on each vesting date. Read SEC document |
| June 13, 2019 Filed Jun 17, 2019 21:34 UTC | Neos Therapeutics, Inc. NEOS · Entity 141061 | GrantStock Option (Right to Buy) · Derivative | 46,907 | $0.00 Strike: $1.44 | $0.00 |
DisclosureSEC source: 0001104659-19-035985 · a4.xml · derivative · entry 1 Schmid John P. · CIK 0001478916 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,907 Underlying: Common Stock · 46,907 shares Expires 2029-06-13 F1 · derivative.exercise_date: This stock option vests in equal quarterly installments over a one-year period which began on June 13, 2019. Read SEC document |
| February 27, 2019 Filed Mar 1, 2019 21:40 UTC | XERIS PHARMACEUTICALS INC XERS · Entity 134906 | GrantStock Option (right to buy) · Derivative | 20,000 | $0.00 Strike: $10.00 | $0.00 |
DisclosureSEC source: 0000899243-19-005464 · doc4.xml · derivative · entry 1 Schmid John P. · CIK 0001478916 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2029-02-27 F1 · derivative.exercise_date: 25% of these shares shall vest on the first anniversary of the vesting commencement date, with the remainder vesting ratably over the following 36 months. Read SEC document |
| February 08, 2019 Filed Feb 11, 2019 22:36 UTC | ANAPTYSBIO, INC ANAB · Entity 4640 | GrantDirector Stock Option (Right to Buy) · Derivative | 6,000 | $0.00 Strike: $68.89 | $0.00 |
DisclosureSEC source: 0001209191-19-009038 · doc4.xml · derivative · entry 1 Schmid John P. · CIK 0001478916 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,000 Underlying: Common Stock · 6,000 shares Expires 2019-02-07 F1 · derivative.exercise_date: The stock option vests and becomes exercisable in 12 equal monthly installments beginning on March 8, 2019, until such time as the option is 100% vested, subject to the continuing service of the Reporting Person on each vesting date. Read SEC document |
| July 02, 2018 Filed Jul 3, 2018 20:39 UTC | Neos Therapeutics, Inc. NEOS · Entity 141061 | GrantStock Option (Right to Buy) · Derivative | 22,756 | $0.00 Strike: $6.05 | $0.00 |
DisclosureSEC source: 0001104659-18-043860 · a4.xml · derivative · entry 1 Schmid John P. · CIK 0001478916 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,756 Underlying: Common Stock · 22,756 shares Expires 2028-07-02 F1 · derivative.exercise_date: This stock option vests in equal quarterly installments over a one-year period which began on June 20, 2018. Read SEC document |
| February 02, 2018 Filed Feb 6, 2018 21:16 UTC | ANAPTYSBIO, INC ANAB · Entity 4640 | GrantDirector Stock Option (right to buy) · Derivative | 6,000 | $0.00 Strike: $104.81 | $0.00 |
DisclosureSEC source: 0001209191-18-007834 · doc4.xml · derivative · entry 1 Schmid John P. · CIK 0001478916 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,000 Underlying: Common Stock · 6,000 shares Expires 2028-02-01 F1 · derivative.exercise_date: The stock option vests and becomes exercisable in 12 equal monthly installments beginning on March 2, 2018, until such time as the option is 100% vested, subject to the continuing service of the Reporting Person on each vesting date. Read SEC document |
| July 03, 2017 Filed Jul 5, 2017 21:58 UTC | Neos Therapeutics, Inc. NEOS · Entity 141061 | GrantStock Option (Right to Buy) · Derivative | 18,322 | $0.00 Strike: $7.65 | $0.00 |
DisclosureSEC source: 0001104659-17-043627 · a4.xml · derivative · entry 1 Schmid John P. · CIK 0001478916 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,322 Underlying: Common Stock · 18,322 shares Expires 2027-07-03 F1 · derivative.exercise_date: This stock option vests in equal quarterly installments over a one-year period which begins on June 15, 2017. Read SEC document |
| February 24, 2017 Filed Feb 28, 2017 23:56 UTC | ANAPTYSBIO, INC ANAB · Entity 4640 | GrantDirector Stock Option (right to buy) · Derivative | 15,000 | $0.00 Strike: $24.60 | $0.00 |
DisclosureSEC source: 0001209191-17-015462 · doc4.xml · derivative · entry 1 Schmid John P. · CIK 0001478916 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2017-02-23 F1 · derivative.exercise_date: The stock option vests and becomes fully exercisable on February 24, 2018. 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.