Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Cocrystal Pharma, Inc.COCP · Entity 7621 | Director | January 09, 2026 | January 13, 2026 |
| Eloxx Pharmaceuticals, Inc.ELOX · Entity 7180 | Director | June 08, 2026 | June 11, 2026 |
| Entera Bio Ltd.[ENTX] · Entity 5464 | Director | August 07, 2026 | August 07, 2026 |
| Fluent, Inc.COGT · Entity 6736 | Director | April 13, 2017 | April 17, 2017 |
| Niagen Bioscience, Inc.NAGE · Entity 6146 | Director | June 24, 2026 | June 26, 2026 |
| OPKO HEALTH, INC.OPK · Entity 4891 | Director · Executive VP-Administration | July 24, 2026 | July 28, 2026 |
| Red Violet, Inc.RDVT · Entity 4826 | Director | June 04, 2026 | June 05, 2026 |
| VBI Vaccines Inc/BCVBIV · Entity 111039 | Director | June 14, 2018 | June 18, 2018 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Cocrystal Pharma, Inc.
Report date January 09, 2026 · Filed January 13, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Options (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.10 · Expires 2036-01-09 | Direct | 16,410 |
Reported balance
After 2026-01-09 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-01-09 · Grant · Acquired 16,410 · Balance 16,410 F1: The grant of the Issuer's non-qualified stock options was exempt from Section 16(b) of the Securities Exchange Act of 1934 by virtue of Rule 16b-3 promulgated thereunder, as it was approved by the Issuer's Compensation Committee of the Board of Directors. The non-qualified stock options are granted under the Issuer's 2025 Equity Incentive Plan and the exercisability shall be subject to execution of the Issuer's form of Non-Qualified Stock Option Agreement. The non-qualified stock options shall vest as follows: one-half shall vest and become exercisable on January 9, 2027 and the remaining half shall vest and become exercisable in eight equal quarterly installments commencing on March 31, 2027, subject to the Reporting Person continuing to serve as a director of the Issuer on each applicable vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: The grant of the Issuer's non-qualified stock options was exempt from Section 16(b) of the Securities Exchange Act of 1934 by virtue of Rule 16b-3 promulgated thereunder, as it was approved by the Issuer's Compensation Committee of the Board of Directors. The non-qualified stock options are granted under the Issuer's 2025 Equity Incentive Plan and the exercisability shall be subject to execution of the Issuer's form of Non-Qualified Stock Option Agreement. The non-qualified stock options shall vest as follows: one-half shall vest and become exercisable on January 9, 2027 and the remaining half shall vest and become exercisable in eight equal quarterly installments commencing on March 31, 2027, subject to the Reporting Person continuing to serve as a director of the Issuer on each applicable vesting date.
Eloxx Pharmaceuticals, Inc.
Report date June 08, 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 $11.00 · Expires 2036-06-08 | Direct | 4,018 |
Reported balance
After 2026-06-08 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-06-08 · Grant · Acquired 4,018 · Balance 4,018 F1: The stock option will vest in 24 substantially equal monthly installments so that the option will be fully vested and exercisable on the second anniversary of the grant date, subject to the Reporting Person's continuous service to the Issuer through the applicable vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: The stock option will vest in 24 substantially equal monthly installments so that the option will be fully vested and exercisable on the second anniversary of the grant date, subject to the Reporting Person's continuous service to the Issuer through the applicable vesting date.
Entera Bio Ltd.
Report date August 07, 2026 · Filed August 07, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Ordinary Shares, par value NIS 0.0000769 per shareSEC Table I · non-derivative | Direct | 34,117 |
Reported balance
After 2026-08-07 transaction · row 1
1 source rowRow 1 · 2026-08-07 · Grant · Acquired 19,117 · Balance 34,117 F1: The Board of Directors (the "Board") of Entera Bio Ltd. (the "Company") awarded these shares to the Reporting Person in lieu of the cash fees the Reporting Person was entitled to for services rendered as a director of the Company for the first quarter and second quarter of 2026. This grant of shares was approved by the Board on August 5, 2026, subject to the filing by the Company of a Registration Statement on Form S-8 registering the shares, which occurred on August 7, 2026. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.37 · Expires 2036-05-07 | Direct | 33,368 |
Reported balance
After 2026-08-07 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2026-08-07 · Grant · Acquired 33,368 · Balance 33,368 F2: Represents a grant of options to purchase ordinary shares. This grant of options was approved by the Board on May 7, 2026, subject to (i) approval by the Company's shareholders, which was obtained on July 14, 2026 and (ii) the filing by the Company of a Registration Statement on Form S-8 registering the ordinary shares underlying the option grant, which occurred on August 7, 2026. The options vest over a three year period which began on February 1, 2026, with one third of the options vesting on February 1, 2027 and the remaining two-thirds vesting ratably on a quarterly basis over the remaining two-year period, subject to full acceleration upon a Change in Control (as defined in the Company's 2018 Equity Incentive Plan (the "Plan")). |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.37 · Expires 2036-05-07 | Direct | 43,405 |
Reported balance
After 2026-08-07 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2026-08-07 · Grant · Acquired 43,405 · Balance 43,405 F3: Represents a grant of options to purchase ordinary shares. This grant of options was approved by the Board on May 7, 2026, subject to (i) approval by the Company's shareholders, which was obtained on July 14, 2026 and (ii) the filing by the Company of a Registration Statement on Form S-8 registering the ordinary shares underlying the option grant, which occurred on August 7, 2026. The options vest on a quarterly basis over a one-year period that began on February 1, 2026, subject to full acceleration upon a Change in Control (as defined in the Plan). |
Filing footnotes · ownership attribution and instrument terms
F1: The Board of Directors (the "Board") of Entera Bio Ltd. (the "Company") awarded these shares to the Reporting Person in lieu of the cash fees the Reporting Person was entitled to for services rendered as a director of the Company for the first quarter and second quarter of 2026. This grant of shares was approved by the Board on August 5, 2026, subject to the filing by the Company of a Registration Statement on Form S-8 registering the shares, which occurred on August 7, 2026.
F2: Represents a grant of options to purchase ordinary shares. This grant of options was approved by the Board on May 7, 2026, subject to (i) approval by the Company's shareholders, which was obtained on July 14, 2026 and (ii) the filing by the Company of a Registration Statement on Form S-8 registering the ordinary shares underlying the option grant, which occurred on August 7, 2026. The options vest over a three year period which began on February 1, 2026, with one third of the options vesting on February 1, 2027 and the remaining two-thirds vesting ratably on a quarterly basis over the remaining two-year period, subject to full acceleration upon a Change in Control (as defined in the Company's 2018 Equity Incentive Plan (the "Plan")).
F3: Represents a grant of options to purchase ordinary shares. This grant of options was approved by the Board on May 7, 2026, subject to (i) approval by the Company's shareholders, which was obtained on July 14, 2026 and (ii) the filing by the Company of a Registration Statement on Form S-8 registering the ordinary shares underlying the option grant, which occurred on August 7, 2026. The options vest on a quarterly basis over a one-year period that began on February 1, 2026, subject to full acceleration upon a Change in Control (as defined in the Plan).
Fluent, Inc.
Report date April 13, 2017 · Filed April 17, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 20,000 |
Reported balance
After 2017-04-13 transaction · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · 2017-04-13 · Grant · Acquired 20,000 · Balance 20,000 F1: On April 13, 2017, the reporting person received a grant of 20,000 restricted stock units ("RSUs"), convertible into common stock of the issuer on a one-for-one basis. The RSUs vest in three approximately equal installments on June 1, 2017, 2018 and 2019, subject to accelerated vesting under certain conditions. F2: Within 30 days of the effective grant date, the reporting person may elect to defer delivery of any vested RSUs until a later date. |
| Common StockSEC Table I · non-derivative | Direct | 5,000 |
Reported balance
After 2017-04-13 transaction · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · 2017-04-13 · Grant · Acquired 5,000 · Balance 5,000 F2: Within 30 days of the effective grant date, the reporting person may elect to defer delivery of any vested RSUs until a later date. F3: On April 13, 2017, the reporting person received a grant of 5,000 RSUs, convertible into common stock of the issuer on a one-for-one basis. The restricted stock units vest on June 1, 2017, subject to accelerated vesting under certain conditions. |
| Common StockSEC Table I · non-derivative | Direct | 100,000 |
Reported balance
Holding disclosure · report date 2017-04-13 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 100,000 F4: On November 16, 2015, the reporting person received a grant, subject to stockholder approval which was obtained June 1, 2016, of 100,000 RSUs, convertible into common stock of the issuer on a one-for-one basis. The RSUs vest in three equal annual installments beginning November 16, 2016 (the "Time Conditions") provided, however, that no tranche of RSUs will vest until it is determined that Cogint, Inc. has exceeded certain revenue targets and achieved positive EBITDA in any one fiscal year during the vesting period (the "Performance Conditions"). Cogint, Inc. determined the Performance Conditions were met effective March 14, 2017. As such, the subsequent tranches vest equally on November 16, 2017 and November 16, 2018. F5: The RSUs will immediately vest upon (i) a Change of Control, or (ii) the reporting person's death or disability. F6: The reporting person has elected to defer delivery of any vested RSUs until the reporting person's separation of service from the Company or death or disability. |
| Common StockSEC Table I · non-derivative | Direct | 213,255 |
Reported balance
Holding disclosure · report date 2017-04-13 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 213,255 |
| Common StockSEC Table I · non-derivative | Direct | 25,000 |
Reported balance
Holding disclosure · report date 2017-04-13 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 25,000 F7: Represents RSUs, convertible into common stock of the issuer on a one-for-one basis. The RSUs vest on March 21, 2018, subject to accelerated vesting under certain conditions. |
Filing footnotes · ownership attribution and instrument terms
F1: On April 13, 2017, the reporting person received a grant of 20,000 restricted stock units ("RSUs"), convertible into common stock of the issuer on a one-for-one basis. The RSUs vest in three approximately equal installments on June 1, 2017, 2018 and 2019, subject to accelerated vesting under certain conditions.
F2: Within 30 days of the effective grant date, the reporting person may elect to defer delivery of any vested RSUs until a later date.
F3: On April 13, 2017, the reporting person received a grant of 5,000 RSUs, convertible into common stock of the issuer on a one-for-one basis. The restricted stock units vest on June 1, 2017, subject to accelerated vesting under certain conditions.
F4: On November 16, 2015, the reporting person received a grant, subject to stockholder approval which was obtained June 1, 2016, of 100,000 RSUs, convertible into common stock of the issuer on a one-for-one basis. The RSUs vest in three equal annual installments beginning November 16, 2016 (the "Time Conditions") provided, however, that no tranche of RSUs will vest until it is determined that Cogint, Inc. has exceeded certain revenue targets and achieved positive EBITDA in any one fiscal year during the vesting period (the "Performance Conditions"). Cogint, Inc. determined the Performance Conditions were met effective March 14, 2017. As such, the subsequent tranches vest equally on November 16, 2017 and November 16, 2018.
F5: The RSUs will immediately vest upon (i) a Change of Control, or (ii) the reporting person's death or disability.
F6: The reporting person has elected to defer delivery of any vested RSUs until the reporting person's separation of service from the Company or death or disability.
F7: Represents RSUs, convertible into common stock of the issuer on a one-for-one basis. The RSUs vest on March 21, 2018, subject to accelerated vesting under certain conditions.
Niagen Bioscience, Inc.
Report date June 24, 2026 · Filed June 26, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.45 · Expires 2036-06-23 | Direct | 31,746 |
Reported balance
After 2026-06-24 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-06-24 · Grant · Acquired 31,746 · Balance 31,746 F1: Option vests 100% on June 24, 2027. |
Filing footnotes · ownership attribution and instrument terms
F1: Option vests 100% on June 24, 2027.
OPKO HEALTH, INC.
Report date July 24, 2026 · Filed July 28, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 6,571,966 |
Reported balance
After 2026-07-24 transaction · row 1
1 source rowRow 1 · 2026-07-24 · Tax withholding · Disposed 53,266 · Balance 6,571,966 F1: This number represents shares of common stock par value $0.01 per shares of OPKO Health, Inc. withheld to satisfy the tax withholding obligation due upon vesting of restricted stock units. |
Filing footnotes · ownership attribution and instrument terms
F1: This number represents shares of common stock par value $0.01 per shares of OPKO Health, Inc. withheld to satisfy the tax withholding obligation due upon vesting of restricted stock units.
Red Violet, Inc.
Report date June 04, 2026 · Filed June 05, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 147,767 |
Reported balance
After 2026-06-04 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2026-06-04 · Grant · Acquired 2,179 · Balance 147,767 F1: On June 4, 2026, the reporting person received a grant of 2,179 restricted stock units ("RSUs"), convertible into common stock of the issuer on a one-for-one basis, which vests on the earlier of one year from the date of grant or the 2027 annual meeting of stockholders, subject to accelerated vesting under certain conditions. F2: Includes 3,600 RSUs originally granted on November 30, 2023, convertible into common stock of the issuer on a one-for-one basis, which vests on December 1, 2026, subject to accelerated vesting under certain conditions. F3: Includes 5,333 RSUs originally granted on November 4, 2024, convertible into common stock of the issuer on a one-for-one basis, which vests in two equal installments on each of November 1, 2026 and November 1, 2027, subject to accelerated vesting under certain circumstances. F4: Includes 59,200 vested RSUs in which the reporting person has elected to defer delivery until the reporting person's separation of service from the issuer or death or disability. F5: Includes 4,450 RSUs originally granted on December 19, 2025, convertible into common stock of the issuer on a one-for-one basis, which vests in three equal installments on each of December 1, 2026, December 1, 2027, and December 1, 2028, subject to accelerated vesting under certain circumstances. |
Filing footnotes · ownership attribution and instrument terms
F1: On June 4, 2026, the reporting person received a grant of 2,179 restricted stock units ("RSUs"), convertible into common stock of the issuer on a one-for-one basis, which vests on the earlier of one year from the date of grant or the 2027 annual meeting of stockholders, subject to accelerated vesting under certain conditions.
F2: Includes 3,600 RSUs originally granted on November 30, 2023, convertible into common stock of the issuer on a one-for-one basis, which vests on December 1, 2026, subject to accelerated vesting under certain conditions.
F3: Includes 5,333 RSUs originally granted on November 4, 2024, convertible into common stock of the issuer on a one-for-one basis, which vests in two equal installments on each of November 1, 2026 and November 1, 2027, subject to accelerated vesting under certain circumstances.
F4: Includes 59,200 vested RSUs in which the reporting person has elected to defer delivery until the reporting person's separation of service from the issuer or death or disability.
F5: Includes 4,450 RSUs originally granted on December 19, 2025, convertible into common stock of the issuer on a one-for-one basis, which vests in three equal installments on each of December 1, 2026, December 1, 2027, and December 1, 2028, subject to accelerated vesting under certain circumstances.
VBI Vaccines Inc/BC
Report date June 14, 2018 · Filed June 18, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Shares, no par value per shareSEC Table I · non-derivative | Direct | 56,250 |
Reported balance
After 2018-06-14 transaction · row 1
1 source rowRow 1 · 2018-06-14 · Exercise / conversion · Acquired 18,750 · Balance 56,250 F1: Each restricted stock unit represents the right to receive, at settlement, one common share. This transaction represents the settlement of restricted stock units in common shares on their scheduled vesting date. |
| Restricted Stock Units (RSUs)SEC Table II · derivative / convertible security | Direct | 18,750 |
Reported balance
After 2018-06-14 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2018-06-14 · Exercise / conversion · Disposed 18,750 · Balance 18,750 F1: Each restricted stock unit represents the right to receive, at settlement, one common share. This transaction represents the settlement of restricted stock units in common shares on their scheduled vesting date. F2: The restricted stock units vest 1/3 per year annually over 3 years, beginning on June 14, 2017, subject to continued service through each vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: Each restricted stock unit represents the right to receive, at settlement, one common share. This transaction represents the settlement of restricted stock units in common shares on their scheduled vesting date.
F2: The restricted stock units vest 1/3 per year annually over 3 years, beginning on June 14, 2017, subject to continued service through each vesting date.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Castle Brands Inc
Report date October 08, 2019 · Filed October 09, 2019
Section 16 reporting ended · disclosed 2019-10-09. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Ending reported balance
After 2019-10-08 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2019-10-08 · Other · Disposed 108,500 · Balance 22,500 F1: On October 8, 2019, Rook Merger Sub, Inc. ("Purchaser"), a wholly owned subsidiary of Austin, Nichols & Co., Inc. ("Parent"), successfully completed the tender offer ("Tender Offer") for all issued and outstanding shares of the common stock of Castle Brands Inc. ("Issuer") pursuant to that certain Agreement and Plan of Merger, dated August 28, 2019 (the "Merger Agreement"), by and among Issuer, Parent and Purchaser. Following the Tender Offer, on October 9, 2019, Purchaser merged with and into Issuer with Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger"). In connection with the Merger, the reporting person is no longer a director of Issuer, effective on October 9, 2019. F2: Represents shares tendered to the Purchaser in connection with the Tender Offer. Row 2 · 2019-10-08 · Disposition to issuer · Disposed 22,500 · Balance 0 F1: On October 8, 2019, Rook Merger Sub, Inc. ("Purchaser"), a wholly owned subsidiary of Austin, Nichols & Co., Inc. ("Parent"), successfully completed the tender offer ("Tender Offer") for all issued and outstanding shares of the common stock of Castle Brands Inc. ("Issuer") pursuant to that certain Agreement and Plan of Merger, dated August 28, 2019 (the "Merger Agreement"), by and among Issuer, Parent and Purchaser. Following the Tender Offer, on October 9, 2019, Purchaser merged with and into Issuer with Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger"). In connection with the Merger, the reporting person is no longer a director of Issuer, effective on October 9, 2019. F3: In accordance with the terms of the Merger Agreement, the restricted stock awards held by the reporting person were deemed to be fully vested and converted at the effective time of the Merger into the right to receive a cash payment, without interest, equal to the product of (i) the aggregate number of shares of the Issuer's Common Stock in respect of such restricted stock awards multiplied by (ii) $1.27, less any taxes required to be withheld. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.29 · Expires 2020-02-04 | Direct | 0 |
Reported balance
After 2019-10-08 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2019-10-08 · Disposition to issuer · Disposed 20,000 · Balance 0 F1: On October 8, 2019, Rook Merger Sub, Inc. ("Purchaser"), a wholly owned subsidiary of Austin, Nichols & Co., Inc. ("Parent"), successfully completed the tender offer ("Tender Offer") for all issued and outstanding shares of the common stock of Castle Brands Inc. ("Issuer") pursuant to that certain Agreement and Plan of Merger, dated August 28, 2019 (the "Merger Agreement"), by and among Issuer, Parent and Purchaser. Following the Tender Offer, on October 9, 2019, Purchaser merged with and into Issuer with Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger"). In connection with the Merger, the reporting person is no longer a director of Issuer, effective on October 9, 2019. F4: In accordance with the terms of the Merger Agreement, this stock option held by the reporting person was deemed to be fully vested and cancelled and converted at the effective time of the Merger into the right to receive a cash payment, without interest, equal to the product of (i) the aggregate number of shares of the Issuer's Common Stock subject to such stock option multiplied by (ii) the excess of $1.27 over the per share exercise price of such stock option, less any taxes required to be withheld. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.27 · Expires 2021-09-12 | Direct | 0 |
Reported balance
After 2019-10-08 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2019-10-08 · Disposition to issuer · Disposed 20,000 · Balance 0 F1: On October 8, 2019, Rook Merger Sub, Inc. ("Purchaser"), a wholly owned subsidiary of Austin, Nichols & Co., Inc. ("Parent"), successfully completed the tender offer ("Tender Offer") for all issued and outstanding shares of the common stock of Castle Brands Inc. ("Issuer") pursuant to that certain Agreement and Plan of Merger, dated August 28, 2019 (the "Merger Agreement"), by and among Issuer, Parent and Purchaser. Following the Tender Offer, on October 9, 2019, Purchaser merged with and into Issuer with Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger"). In connection with the Merger, the reporting person is no longer a director of Issuer, effective on October 9, 2019. F4: In accordance with the terms of the Merger Agreement, this stock option held by the reporting person was deemed to be fully vested and cancelled and converted at the effective time of the Merger into the right to receive a cash payment, without interest, equal to the product of (i) the aggregate number of shares of the Issuer's Common Stock subject to such stock option multiplied by (ii) the excess of $1.27 over the per share exercise price of such stock option, less any taxes required to be withheld. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.29 · Expires 2022-10-15 | Direct | 0 |
Reported balance
After 2019-10-08 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2019-10-08 · Disposition to issuer · Disposed 20,000 · Balance 0 F1: On October 8, 2019, Rook Merger Sub, Inc. ("Purchaser"), a wholly owned subsidiary of Austin, Nichols & Co., Inc. ("Parent"), successfully completed the tender offer ("Tender Offer") for all issued and outstanding shares of the common stock of Castle Brands Inc. ("Issuer") pursuant to that certain Agreement and Plan of Merger, dated August 28, 2019 (the "Merger Agreement"), by and among Issuer, Parent and Purchaser. Following the Tender Offer, on October 9, 2019, Purchaser merged with and into Issuer with Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger"). In connection with the Merger, the reporting person is no longer a director of Issuer, effective on October 9, 2019. F4: In accordance with the terms of the Merger Agreement, this stock option held by the reporting person was deemed to be fully vested and cancelled and converted at the effective time of the Merger into the right to receive a cash payment, without interest, equal to the product of (i) the aggregate number of shares of the Issuer's Common Stock subject to such stock option multiplied by (ii) the excess of $1.27 over the per share exercise price of such stock option, less any taxes required to be withheld. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.07 · Expires 2024-03-05 | Direct | 0 |
Reported balance
After 2019-10-08 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2019-10-08 · Disposition to issuer · Disposed 20,000 · Balance 0 F1: On October 8, 2019, Rook Merger Sub, Inc. ("Purchaser"), a wholly owned subsidiary of Austin, Nichols & Co., Inc. ("Parent"), successfully completed the tender offer ("Tender Offer") for all issued and outstanding shares of the common stock of Castle Brands Inc. ("Issuer") pursuant to that certain Agreement and Plan of Merger, dated August 28, 2019 (the "Merger Agreement"), by and among Issuer, Parent and Purchaser. Following the Tender Offer, on October 9, 2019, Purchaser merged with and into Issuer with Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger"). In connection with the Merger, the reporting person is no longer a director of Issuer, effective on October 9, 2019. F4: In accordance with the terms of the Merger Agreement, this stock option held by the reporting person was deemed to be fully vested and cancelled and converted at the effective time of the Merger into the right to receive a cash payment, without interest, equal to the product of (i) the aggregate number of shares of the Issuer's Common Stock subject to such stock option multiplied by (ii) the excess of $1.27 over the per share exercise price of such stock option, less any taxes required to be withheld. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.46 · Expires 2025-03-26 | Direct | 0 |
Reported balance
After 2019-10-08 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2019-10-08 · Disposition to issuer · Disposed 20,000 · Balance 0 F1: On October 8, 2019, Rook Merger Sub, Inc. ("Purchaser"), a wholly owned subsidiary of Austin, Nichols & Co., Inc. ("Parent"), successfully completed the tender offer ("Tender Offer") for all issued and outstanding shares of the common stock of Castle Brands Inc. ("Issuer") pursuant to that certain Agreement and Plan of Merger, dated August 28, 2019 (the "Merger Agreement"), by and among Issuer, Parent and Purchaser. Following the Tender Offer, on October 9, 2019, Purchaser merged with and into Issuer with Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger"). In connection with the Merger, the reporting person is no longer a director of Issuer, effective on October 9, 2019. F5: In accordance with the terms of the Merger Agreement, this stock option was cancelled at the effective time of the Merger because the exercise price of the stock option exceeded $1.27 per share. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.84 · Expires 2026-03-17 | Direct | 0 |
Reported balance
After 2019-10-08 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2019-10-08 · Disposition to issuer · Disposed 20,000 · Balance 0 F1: On October 8, 2019, Rook Merger Sub, Inc. ("Purchaser"), a wholly owned subsidiary of Austin, Nichols & Co., Inc. ("Parent"), successfully completed the tender offer ("Tender Offer") for all issued and outstanding shares of the common stock of Castle Brands Inc. ("Issuer") pursuant to that certain Agreement and Plan of Merger, dated August 28, 2019 (the "Merger Agreement"), by and among Issuer, Parent and Purchaser. Following the Tender Offer, on October 9, 2019, Purchaser merged with and into Issuer with Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger"). In connection with the Merger, the reporting person is no longer a director of Issuer, effective on October 9, 2019. F4: In accordance with the terms of the Merger Agreement, this stock option held by the reporting person was deemed to be fully vested and cancelled and converted at the effective time of the Merger into the right to receive a cash payment, without interest, equal to the product of (i) the aggregate number of shares of the Issuer's Common Stock subject to such stock option multiplied by (ii) the excess of $1.27 over the per share exercise price of such stock option, less any taxes required to be withheld. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.04 · Expires 2027-02-28 | Direct | 0 |
Reported balance
After 2019-10-08 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2019-10-08 · Disposition to issuer · Disposed 20,000 · Balance 0 F1: On October 8, 2019, Rook Merger Sub, Inc. ("Purchaser"), a wholly owned subsidiary of Austin, Nichols & Co., Inc. ("Parent"), successfully completed the tender offer ("Tender Offer") for all issued and outstanding shares of the common stock of Castle Brands Inc. ("Issuer") pursuant to that certain Agreement and Plan of Merger, dated August 28, 2019 (the "Merger Agreement"), by and among Issuer, Parent and Purchaser. Following the Tender Offer, on October 9, 2019, Purchaser merged with and into Issuer with Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger"). In connection with the Merger, the reporting person is no longer a director of Issuer, effective on October 9, 2019. F4: In accordance with the terms of the Merger Agreement, this stock option held by the reporting person was deemed to be fully vested and cancelled and converted at the effective time of the Merger into the right to receive a cash payment, without interest, equal to the product of (i) the aggregate number of shares of the Issuer's Common Stock subject to such stock option multiplied by (ii) the excess of $1.27 over the per share exercise price of such stock option, less any taxes required to be withheld. |
Filing footnotes · ownership attribution and instrument terms
F1: On October 8, 2019, Rook Merger Sub, Inc. ("Purchaser"), a wholly owned subsidiary of Austin, Nichols & Co., Inc. ("Parent"), successfully completed the tender offer ("Tender Offer") for all issued and outstanding shares of the common stock of Castle Brands Inc. ("Issuer") pursuant to that certain Agreement and Plan of Merger, dated August 28, 2019 (the "Merger Agreement"), by and among Issuer, Parent and Purchaser. Following the Tender Offer, on October 9, 2019, Purchaser merged with and into Issuer with Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger"). In connection with the Merger, the reporting person is no longer a director of Issuer, effective on October 9, 2019.
F2: Represents shares tendered to the Purchaser in connection with the Tender Offer.
F3: In accordance with the terms of the Merger Agreement, the restricted stock awards held by the reporting person were deemed to be fully vested and converted at the effective time of the Merger into the right to receive a cash payment, without interest, equal to the product of (i) the aggregate number of shares of the Issuer's Common Stock in respect of such restricted stock awards multiplied by (ii) $1.27, less any taxes required to be withheld.
F4: In accordance with the terms of the Merger Agreement, this stock option held by the reporting person was deemed to be fully vested and cancelled and converted at the effective time of the Merger into the right to receive a cash payment, without interest, equal to the product of (i) the aggregate number of shares of the Issuer's Common Stock subject to such stock option multiplied by (ii) the excess of $1.27 over the per share exercise price of such stock option, less any taxes required to be withheld.
F5: In accordance with the terms of the Merger Agreement, this stock option was cancelled at the effective time of the Merger because the exercise price of the stock option exceeded $1.27 per share.
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 |
|---|---|---|---|---|---|---|
| April 12, 2017 Filed Apr 13, 2017 20:25 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | Exercise / conversionCommon Stock | 265,000 | $2.36 | $625,400.00 |
DisclosureSEC source: 0001209191-17-026862 · doc4.xml · nonDerivative · entry 1 Rubin Steven D · CIK 0001381874 · Director · Executive VP-Administration 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,840,251 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| April 06, 2017 Filed Apr 7, 2017 20:22 UTC | Niagen Bioscience, Inc. CDXC · Entity 6146 | GrantEmployee Stock Options (right to buy) · Derivative | 40,000 | $0.00 Strike: $2.58 | $0.00 |
DisclosureSEC source: 0001415889-17-000629 · form4-04072017_010420.xml · derivative · entry 1 Rubin Steven D · CIK 0001381874 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Stock · 40,000 shares Expires 2027-04-06 F1 · derivative.exercise_date: Options vest 34% on April 6, 2018, 33% on April 6, 2019 and 33% on April 6, 2020. Read SEC document |
| March 30, 2017 Filed Mar 31, 2017 20:18 UTC | VBI Vaccines Inc/BC VBIV · Entity 111039 | GrantOption (Right to Buy Common Shares) · Derivative | 12,500 | $0.00 Strike: $3.79 | $0.00 |
DisclosureSEC source: 0001493152-17-003313 · form4.xml · derivative · entry 1 Rubin Steven D · CIK 0001381874 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,500 Underlying: Common Shares · 12,500 shares Expires 2027-01-26 F1 · derivative.exercise_date: The reporting person is a participant in the Issuer's Incentive Plan (the "Plan"). The board of directors of the Issuer approved the option grant on January 26, 2017 (the "Grant Date"). The options are governed by that certain option agreement entered into by and between the Issuer and the reporting person, dated March 30, 2017 (the "Option Agreement"). The options vest and become exercisable in 48 equal monthly installments beginning on the first day of the month following the Grant Date. F2 · derivative.expiration_date: The options expire 10 years from the Grant Date unless terminated sooner in accordance with the Plan or the Option Agreement. Read SEC document |
| February 28, 2017 Filed Mar 1, 2017 17:04 UTC | Castle Brands Inc ROX · Entity 154496 | GrantStock Option (Right to Buy) · Derivative | 20,000 | $0.00 Strike: $1.04 | $0.00 |
DisclosureSEC source: 0001209191-17-015962 · doc4.xml · derivative · entry 1 Rubin Steven D · CIK 0001381874 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2027-02-28 Read SEC document |
| February 14, 2017 Filed Feb 16, 2017 23:34 UTC | Eloxx Pharmaceuticals, Inc. SVON · Entity 7180 | GrantCompany Stock Option · Derivative | 160,227 | $0.11 Strike: $0.22 | $17,624.97 |
DisclosureSEC source: 0001144204-17-009649 · v459869_form4.xml · derivative · entry 1 Rubin Steven D · CIK 0001381874 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 160,227 Underlying: Common Stock · 160,227 shares Expires 2027-02-14 F1 · shares: Such options were granted to Mr. Rubin in lieu of cash compensation under the Company's independent director compensation plan and are immediately exercisable. Read SEC document |
| February 08, 2017 Filed Feb 9, 2017 12:46 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 2,000 | $8.11 | $16,214.00 |
DisclosureSEC source: 0001209191-17-008958 · doc4.xml · nonDerivative · entry 1 Rubin Steven D · CIK 0001381874 · Director · Executive VP-Administration 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,575,251 Read SEC document |
| December 30, 2016 Filed Jan 3, 2017 12:56 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 2,000 | $9.18 | $18,352.60 |
DisclosureSEC source: 0001209191-17-000004 · doc4.xml · nonDerivative · entry 1 Rubin Steven D · CIK 0001381874 · Director · Executive VP-Administration 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,573,251 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.