Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Accustem Sciences Inc.ACMSY · Entity 8467 | Director | December 01, 2021 | December 03, 2021 |
| Cardiff Oncology, Inc.CRDF · Entity 6917 | Former Director | June 09, 2022 | June 09, 2022 |
| Hepion Pharmaceuticals, Inc.HEPA · Entity 8208 | Director · Chairman | February 19, 2024 | February 22, 2024 |
| OKYO Pharma LtdOKYO · Entity 6916 | Director | July 21, 2026 | August 07, 2026 |
| SYNERGY PHARMACEUTICALS, INC.SGYP · Entity 164269 | Director | July 04, 2018 | July 06, 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.
Accustem Sciences Inc.
Report date December 01, 2021 · Filed December 03, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.42 · Expires 2031-08-01 | Direct | Not disclosed |
Reported balance
Holding disclosure · report date 2021-12-01 · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · Balance Not disclosed F1: The holder of the option may exercise it on August 1, 2021 but must hold shares for a 12 month period post-exercise without resale. |
| Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.06 · Expires 2031-11-30 | Direct | Not disclosed |
Reported balance
Holding disclosure · report date 2021-12-01 · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · Balance Not disclosed |
Filing footnotes · ownership attribution and instrument terms
F1: The holder of the option may exercise it on August 1, 2021 but must hold shares for a 12 month period post-exercise without resale.
Cardiff Oncology, Inc.
Report date June 09, 2022 · Filed June 09, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $2.50 · Expires 2024-06-09 | Direct | 125,317 |
Reported balance
After 2022-06-09 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2022-06-09 · Other · Acquired 26,800 · Balance 125,317 F1: In connection with the Reporting Person's departure from the Board of Directors, the Compensation Committee accelerated the vesting of 26,800 stock options to June 9, 2022 from March 9, 2023. In addition, the Compensation Committee extended the expiration date of the stock options to June 9, 2024. |
| Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $7.98 · Expires 2024-06-09 | Direct | 125,317 |
Reported balance
After 2022-06-09 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2022-06-09 · Other · Acquired 22,000 · Balance 125,317 F2: In connection with the Reporting Person's departure from the Board of Directors, the Compensation Committee accelerated the vesting of 22,000 stock options to June 9, 2022 from June 10, 2022. In addition, the Compensation Committee extended the expiration date of the stock options to June 9, 2024. |
| Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $2.60 · Expires 2024-06-09 | Direct | 125,317 |
Reported balance
After 2022-06-09 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2022-06-09 · Other · Acquired 28,858 · Balance 125,317 F3: Expiration date of the stock options was extended to June 9, 2024. |
| Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $2.48 · Expires 2024-06-09 | Direct | 125,317 |
Reported balance
After 2022-06-09 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2022-06-09 · Other · Acquired 44,734 · Balance 125,317 F3: Expiration date of the stock options was extended to June 9, 2024. |
| Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $21.60 · Expires 2024-06-09 | Direct | 125,317 |
Reported balance
After 2022-06-09 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2022-06-09 · Other · Acquired 755 · Balance 125,317 F3: Expiration date of the stock options was extended to June 9, 2024. |
| Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $51.84 · Expires 2024-06-09 | Direct | 125,317 |
Reported balance
After 2022-06-09 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2022-06-09 · Other · Acquired 530 · Balance 125,317 F3: Expiration date of the stock options was extended to June 9, 2024. |
| Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $372.96 · Expires 2024-06-09 | Direct | 125,317 |
Reported balance
After 2022-06-09 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2022-06-09 · Other · Acquired 223 · Balance 125,317 F3: Expiration date of the stock options was extended to June 9, 2024. |
| Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $516.96 · Expires 2024-06-09 | Direct | 125,317 |
Reported balance
After 2022-06-09 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2022-06-09 · Other · Acquired 223 · Balance 125,317 F3: Expiration date of the stock options was extended to June 9, 2024. |
| Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $316.08 · Expires 2024-06-09 | Direct | 125,317 |
Reported balance
After 2022-06-09 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2022-06-09 · Other · Acquired 195 · Balance 125,317 F3: Expiration date of the stock options was extended to June 9, 2024. |
Filing footnotes · ownership attribution and instrument terms
F1: In connection with the Reporting Person's departure from the Board of Directors, the Compensation Committee accelerated the vesting of 26,800 stock options to June 9, 2022 from March 9, 2023. In addition, the Compensation Committee extended the expiration date of the stock options to June 9, 2024.
F2: In connection with the Reporting Person's departure from the Board of Directors, the Compensation Committee accelerated the vesting of 22,000 stock options to June 9, 2022 from June 10, 2022. In addition, the Compensation Committee extended the expiration date of the stock options to June 9, 2024.
F3: Expiration date of the stock options was extended to June 9, 2024.
Hepion Pharmaceuticals, Inc.
Report date February 19, 2024 · Filed February 22, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $2.56 · Expires 2034-02-19 | Direct | 99,563 |
Reported balance
After 2024-02-19 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2024-02-19 · Grant · Acquired 85,000 · Balance 99,563 |
OKYO Pharma Ltd
Report date July 21, 2026 · Filed August 07, 2026 · Amendment
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| COMMON STOCKSEC Table I · non-derivative | Direct | 35,201 |
Reported balance
After 2026-07-21 transaction · row 1
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 1 · 2026-07-21 · Purchase · Acquired 5,000 · Balance 35,201 |
SYNERGY PHARMACEUTICALS, INC.
Report date July 04, 2018 · Filed July 06, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 116,571 |
Ending reported balance
After 2018-07-04 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2018-07-04 · Exercise / conversion · Acquired 50,023 · Balance 130,467 Row 2 · 2018-07-04 · Tax withholding · Disposed 13,896 · Balance 116,571 F1: Represents the number of shares forfeited to the Company in payment of the exercise price of the stock options. |
| Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $0.50 · Expires 2018-07-09 | Direct | 506,173 |
Reported balance
After 2018-07-04 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2018-07-04 · Exercise / conversion · Disposed 50,023 · Balance 506,173 F2: Options became exercisable on 7/9/2009 and 7/9/2010. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents the number of shares forfeited to the Company in payment of the exercise price of the stock options.
F2: Options became exercisable on 7/9/2009 and 7/9/2010.
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 |
|---|---|---|---|---|---|---|
| July 21, 2026 Filed Jul 23, 2026 20:15 UTC | OKYO Pharma Ltd OKYO · Entity 6916 | GrantCOMMON STOCK | 5,000 | $1.48 | $7,385.00 |
DisclosureSEC source: 0001493152-26-034405 · ownership.xml · nonDerivative · entry 1 BRANCACCIO JOHN P · CIK 0001276551 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 35,201 Read SEC document |
| July 21, 2026 Filed Aug 7, 2026 20:15 UTC Amendment | OKYO Pharma Ltd OKYO · Entity 6916 | PurchaseCOMMON STOCK | 5,000 | $1.48 | $7,385.00 |
DisclosureSEC source: 0001493152-26-036585 · ownership.xml · nonDerivative · entry 1 BRANCACCIO JOHN P · CIK 0001276551 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 35,201 Read SEC document |
| June 08, 2026 Filed Jun 10, 2026 21:00 UTC | OKYO Pharma Ltd OKYO · Entity 6916 | GrantOption · Derivative | 6,500 | $1.85 Strike: $1.85 | $12,025.00 |
DisclosureSEC source: 0001493152-26-028133 · ownership.xml · derivative · entry 1 BRANCACCIO JOHN P · CIK 0001276551 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 138,394 Underlying: Common Shares · 6,500 shares Expires 2036-06-08 Read SEC document |
| February 19, 2024 Filed Feb 22, 2024 01:01 UTC | Hepion Pharmaceuticals, Inc. HEPA · Entity 8208 | GrantStock Options · Derivative | 85,000 | $0.00 Strike: $2.56 | $0.00 |
DisclosureSEC source: 0001493152-24-007463 · ownership.xml · derivative · entry 1 BRANCACCIO JOHN P · CIK 0001276551 · Director · Chairman 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 99,563 Underlying: Common Stock · 85,000 shares Expires 2034-02-19 Read SEC document |
| September 15, 2023 Filed Sep 28, 2023 10:15 UTC | OKYO Pharma Ltd OKYO · Entity 6916 | PurchaseOrdinary Shares | 16,670 | $1.50 | $25,005.00 |
DisclosureSEC source: 0001493152-23-034486 · ownership.xml · nonDerivative · entry 1 BRANCACCIO JOHN P · CIK 0001276551 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 16,670 Read SEC document |
| June 09, 2022 Filed Jun 9, 2022 23:48 UTC | Cardiff Oncology, Inc. CRDF · Entity 6917 | OtherStock Options · Derivative | 195 | $0.00 Strike: $316.08 | $0.00 |
DisclosureSEC source: 0001628280-22-016731 · wf-form4_165481851971252.xml · derivative · entry 9 BRANCACCIO JOHN P · CIK 0001276551 · Former Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 125,317 Underlying: Common Stock · 195 shares Expires 2024-06-09 F3 · kind: Expiration date of the stock options was extended to June 9, 2024. Read SEC document |
| June 09, 2022 Filed Jun 9, 2022 23:48 UTC | Cardiff Oncology, Inc. CRDF · Entity 6917 | OtherStock Options · Derivative | 223 | $0.00 Strike: $516.96 | $0.00 |
DisclosureSEC source: 0001628280-22-016731 · wf-form4_165481851971252.xml · derivative · entry 8 BRANCACCIO JOHN P · CIK 0001276551 · Former Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 125,317 Underlying: Common Stock · 223 shares Expires 2024-06-09 F3 · kind: Expiration date of the stock options was extended to June 9, 2024. Read SEC document |
| June 09, 2022 Filed Jun 9, 2022 23:48 UTC | Cardiff Oncology, Inc. CRDF · Entity 6917 | OtherStock Options · Derivative | 223 | $0.00 Strike: $372.96 | $0.00 |
DisclosureSEC source: 0001628280-22-016731 · wf-form4_165481851971252.xml · derivative · entry 7 BRANCACCIO JOHN P · CIK 0001276551 · Former Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 125,317 Underlying: Common Stock · 223 shares Expires 2024-06-09 F3 · kind: Expiration date of the stock options was extended to June 9, 2024. Read SEC document |
| June 09, 2022 Filed Jun 9, 2022 23:48 UTC | Cardiff Oncology, Inc. CRDF · Entity 6917 | OtherStock Options · Derivative | 530 | $0.00 Strike: $51.84 | $0.00 |
DisclosureSEC source: 0001628280-22-016731 · wf-form4_165481851971252.xml · derivative · entry 6 BRANCACCIO JOHN P · CIK 0001276551 · Former Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 125,317 Underlying: Common Stock · 530 shares Expires 2024-06-09 F3 · kind: Expiration date of the stock options was extended to June 9, 2024. Read SEC document |
| June 09, 2022 Filed Jun 9, 2022 23:48 UTC | Cardiff Oncology, Inc. CRDF · Entity 6917 | OtherStock Options · Derivative | 755 | $0.00 Strike: $21.60 | $0.00 |
DisclosureSEC source: 0001628280-22-016731 · wf-form4_165481851971252.xml · derivative · entry 5 BRANCACCIO JOHN P · CIK 0001276551 · Former Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 125,317 Underlying: Common Stock · 755 shares Expires 2024-06-09 F3 · kind: Expiration date of the stock options was extended to June 9, 2024. Read SEC document |
| June 09, 2022 Filed Jun 9, 2022 23:48 UTC | Cardiff Oncology, Inc. CRDF · Entity 6917 | OtherStock Options · Derivative | 44,734 | $0.00 Strike: $2.48 | $0.00 |
DisclosureSEC source: 0001628280-22-016731 · wf-form4_165481851971252.xml · derivative · entry 4 BRANCACCIO JOHN P · CIK 0001276551 · Former Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 125,317 Underlying: Common Stock · 44,734 shares Expires 2024-06-09 F3 · kind: Expiration date of the stock options was extended to June 9, 2024. Read SEC document |
| June 09, 2022 Filed Jun 9, 2022 23:48 UTC | Cardiff Oncology, Inc. CRDF · Entity 6917 | OtherStock Options · Derivative | 28,858 | $0.00 Strike: $2.60 | $0.00 |
DisclosureSEC source: 0001628280-22-016731 · wf-form4_165481851971252.xml · derivative · entry 3 BRANCACCIO JOHN P · CIK 0001276551 · Former Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 125,317 Underlying: Common Stock · 28,858 shares Expires 2024-06-09 F3 · kind: Expiration date of the stock options was extended to June 9, 2024. Read SEC document |
| June 09, 2022 Filed Jun 9, 2022 23:48 UTC | Cardiff Oncology, Inc. CRDF · Entity 6917 | OtherStock Options · Derivative | 22,000 | $0.00 Strike: $7.98 | $0.00 |
DisclosureSEC source: 0001628280-22-016731 · wf-form4_165481851971252.xml · derivative · entry 2 BRANCACCIO JOHN P · CIK 0001276551 · Former Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 125,317 Underlying: Common Stock · 22,000 shares Expires 2024-06-09 F2 · kind: In connection with the Reporting Person's departure from the Board of Directors, the Compensation Committee accelerated the vesting of 22,000 stock options to June 9, 2022 from June 10, 2022. In addition, the Compensation Committee extended the expiration date of the stock options to June 9, 2024. Read SEC document |
| June 09, 2022 Filed Jun 9, 2022 23:48 UTC | Cardiff Oncology, Inc. CRDF · Entity 6917 | OtherStock Options · Derivative | 26,800 | $0.00 Strike: $2.50 | $0.00 |
DisclosureSEC source: 0001628280-22-016731 · wf-form4_165481851971252.xml · derivative · entry 1 BRANCACCIO JOHN P · CIK 0001276551 · Former Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 125,317 Underlying: Common Stock · 26,800 shares Expires 2024-06-09 F1 · kind: In connection with the Reporting Person's departure from the Board of Directors, the Compensation Committee accelerated the vesting of 26,800 stock options to June 9, 2022 from March 9, 2023. In addition, the Compensation Committee extended the expiration date of the stock options to June 9, 2024. Read SEC document |
| March 09, 2022 Filed Mar 10, 2022 23:38 UTC | Cardiff Oncology, Inc. CRDF · Entity 6917 | GrantStock Options · Derivative | 26,800 | $0.00 Strike: $2.50 | $0.00 |
DisclosureSEC source: 0001628280-22-005789 · wf-form4_164695550374678.xml · derivative · entry 1 BRANCACCIO JOHN P · CIK 0001276551 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 125,317 Underlying: Common Stock · 26,800 shares Expires 2032-03-09 Read SEC document |
| June 10, 2021 Filed Jun 14, 2021 20:11 UTC | Cardiff Oncology, Inc. CRDF · Entity 6917 | GrantStock Options · Derivative | 22,000 | $0.00 Strike: $7.98 | $0.00 |
DisclosureSEC source: 0001628280-21-012171 · wf-form4_162370147280131.xml · derivative · entry 1 BRANCACCIO JOHN P · CIK 0001276551 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 98,517 Underlying: Common Stock · 22,000 shares Expires 2031-06-10 Read SEC document |
| May 18, 2021 Filed May 20, 2021 20:34 UTC | Hepion Pharmaceuticals, Inc. HEPA · Entity 8208 | GrantStock Options · Derivative | 200,000 | $0.00 Strike: $1.70 | $0.00 |
DisclosureSEC source: 0001104659-21-069936 · tm2117144d3_4seq1.xml · derivative · entry 1 BRANCACCIO JOHN P · CIK 0001276551 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 291,332 Underlying: Common Stock · 200,000 shares Expires 2031-05-18 F1 · security: Stock Options have been granted subject to stockholder approval of an increase in the shares of common stock issuable pursuant to the 2013 Equity Incentive Plan. Read SEC document |
| March 22, 2021 Filed Mar 22, 2021 22:35 UTC | Cardiff Oncology, Inc. CRDF · Entity 6917 | PurchaseCommon Stock | 3,000 | $10.95 | $32,850.00 |
DisclosureSEC source: 0001628280-21-005297 · wf-form4_161645252417136.xml · nonDerivative · entry 1 BRANCACCIO JOHN P · CIK 0001276551 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,260 Read SEC document |
| December 02, 2020 Filed Dec 2, 2020 23:05 UTC | Hepion Pharmaceuticals, Inc. HEPA · Entity 8208 | PurchaseCommon Stock | 7,000 | $1.53 | $10,710.00 |
DisclosureSEC source: 0001104659-20-131656 · a4.xml · nonDerivative · entry 1 BRANCACCIO JOHN P · CIK 0001276551 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,008 Read SEC document |
| August 19, 2020 Filed Aug 21, 2020 20:16 UTC | Hepion Pharmaceuticals, Inc. HEPA · Entity 8208 | GrantStock Options · Derivative | 30,000 | $0.00 Strike: $3.72 | $0.00 |
DisclosureSEC source: 0001104659-20-097596 · a4.xml · derivative · entry 1 BRANCACCIO JOHN P · CIK 0001276551 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 91,332 Underlying: Common Stock · 30,000 shares Expires 2030-08-19 Read SEC document |
| June 17, 2020 Filed Jun 19, 2020 20:16 UTC | Cardiff Oncology, Inc. CRDF · Entity 6917 | GrantStock Options · Derivative | 28,858 | $0.00 Strike: $2.60 | $0.00 |
DisclosureSEC source: 0001104659-20-075238 · a4.xml · derivative · entry 1 BRANCACCIO JOHN P · CIK 0001276551 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 76,517 Underlying: Common Stock · 28,858 shares Expires 2030-06-17 Read SEC document |
| May 14, 2020 Filed May 18, 2020 20:16 UTC | Cardiff Oncology, Inc. CRDF · Entity 6917 | PurchaseCommon Stock | 6,993 | $1.43 | $9,999.99 |
DisclosureSEC source: 0001104659-20-063179 · a4.xml · nonDerivative · entry 1 BRANCACCIO JOHN P · CIK 0001276551 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,260 Read SEC document |
| April 03, 2020 Filed Apr 7, 2020 20:14 UTC | Hepion Pharmaceuticals, Inc. HEPA · Entity 8208 | GrantStock Options · Derivative | 60,000 | $0.00 Strike: $1.63 | $0.00 |
DisclosureSEC source: 0001104659-20-044171 · a4.xml · derivative · entry 1 BRANCACCIO JOHN P · CIK 0001276551 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,275 Underlying: Common Stock · 60,000 shares Expires 2030-04-03 Read SEC document |
| July 24, 2019 Filed Jul 25, 2019 20:16 UTC | Hepion Pharmaceuticals, Inc. HEPA · Entity 8208 | GrantStock Options · Derivative | 970 | $0.00 Strike: $3.24 | $0.00 |
DisclosureSEC source: 0001104659-19-041849 · a4.xml · derivative · entry 1 BRANCACCIO JOHN P · CIK 0001276551 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,275 Underlying: Common Stock · 970 shares Expires 2029-07-24 Read SEC document |
| June 20, 2019 Filed Jun 24, 2019 20:05 UTC | Cardiff Oncology, Inc. TROV · Entity 6917 | GrantStock Options · Derivative | 44,734 | $0.00 Strike: $2.48 | $0.00 |
DisclosureSEC source: 0000899243-19-017915 · doc4.xml · derivative · entry 1 BRANCACCIO JOHN P · CIK 0001276551 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,806 Underlying: Common Stock · 44,734 shares Expires 2029-06-20 Read SEC document |
| July 04, 2018 Filed Jul 6, 2018 20:31 UTC | SYNERGY PHARMACEUTICALS, INC. SGYP · Entity 164269 | Exercise / conversionStock Options · Derivative | 50,023 | $0.00 Strike: $0.50 | $0.00 |
DisclosureSEC source: 0001104659-18-044167 · a4.xml · derivative · entry 3 BRANCACCIO JOHN P · CIK 0001276551 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 506,173 Underlying: Common Stock · 50,023 shares Expires 2018-07-09 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: Options became exercisable on 7/9/2009 and 7/9/2010. Read SEC document |
| July 04, 2018 Filed Jul 6, 2018 20:31 UTC | SYNERGY PHARMACEUTICALS, INC. SGYP · Entity 164269 | Tax withholdingCommon Stock | 13,896 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-18-044167 · a4.xml · nonDerivative · entry 2 BRANCACCIO JOHN P · CIK 0001276551 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 116,571 F1 · shares: Represents the number of shares forfeited to the Company in payment of the exercise price of the stock options. Read SEC document |
| July 04, 2018 Filed Jul 6, 2018 20:31 UTC | SYNERGY PHARMACEUTICALS, INC. SGYP · Entity 164269 | Exercise / conversionCommon Stock | 50,023 | $0.50 | $25,011.50 |
DisclosureSEC source: 0001104659-18-044167 · a4.xml · nonDerivative · entry 1 BRANCACCIO JOHN P · CIK 0001276551 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 130,467 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 |
| July 03, 2018 Filed Jul 3, 2018 18:16 UTC | Hepion Pharmaceuticals, Inc. CTRV · Entity 8208 | PurchaseWarrants · Derivative | 1,725 | $1,000.00 Strike: $1.55 | $1,725,000.00 |
DisclosureSEC source: 0001104659-18-043792 · a4.xml · derivative · entry 2 BRANCACCIO JOHN P · CIK 0001276551 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,725 Underlying: Common Stock · 1,725 shares Expires 2023-07-03 F3 · price: Shares of Series C Convertible Preferred Stock and Warrants were issued as part of a unit, with each unit consisting of one share of Series C Convertible Preferred Stock and 575 Warrants Read SEC document |
| July 03, 2018 Filed Jul 3, 2018 18:16 UTC | Hepion Pharmaceuticals, Inc. CTRV · Entity 8208 | PurchaseSeries C Convertible Preferred Stock · Derivative | 3 | $1,000.00 Strike: $1.55 | $3,000.00 |
DisclosureSEC source: 0001104659-18-043792 · a4.xml · derivative · entry 1 BRANCACCIO JOHN P · CIK 0001276551 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3 Underlying: Common Stock · 1,936 shares Expires not disclosed F1 · derivative.exercise_price: Each share of Series C Convertible Preferred Stock is convertible into the number of shares of Common Stock equal to the stated value of $1,000 divided by $1.55. F3 · price: Shares of Series C Convertible Preferred Stock and Warrants were issued as part of a unit, with each unit consisting of one share of Series C Convertible Preferred Stock and 575 Warrants F2 · derivative.expiration_date: Shares of Series C Convertible Preferred Stock do not expire. Read SEC document |
| June 16, 2018 Filed Jun 19, 2018 20:30 UTC | SYNERGY PHARMACEUTICALS, INC. SGYP · Entity 164269 | GrantStock Options · Derivative | 114,750 | $0.00 Strike: $1.80 | $0.00 |
DisclosureSEC source: 0001104659-18-041061 · a4.xml · derivative · entry 1 BRANCACCIO JOHN P · CIK 0001276551 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 556,196 Underlying: Common Stock · 114,750 shares Expires 2028-06-16 F1 · shares: Represents the annual grant of stock options to each outside independent board member of the issuer. Read SEC document |
| June 08, 2018 Filed Jun 11, 2018 10:03 UTC | Cardiff Oncology, Inc. TROV · Entity 6917 | PurchaseCommon Stock | 10,000 | $0.80 | $8,000.00 |
DisclosureSEC source: 0000899243-18-015836 · doc4.xml · nonDerivative · entry 1 BRANCACCIO JOHN P · CIK 0001276551 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,167 Read SEC document |
| June 08, 2018 Filed Jun 14, 2018 00:40 UTC Amendment | Cardiff Oncology, Inc. TROV · Entity 6917 | PurchaseCommon Stock | 10,000 | $0.80 | $8,000.00 |
DisclosureSEC source: 0000899243-18-016465 · doc4a.xml · nonDerivative · entry 1 BRANCACCIO JOHN P · CIK 0001276551 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,598 Read SEC document |
| April 02, 2018 Filed Apr 2, 2018 21:00 UTC | SYNERGY PHARMACEUTICALS, INC. SGYP · Entity 164269 | Exercise / conversionStock Options · Derivative | 50,000 | $0.00 Strike: $0.50 | $0.00 |
DisclosureSEC source: 0001104659-18-021838 · a4.xml · derivative · entry 2 BRANCACCIO JOHN P · CIK 0001276551 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 441,446 Underlying: Common Stock · 50,000 shares Expires 2018-07-09 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_date: Options became exercisable on 7/9/2009 and 7/9/2010. Read SEC document |
| April 02, 2018 Filed Apr 2, 2018 21:00 UTC | SYNERGY PHARMACEUTICALS, INC. SGYP · Entity 164269 | Exercise / conversionCommon Stock | 50,000 | $0.50 | $25,000.00 |
DisclosureSEC source: 0001104659-18-021838 · a4.xml · nonDerivative · entry 1 BRANCACCIO JOHN P · CIK 0001276551 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 76,944 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 |
| January 23, 2018 Filed Jan 25, 2018 22:05 UTC | Cardiff Oncology, Inc. TROV · Entity 6917 | GrantStock Options · Derivative | 54,322 | $0.00 Strike: $0.30 | $0.00 |
DisclosureSEC source: 0000899243-18-001907 · doc4.xml · derivative · entry 1 BRANCACCIO JOHN P · CIK 0001276551 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 246,130 Underlying: Common Stock · 54,322 shares Expires 2028-01-23 Read SEC document |
| January 02, 2018 Filed Jan 4, 2018 22:18 UTC | Cardiff Oncology, Inc. TROV · Entity 6917 | Exercise / conversionRestricted Stock Units · Derivative | 16,667 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-000491 · doc4.xml · derivative · entry 2 BRANCACCIO JOHN P · CIK 0001276551 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 16,667 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: Each restricted stock unit is the economic equivalent of one share of Trovagene, Inc. common stock. F3 · derivative.exercise_date: On January 2, 2017, the reporting person was granted 16,667 restricted stock units, all of which vested on January 2, 2018. The common stock into which such vested restricted stock units converted on January 2, 2018 is reported in Table I on this Form 4. F3 · derivative.expiration_date: On January 2, 2017, the reporting person was granted 16,667 restricted stock units, all of which vested on January 2, 2018. The common stock into which such vested restricted stock units converted on January 2, 2018 is reported in Table I on this Form 4. Read SEC document |
| January 02, 2018 Filed Jan 4, 2018 22:18 UTC | Cardiff Oncology, Inc. TROV · Entity 6917 | Exercise / conversionCommon Stock | 16,667 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-000491 · doc4.xml · nonDerivative · entry 1 BRANCACCIO JOHN P · CIK 0001276551 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,167 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Represents the conversion upon vesting of restricted stock units into common stock (the "Converted Common Stock"). On January 2, 2017, the reporting person was granted 16,667 restricted stock units, all of which vested on January 2, 2018. Such restricted stock units were previously reported in Table II on a Form 4 filed with the Securities and Exchange Commission on January 5, 2017. Read SEC document |
| October 04, 2017 Filed Oct 5, 2017 20:18 UTC | Cardiff Oncology, Inc. TROV · Entity 6917 | GrantStock Options · Derivative | 38,106 | $0.00 Strike: $0.72 | $0.00 |
DisclosureSEC source: 0001104659-17-061152 · a4.xml · derivative · entry 1 BRANCACCIO JOHN P · CIK 0001276551 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 191,808 Underlying: Common Stock · 38,106 shares Expires 2027-10-04 Read SEC document |
| September 02, 2017 Filed Sep 7, 2017 00:41 UTC | Cardiff Oncology, Inc. TROV · Entity 6917 | Exercise / conversionRestricted Stock Units · Derivative | 12,667 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-17-055890 · a4.xml · derivative · entry 2 BRANCACCIO JOHN P · CIK 0001276551 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,667 Underlying: Common Stock · 12,667 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: Each restricted stock unit is the economic equivalent of one share of Trovagene, Inc. common stock. F3 · derivative.exercise_date: On January 2, 2017, the reporting person was granted 12,667 restricted stock units, all of which vested on September 2, 2017. The common stock into which such vested restricted stock units converted on September 2, 2017 is reported in Table I on this Form 4. F3 · derivative.expiration_date: On January 2, 2017, the reporting person was granted 12,667 restricted stock units, all of which vested on September 2, 2017. The common stock into which such vested restricted stock units converted on September 2, 2017 is reported in Table I on this Form 4. Read SEC document |
| September 02, 2017 Filed Sep 7, 2017 00:41 UTC | Cardiff Oncology, Inc. TROV · Entity 6917 | Exercise / conversionCommon Stock | 12,667 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-17-055890 · a4.xml · nonDerivative · entry 1 BRANCACCIO JOHN P · CIK 0001276551 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,500 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Represents the conversion upon vesting of restricted stock units into common stock (the "Converted Common Stock"). On January 2, 2017, the reporting person was granted 12,667 restricted stock units, all of which vested on September 2, 2017. Such restricted stock units were previously reported in Table II on a Form 4 filed with the Securities and Exchange Commission on January 5, 2017. Read SEC document |
| June 28, 2017 Filed Jun 30, 2017 21:08 UTC | SYNERGY PHARMACEUTICALS, INC. SGYP · Entity 164269 | GrantStock Options · Derivative | 14,000 | $0.00 Strike: $1.40 | $0.00 |
DisclosureSEC source: 0001104659-17-043010 · a4.xml · derivative · entry 3 BRANCACCIO JOHN P · CIK 0001276551 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 481,372 Underlying: Common Stock · 14,000 shares Expires 2019-11-20 F1 · shares: The reported transactions with this same footnote involved an amendment of an outstanding option, resulting in the deemed cancellation of the old option and the grant of a replacement option. The old option was originally granted on November 20, 2009. The vesting schedule of the old option was reported on a Form 3 filed by the reporting person on August 3, 2011. Read SEC document |
| June 28, 2017 Filed Jun 30, 2017 21:08 UTC | SYNERGY PHARMACEUTICALS, INC. SGYP · Entity 164269 | Disposition to issuerStock Options · Derivative | 14,000 | $0.00 Strike: $1.40 | $0.00 |
DisclosureSEC source: 0001104659-17-043010 · a4.xml · derivative · entry 2 BRANCACCIO JOHN P · CIK 0001276551 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 467,372 Underlying: Common Stock · 14,000 shares Expires 2019-11-20 F1 · shares: The reported transactions with this same footnote involved an amendment of an outstanding option, resulting in the deemed cancellation of the old option and the grant of a replacement option. The old option was originally granted on November 20, 2009. The vesting schedule of the old option was reported on a Form 3 filed by the reporting person on August 3, 2011. F1 · derivative.exercise_date: The reported transactions with this same footnote involved an amendment of an outstanding option, resulting in the deemed cancellation of the old option and the grant of a replacement option. The old option was originally granted on November 20, 2009. The vesting schedule of the old option was reported on a Form 3 filed by the reporting person on August 3, 2011. Read SEC document |
| June 28, 2017 Filed Jun 30, 2017 21:08 UTC | SYNERGY PHARMACEUTICALS, INC. SGYP · Entity 164269 | GrantStock Options · Derivative | 62,500 | $0.00 Strike: $4.50 | $0.00 |
DisclosureSEC source: 0001104659-17-043010 · a4.xml · derivative · entry 1 BRANCACCIO JOHN P · CIK 0001276551 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 481,372 Underlying: Common Stock · 62,500 shares Expires 2027-06-28 Read SEC document |
| May 26, 2017 Filed May 30, 2017 11:56 UTC | SYNERGY PHARMACEUTICALS, INC. SGYP · Entity 164269 | PurchaseCommon Stock | 6,500 | $3.59 | $23,335.00 |
DisclosureSEC source: 0001104659-17-035885 · a4.xml · nonDerivative · entry 1 BRANCACCIO JOHN P · CIK 0001276551 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,444 Read SEC document |
| January 02, 2017 Filed Jan 4, 2017 22:00 UTC | Cardiff Oncology, Inc. TROV · Entity 6917 | GrantRestricted Stock Units · Derivative | 16,667 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-17-000627 · a4.xml · derivative · entry 1 BRANCACCIO JOHN P · CIK 0001276551 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,667 Underlying: Common Stock · 16,667 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit is the economic equivalent of one share of Trovagene, Inc. common stock. F2 · derivative.exercise_date: The RSUs shall vest on January 2, 2018. F2 · derivative.expiration_date: The RSUs shall vest on January 2, 2018. Read SEC document |
| January 02, 2017 Filed Jan 5, 2017 21:57 UTC Amendment | Cardiff Oncology, Inc. TROV · Entity 6917 | GrantRestricted Stock Units · Derivative | 12,667 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-17-000962 · a4a.xml · derivative · entry 2 BRANCACCIO JOHN P · CIK 0001276551 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,334 Underlying: Common Stock · 12,667 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit is the economic equivalent of one share of Trovagene, Inc. common stock. F3 · derivative.exercise_date: The RSUs shall vest on September 2, 2017. F3 · derivative.expiration_date: The RSUs shall vest on September 2, 2017. Read SEC document |
| January 02, 2017 Filed Jan 5, 2017 21:57 UTC Amendment | Cardiff Oncology, Inc. TROV · Entity 6917 | GrantRestricted Stock Units · Derivative | 16,667 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-17-000962 · a4a.xml · derivative · entry 1 BRANCACCIO JOHN P · CIK 0001276551 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,667 Underlying: Common Stock · 16,667 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit is the economic equivalent of one share of Trovagene, Inc. common stock. F2 · derivative.exercise_date: The RSUs shall vest on January 2, 2018. F2 · derivative.expiration_date: The RSUs shall vest on January 2, 2018. Read SEC document |
| September 19, 2016 Filed Sep 21, 2016 20:31 UTC | SYNERGY PHARMACEUTICALS, INC. SGYP · Entity 164269 | Exercise / conversionStock Options · Derivative | 1,079 | $0.00 Strike: $4.28 | $0.00 |
DisclosureSEC source: 0001104659-16-145907 · a4.xml · derivative · entry 5 BRANCACCIO JOHN P · CIK 0001276551 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 418,872 Underlying: Common Stock · 1,079 shares Expires 2016-10-12 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_date: Fully vested. Read SEC document |
| September 19, 2016 Filed Sep 21, 2016 20:31 UTC | SYNERGY PHARMACEUTICALS, INC. SGYP · Entity 164269 | Exercise / conversionStock Options · Derivative | 1,439 | $0.00 Strike: $4.61 | $0.00 |
DisclosureSEC source: 0001104659-16-145907 · a4.xml · derivative · entry 4 BRANCACCIO JOHN P · CIK 0001276551 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 419,951 Underlying: Common Stock · 1,439 shares Expires 2016-10-19 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_date: Fully vested. 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.