Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Cardiff Oncology, Inc.CRDF · Entity 6917 | Former Director | June 10, 2021 | June 15, 2021 |
| Hepion Pharmaceuticals, Inc.HEPA · Entity 8208 | Director | February 19, 2024 | February 22, 2024 |
| OKYO Pharma LtdOKYO · Entity 6916 | Director · CHIEF DEVELOPMENT OFFICER | July 21, 2026 | August 07, 2026 |
| SYNERGY PHARMACEUTICALS, INC.SGYP · Entity 164269 | Director · Executive Chairman | June 15, 2018 | June 18, 2018 |
| Virpax Pharmaceuticals, Inc.VRPX · Entity 84306 | Director | January 01, 2022 | January 05, 2022 |
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.
Cardiff Oncology, Inc.
Report date June 10, 2021 · Filed June 15, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $2.60 · Expires 2023-06-10 | Direct | 76,106 |
Reported balance
After 2021-06-10 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2021-06-10 · Other · Acquired 28,858 · Balance 76,106 F1: In connection with the Reporting Person's departure from the Board of Directors, the Compensation Committee accelerated the vesting of 28,858 stock options to June 10, 2021 from June 17, 2021. In addition, the Compensation Committee extended the expiration date of the stock options to June 10, 2023. |
| Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $447.84 · Expires 2023-06-10 | Direct | 76,106 |
Reported balance
After 2021-06-10 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2021-06-10 · Other · Acquired 293 · Balance 76,106 F2: Expiration date of the stock options was extended to June 10, 2023. F3: 8,805 of the stock options vest immediately. 4,077 of the stock options vest on each of 2/25/2015 and 2016 and 4,076 of the stock options vest on 2/25/2017. |
| Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $316.08 · Expires 2023-06-10 | Direct | 76,106 |
Reported balance
After 2021-06-10 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2021-06-10 · Other · Acquired 218 · Balance 76,106 F2: Expiration date of the stock options was extended to June 10, 2023. |
| Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $516.96 · Expires 2023-06-10 | Direct | 76,106 |
Reported balance
After 2021-06-10 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2021-06-10 · Other · Acquired 223 · Balance 76,106 F2: Expiration date of the stock options was extended to June 10, 2023. |
| Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $372.96 · Expires 2023-06-10 | Direct | 76,106 |
Reported balance
After 2021-06-10 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2021-06-10 · Other · Acquired 223 · Balance 76,106 F2: Expiration date of the stock options was extended to June 10, 2023. |
| Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $51.84 · Expires 2023-06-10 | Direct | 76,106 |
Reported balance
After 2021-06-10 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2021-06-10 · Other · Acquired 530 · Balance 76,106 F2: Expiration date of the stock options was extended to June 10, 2023. |
| Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $21.60 · Expires 2023-06-10 | Direct | 76,106 |
Reported balance
After 2021-06-10 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2021-06-10 · Other · Acquired 755 · Balance 76,106 F2: Expiration date of the stock options was extended to June 10, 2023. |
| Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $2.48 · Expires 2023-06-10 | Direct | 76,106 |
Reported balance
After 2021-06-10 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2021-06-10 · Other · Acquired 44,734 · Balance 76,106 F2: Expiration date of the stock options was extended to June 10, 2023. |
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 28,858 stock options to June 10, 2021 from June 17, 2021. In addition, the Compensation Committee extended the expiration date of the stock options to June 10, 2023.
F2: Expiration date of the stock options was extended to June 10, 2023.
F3: 8,805 of the stock options vest immediately. 4,077 of the stock options vest on each of 2/25/2015 and 2016 and 4,076 of the stock options vest on 2/25/2017.
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 2026-02-19 | Direct | 102,120 |
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 102,120 |
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 | 112,420 |
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 3,500 · Balance 112,420 |
SYNERGY PHARMACEUTICALS, INC.
Report date June 15, 2018 · Filed June 18, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 595,460 |
Ending reported balance
After 2018-06-15 transaction · row 3
3 source rows · reconciled sequenceRow 1 · 2018-06-15 · Exercise / conversion · Acquired 474,961 · Balance 877,640 Row 2 · 2018-06-15 · Tax withholding · Disposed 131,934 · Balance 745,706 F1: Represents the number of shares forfeited to the Company in payment of the exercise price of the stock options. Row 3 · 2018-06-15 · Tax withholding · Disposed 150,246 · Balance 595,460 F2: The reporting person is reporting the withholding by Synergy Pharmaceuticals Inc. of 150,246 shares of common stock to satisfy the reporting person's tax withholding obligations in connection with the exercise of the stock options on June 15, 2018. |
| Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $0.50 · Expires 2018-07-03 | Direct | 6,513,342 |
Reported balance
After 2018-06-15 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2018-06-15 · Exercise / conversion · Disposed 474,961 · Balance 6,513,342 F3: 158,320 options vested on 7/3/2009 and 7/3/2010 and 158,321 vested on 7/3/2011 |
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: The reporting person is reporting the withholding by Synergy Pharmaceuticals Inc. of 150,246 shares of common stock to satisfy the reporting person's tax withholding obligations in connection with the exercise of the stock options on June 15, 2018.
F3: 158,320 options vested on 7/3/2009 and 7/3/2010 and 158,321 vested on 7/3/2011
Virpax Pharmaceuticals, Inc.
Report date January 01, 2022 · Filed January 05, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.43 · Expires 2032-01-01 | Direct | 12,091 |
Reported balance
After 2022-01-01 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2022-01-01 · Grant · Acquired 12,091 · Balance 12,091 |
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 | 3,500 | $1.40 | $4,900.00 |
DisclosureSEC source: 0001493152-26-034406 · ownership.xml · nonDerivative · entry 1 JACOB GARY S · CIK 0001266802 · Director · CHIEF DEVELOPMENT OFFICER 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 112,420 Read SEC document |
| July 21, 2026 Filed Aug 7, 2026 20:15 UTC Amendment | OKYO Pharma Ltd OKYO · Entity 6916 | PurchaseCOMMON STOCK | 3,500 | $1.40 | $4,900.00 |
DisclosureSEC source: 0001493152-26-036583 · ownership.xml · nonDerivative · entry 1 JACOB GARY S · CIK 0001266802 · Director · CHIEF DEVELOPMENT OFFICER 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 112,420 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: 0001493152-24-007462 · ownership.xml · derivative · entry 1 JACOB GARY S · CIK 0001266802 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 102,120 Underlying: Common Stock · 85,000 shares Expires 2026-02-19 Read SEC document |
| May 19, 2022 Filed May 19, 2022 15:14 UTC | OKYO Pharma Ltd OKYO · Entity 6916 | PurchaseAmerican Depositary Shares | 12,500 | $4.00 | $50,000.00 |
DisclosureSEC source: 0001493152-22-014438 · ownership.xml · nonDerivative · entry 1 JACOB GARY S · CIK 0001266802 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,500 Read SEC document |
| January 01, 2022 Filed Jan 5, 2022 17:18 UTC | Virpax Pharmaceuticals, Inc. VRPX · Entity 84306 | GrantStock Option (right to buy) · Derivative | 12,091 | $0.00 Strike: $3.43 | $0.00 |
DisclosureSEC source: 0000905718-22-000024 · virpax_fm4jan12022.xml · derivative · entry 1 JACOB GARY S · CIK 0001266802 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,091 Underlying: Common Stock · 12,091 shares Expires 2032-01-01 Read SEC document |
| June 10, 2021 Filed Jun 15, 2021 14:06 UTC | Cardiff Oncology, Inc. CRDF · Entity 6917 | OtherStock Options · Derivative | 44,734 | $0.00 Strike: $2.48 | $0.00 |
DisclosureSEC source: 0001628280-21-012225 · wf-form4_162376598346799.xml · derivative · entry 8 JACOB GARY S · CIK 0001266802 · Former Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 76,106 Underlying: Common Stock · 44,734 shares Expires 2023-06-10 F2 · kind: Expiration date of the stock options was extended to June 10, 2023. Read SEC document |
| June 10, 2021 Filed Jun 15, 2021 14:06 UTC | Cardiff Oncology, Inc. CRDF · Entity 6917 | OtherStock Options · Derivative | 755 | $0.00 Strike: $21.60 | $0.00 |
DisclosureSEC source: 0001628280-21-012225 · wf-form4_162376598346799.xml · derivative · entry 7 JACOB GARY S · CIK 0001266802 · Former Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 76,106 Underlying: Common Stock · 755 shares Expires 2023-06-10 F2 · kind: Expiration date of the stock options was extended to June 10, 2023. Read SEC document |
| June 10, 2021 Filed Jun 15, 2021 14:06 UTC | Cardiff Oncology, Inc. CRDF · Entity 6917 | OtherStock Options · Derivative | 530 | $0.00 Strike: $51.84 | $0.00 |
DisclosureSEC source: 0001628280-21-012225 · wf-form4_162376598346799.xml · derivative · entry 6 JACOB GARY S · CIK 0001266802 · Former Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 76,106 Underlying: Common Stock · 530 shares Expires 2023-06-10 F2 · kind: Expiration date of the stock options was extended to June 10, 2023. Read SEC document |
| June 10, 2021 Filed Jun 15, 2021 14:06 UTC | Cardiff Oncology, Inc. CRDF · Entity 6917 | OtherStock Options · Derivative | 223 | $0.00 Strike: $372.96 | $0.00 |
DisclosureSEC source: 0001628280-21-012225 · wf-form4_162376598346799.xml · derivative · entry 5 JACOB GARY S · CIK 0001266802 · Former Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 76,106 Underlying: Common Stock · 223 shares Expires 2023-06-10 F2 · kind: Expiration date of the stock options was extended to June 10, 2023. Read SEC document |
| June 10, 2021 Filed Jun 15, 2021 14:06 UTC | Cardiff Oncology, Inc. CRDF · Entity 6917 | OtherStock Options · Derivative | 223 | $0.00 Strike: $516.96 | $0.00 |
DisclosureSEC source: 0001628280-21-012225 · wf-form4_162376598346799.xml · derivative · entry 4 JACOB GARY S · CIK 0001266802 · Former Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 76,106 Underlying: Common Stock · 223 shares Expires 2023-06-10 F2 · kind: Expiration date of the stock options was extended to June 10, 2023. Read SEC document |
| June 10, 2021 Filed Jun 15, 2021 14:06 UTC | Cardiff Oncology, Inc. CRDF · Entity 6917 | OtherStock Options · Derivative | 218 | $0.00 Strike: $316.08 | $0.00 |
DisclosureSEC source: 0001628280-21-012225 · wf-form4_162376598346799.xml · derivative · entry 3 JACOB GARY S · CIK 0001266802 · Former Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 76,106 Underlying: Common Stock · 218 shares Expires 2023-06-10 F2 · kind: Expiration date of the stock options was extended to June 10, 2023. Read SEC document |
| June 10, 2021 Filed Jun 15, 2021 14:06 UTC | Cardiff Oncology, Inc. CRDF · Entity 6917 | OtherStock Options · Derivative | 293 | $0.00 Strike: $447.84 | $0.00 |
DisclosureSEC source: 0001628280-21-012225 · wf-form4_162376598346799.xml · derivative · entry 2 JACOB GARY S · CIK 0001266802 · Former Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 76,106 Underlying: Common Stock · 293 shares Expires 2023-06-10 F2 · kind: Expiration date of the stock options was extended to June 10, 2023. F3 · derivative.exercise_date: 8,805 of the stock options vest immediately. 4,077 of the stock options vest on each of 2/25/2015 and 2016 and 4,076 of the stock options vest on 2/25/2017. Read SEC document |
| June 10, 2021 Filed Jun 15, 2021 14:06 UTC | Cardiff Oncology, Inc. CRDF · Entity 6917 | OtherStock Options · Derivative | 28,858 | $0.00 Strike: $2.60 | $0.00 |
DisclosureSEC source: 0001628280-21-012225 · wf-form4_162376598346799.xml · derivative · entry 1 JACOB GARY S · CIK 0001266802 · Former Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 76,106 Underlying: Common Stock · 28,858 shares Expires 2023-06-10 F1 · kind: In connection with the Reporting Person's departure from the Board of Directors, the Compensation Committee accelerated the vesting of 28,858 stock options to June 10, 2021 from June 17, 2021. In addition, the Compensation Committee extended the expiration date of the stock options to June 10, 2023. Read SEC document |
| May 18, 2021 Filed May 20, 2021 20:36 UTC | Hepion Pharmaceuticals, Inc. HEPA · Entity 8208 | GrantStock Options · Derivative | 250,000 | $0.00 Strike: $1.70 | $0.00 |
DisclosureSEC source: 0001104659-21-069940 · tm2117144d6_4seq1.xml · derivative · entry 1 JACOB GARY S · CIK 0001266802 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 342,785 Underlying: Common Stock · 250,000 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 |
| April 07, 2021 Filed Apr 9, 2021 17:00 UTC | Virpax Pharmaceuticals, Inc. VRPX · Entity 84306 | GrantStock Option (right to buy) · Derivative | 13,183 | $0.00 Strike: $4.62 | $0.00 |
DisclosureSEC source: 0000905718-21-000570 · jacob_fm4april72021.xml · derivative · entry 1 JACOB GARY S · CIK 0001266802 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,183 Underlying: Common Stock · 13,183 shares Expires 2031-04-07 Read SEC document |
| March 23, 2021 Filed Mar 23, 2021 19:57 UTC | Cardiff Oncology, Inc. CRDF · Entity 6917 | PurchaseCommon Stock | 470 | $10.40 | $4,885.65 |
DisclosureSEC source: 0001628280-21-005358 · wf-form4_161652942189444.xml · nonDerivative · entry 2 JACOB GARY S · CIK 0001266802 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,922 Read SEC document |
| March 23, 2021 Filed Mar 23, 2021 19:57 UTC | Cardiff Oncology, Inc. CRDF · Entity 6917 | PurchaseCommon Stock | 1,900 | $10.42 | $19,803.70 |
DisclosureSEC source: 0001628280-21-005358 · wf-form4_161652942189444.xml · nonDerivative · entry 1 JACOB GARY S · CIK 0001266802 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,452 Read SEC document |
| February 17, 2021 Filed Feb 19, 2021 18:22 UTC | Virpax Pharmaceuticals, Inc. VRPX · Entity 84306 | PurchaseCommon Stock, $0.00001 par value | 3,500 | $6.79 | $23,761.50 |
DisclosureSEC source: 0001213900-21-010660 · ownership.xml · nonDerivative · entry 1 JACOB GARY S · CIK 0001266802 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,500 F1 · price: This transaction was executed in multiple trades. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide, upon request, to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| December 01, 2020 Filed Dec 2, 2020 00:53 UTC | Hepion Pharmaceuticals, Inc. HEPA · Entity 8208 | PurchaseCommon Stock | 12,000 | $1.66 | $19,920.00 |
DisclosureSEC source: 0001104659-20-131213 · a4.xml · nonDerivative · entry 1 JACOB GARY S · CIK 0001266802 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,059 Read SEC document |
| August 19, 2020 Filed Aug 21, 2020 20:15 UTC | Hepion Pharmaceuticals, Inc. HEPA · Entity 8208 | GrantStock Options · Derivative | 30,000 | $0.00 Strike: $3.72 | $0.00 |
DisclosureSEC source: 0001104659-20-097593 · a4.xml · derivative · entry 1 JACOB GARY S · CIK 0001266802 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 92,785 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: 0001104659-20-075237 · a4.xml · derivative · entry 1 JACOB GARY S · CIK 0001266802 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 76,106 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 | 17,483 | $1.43 | $25,000.69 |
DisclosureSEC source: 0001104659-20-063177 · a4.xml · nonDerivative · entry 1 JACOB GARY S · CIK 0001266802 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,552 Read SEC document |
| April 03, 2020 Filed Apr 7, 2020 20:13 UTC | Hepion Pharmaceuticals, Inc. HEPA · Entity 8208 | GrantStock Options · Derivative | 60,000 | $0.00 Strike: $1.63 | $0.00 |
DisclosureSEC source: 0001104659-20-044169 · a4.xml · derivative · entry 1 JACOB GARY S · CIK 0001266802 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,729 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: 0001104659-19-041850 · a4.xml · derivative · entry 1 JACOB GARY S · CIK 0001266802 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,729 Underlying: Common Stock · 970 shares Expires 2029-07-24 Read SEC document |
| June 20, 2019 Filed Jun 24, 2019 20:07 UTC | Cardiff Oncology, Inc. TROV · Entity 6917 | GrantStock Options · Derivative | 44,734 | $0.00 Strike: $2.48 | $0.00 |
DisclosureSEC source: 0000899243-19-017923 · doc4.xml · derivative · entry 1 JACOB GARY S · CIK 0001266802 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,071 Underlying: Common Stock · 44,734 shares Expires 2019-06-20 Read SEC document |
| July 03, 2018 Filed Jul 3, 2018 18:17 UTC | Hepion Pharmaceuticals, Inc. CTRV · Entity 8208 | PurchaseWarrants · Derivative | 8,625 | $1,000.00 Strike: $1.55 | $8,625,000.00 |
DisclosureSEC source: 0001104659-18-043798 · a4.xml · derivative · entry 2 JACOB GARY S · CIK 0001266802 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,625 Underlying: Common Stock · 8,625 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 18:17 UTC | Hepion Pharmaceuticals, Inc. CTRV · Entity 8208 | PurchaseSeries C Convertible Preferred Stock · Derivative | 15 | $1,000.00 Strike: $1.55 | $15,000.00 |
DisclosureSEC source: 0001104659-18-043798 · a4.xml · derivative · entry 1 JACOB GARY S · CIK 0001266802 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15 Underlying: Common Stock · 9,678 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 15, 2018 Filed Jun 18, 2018 20:30 UTC | SYNERGY PHARMACEUTICALS, INC. SGYP · Entity 164269 | Exercise / conversionStock Options · Derivative | 474,961 | $0.00 Strike: $0.50 | $0.00 |
DisclosureSEC source: 0001104659-18-040813 · a4.xml · derivative · entry 4 JACOB GARY S · CIK 0001266802 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,513,342 Underlying: Common Stock · 474,961 shares Expires 2018-07-03 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. F3 · derivative.exercise_date: 158,320 options vested on 7/3/2009 and 7/3/2010 and 158,321 vested on 7/3/2011 Read SEC document |
| June 15, 2018 Filed Jun 18, 2018 20:30 UTC | SYNERGY PHARMACEUTICALS, INC. SGYP · Entity 164269 | Tax withholdingCommon Stock | 150,246 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-18-040813 · a4.xml · nonDerivative · entry 3 JACOB GARY S · CIK 0001266802 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 595,460 F2 · shares: The reporting person is reporting the withholding by Synergy Pharmaceuticals Inc. of 150,246 shares of common stock to satisfy the reporting person's tax withholding obligations in connection with the exercise of the stock options on June 15, 2018. Read SEC document |
| June 15, 2018 Filed Jun 18, 2018 20:30 UTC | SYNERGY PHARMACEUTICALS, INC. SGYP · Entity 164269 | Tax withholdingCommon Stock | 131,934 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-18-040813 · a4.xml · nonDerivative · entry 2 JACOB GARY S · CIK 0001266802 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 745,706 F1 · shares: Represents the number of shares forfeited to the Company in payment of the exercise price of the stock options. Read SEC document |
| June 15, 2018 Filed Jun 18, 2018 20:30 UTC | SYNERGY PHARMACEUTICALS, INC. SGYP · Entity 164269 | Exercise / conversionCommon Stock | 474,961 | $0.50 | $237,480.50 |
DisclosureSEC source: 0001104659-18-040813 · a4.xml · nonDerivative · entry 1 JACOB GARY S · CIK 0001266802 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 877,640 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 22:00 UTC | Cardiff Oncology, Inc. TROV · Entity 6917 | GrantStock Options · Derivative | 54,322 | $0.00 Strike: $0.30 | $0.00 |
DisclosureSEC source: 0000899243-18-001899 · doc4.xml · derivative · entry 1 JACOB GARY S · CIK 0001266802 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 248,101 Underlying: Common Stock · 54,322 shares Expires 2028-01-23 Read SEC document |
| January 05, 2018 Filed Jan 9, 2018 22:02 UTC | SYNERGY PHARMACEUTICALS, INC. SGYP · Entity 164269 | GrantStock Options · Derivative | 950,000 | $0.00 Strike: $2.18 | $0.00 |
DisclosureSEC source: 0001104659-18-001494 · a4.xml · derivative · entry 1 JACOB GARY S · CIK 0001266802 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,988,303 Underlying: Common Stock · 950,000 shares Expires 2028-01-05 F1 · derivative.exercise_date: 316,667 options vest on each of 1/5/2019 and 2020 and 316,666 vest on 1/5/2021. Read SEC document |
| January 02, 2018 Filed Jan 4, 2018 22:15 UTC | Cardiff Oncology, Inc. TROV · Entity 6917 | Exercise / conversionRestricted Stock Units · Derivative | 16,667 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-000482 · doc4.xml · derivative · entry 2 JACOB GARY S · CIK 0001266802 · 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 22:15 UTC | Cardiff Oncology, Inc. TROV · Entity 6917 | Exercise / conversionCommon Stock | 16,667 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-000482 · doc4.xml · nonDerivative · entry 1 JACOB GARY S · CIK 0001266802 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 148,954 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 20:19 UTC | Cardiff Oncology, Inc. TROV · Entity 6917 | GrantStock Options · Derivative | 38,106 | $0.00 Strike: $0.72 | $0.00 |
DisclosureSEC source: 0001104659-17-061153 · a4.xml · derivative · entry 1 JACOB GARY S · CIK 0001266802 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 193,779 Underlying: Common Stock · 38,106 shares Expires 2027-10-04 Read SEC document |
| September 02, 2017 Filed Sep 7, 2017 00:56 UTC | Cardiff Oncology, Inc. TROV · Entity 6917 | Exercise / conversionRestricted Stock Units · Derivative | 9,287 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-17-055901 · a4.xml · derivative · entry 2 JACOB GARY S · CIK 0001266802 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,667 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 9,287 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 9,287 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 00:56 UTC | Cardiff Oncology, Inc. TROV · Entity 6917 | Exercise / conversionCommon Stock | 9,287 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-17-055901 · a4.xml · nonDerivative · entry 1 JACOB GARY S · CIK 0001266802 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 132,287 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 9,287 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 21:09 UTC | SYNERGY PHARMACEUTICALS, INC. SGYP · Entity 164269 | GrantStock Options · Derivative | 900,000 | $0.00 Strike: $1.40 | $0.00 |
DisclosureSEC source: 0001104659-17-043013 · a4.xml · derivative · entry 2 JACOB GARY S · CIK 0001266802 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,038,303 Underlying: Common Stock · 900,000 shares Expires 2020-02-25 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 February 25, 2010. 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 21:09 UTC | SYNERGY PHARMACEUTICALS, INC. SGYP · Entity 164269 | Disposition to issuerStock Options · Derivative | 900,000 | $0.00 Strike: $1.40 | $0.00 |
DisclosureSEC source: 0001104659-17-043013 · a4.xml · derivative · entry 1 JACOB GARY S · CIK 0001266802 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,138,202 Underlying: Common Stock · 900,000 shares Expires 2020-02-25 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 February 25, 2010. 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 February 25, 2010. 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 |
| May 26, 2017 Filed May 30, 2017 11:55 UTC | SYNERGY PHARMACEUTICALS, INC. SGYP · Entity 164269 | PurchaseCommon Stock | 5,680 | $3.52 | $19,967.47 |
DisclosureSEC source: 0001104659-17-035883 · a4.xml · nonDerivative · entry 1 JACOB GARY S · CIK 0001266802 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 402,679 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: 0001104659-17-000629 · a4.xml · derivative · entry 1 JACOB GARY S · CIK 0001266802 · 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 21:56 UTC Amendment | Cardiff Oncology, Inc. TROV · Entity 6917 | GrantRestricted Stock Units · Derivative | 9,287 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-17-000960 · a4a.xml · derivative · entry 2 JACOB GARY S · CIK 0001266802 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,954 Underlying: Common Stock · 9,287 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 21:56 UTC Amendment | Cardiff Oncology, Inc. TROV · Entity 6917 | GrantRestricted Stock Units · Derivative | 16,667 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-17-000960 · a4a.xml · derivative · entry 1 JACOB GARY S · CIK 0001266802 · 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.