Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| PTC THERAPEUTICS, INC.PTCT · Entity 3803 | Director | January 02, 2026 | January 06, 2026 |
| ROCKET PHARMACEUTICALS, INC.RCKT · Entity 5627 | Director | August 03, 2026 | August 06, 2026 |
| Spero Therapeutics, Inc.SPRO · Entity 7014 | Director | June 05, 2018 | June 07, 2018 |
| TScan Therapeutics, Inc.TCRX · Entity 7255 | Director · Chief Executive Officer | February 02, 2023 | February 06, 2023 |
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.
PTC THERAPEUTICS, INC.
Report date January 02, 2026 · Filed January 06, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 20,850 |
Reported balance
After 2026-01-02 transaction · row 1
1 source rowRow 1 · 2026-01-02 · Grant · Acquired 4,000 · Balance 20,850 F1: Restricted stock units granted on January 2, 2026 that vest over one year, with five-twelfths (5/12) of the shares underlying the RSUs vesting on June 2, 2026 and the remaining seven-twelfths (7/12) of the original shares underlying the RSUs vesting on January 2, 2027. The Reporting Person has elected to defer receipt of all vested shares until the earliest to occur of (a) the date that is six months following separation of service from the Issuer, (b) a change in control event and (c) death. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $76.74 · Expires 2036-01-01 | Direct | 3,475 |
Reported balance
After 2026-01-02 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2026-01-02 · Grant · Acquired 3,475 · Balance 3,475 F2: This option was granted on January 2, 2026 and vests over one year in twelve equal monthly installments, commencing on February 2, 2026. |
Filing footnotes · ownership attribution and instrument terms
F1: Restricted stock units granted on January 2, 2026 that vest over one year, with five-twelfths (5/12) of the shares underlying the RSUs vesting on June 2, 2026 and the remaining seven-twelfths (7/12) of the original shares underlying the RSUs vesting on January 2, 2027. The Reporting Person has elected to defer receipt of all vested shares until the earliest to occur of (a) the date that is six months following separation of service from the Issuer, (b) a change in control event and (c) death.
F2: This option was granted on January 2, 2026 and vests over one year in twelve equal monthly installments, commencing on February 2, 2026.
ROCKET PHARMACEUTICALS, INC.
Report date August 03, 2026 · Filed August 06, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 204,522 |
Reported balance
After 2026-08-03 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2026-08-03 · Other · Acquired 150,000 · Balance 204,522 F1: Rocket Pharmaceuticals, Inc. (the "Company") entered into a consulting agreement with the Reporting Person, dated July 21, 2026, for consulting services related to the Company's strategic and financial activities. As compensation for services rendered, the Reporting Person received 150,000 restricted stock units ("RSUs") on August 3, 2026. F2: Represents RSUs that convert to common stock on a one-for-one basis. One-third of such RSUs will vest in full on August 3, 2027, with the remaining two-thirds vesting in equal quarterly installments over the following two years. |
| Common StockSEC Table I · non-derivative | IndirectBy The David P. Southwell Irrevocable Trust Dtd 04/14/2024 | 113,124 |
Reported balance
Holding disclosure · report date 2026-08-03 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 113,124 |
Filing footnotes · ownership attribution and instrument terms
F1: Rocket Pharmaceuticals, Inc. (the "Company") entered into a consulting agreement with the Reporting Person, dated July 21, 2026, for consulting services related to the Company's strategic and financial activities. As compensation for services rendered, the Reporting Person received 150,000 restricted stock units ("RSUs") on August 3, 2026.
F2: Represents RSUs that convert to common stock on a one-for-one basis. One-third of such RSUs will vest in full on August 3, 2027, with the remaining two-thirds vesting in equal quarterly installments over the following two years.
Spero Therapeutics, Inc.
Report date June 05, 2018 · Filed June 07, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $11.54 · Expires 2028-06-05 | Direct | 6,073 |
Reported balance
After 2018-06-05 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2018-06-05 · Grant · Acquired 6,073 · Balance 6,073 F1: The shares underlying this option will vest and become exercisable in full on June 5, 2019, subject to the Reporting Person's continued service as a director through the vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares underlying this option will vest and become exercisable in full on June 5, 2019, subject to the Reporting Person's continued service as a director through the vesting date.
TScan Therapeutics, Inc.
Report date February 02, 2023 · Filed February 06, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.81 · Expires 2033-02-01 | Direct | 100,000 |
Reported balance
After 2023-02-02 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2023-02-02 · Grant · Acquired 100,000 · Balance 100,000 F1: The shares subject to this option vest over 4 years of service following February 2, 2023, with 25% vesting upon completion of 1 year of continuous service to the Issuer and the balance vesting in 36 equal monthly installments thereafter. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares subject to this option vest over 4 years of service following February 2, 2023, with 25% vesting upon completion of 1 year of continuous service to the Issuer and the balance vesting in 36 equal monthly installments thereafter.
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 |
|---|---|---|---|---|---|---|
| June 14, 2021 Filed Jun 17, 2021 00:01 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | GrantStock Option (Right to Buy) · Derivative | 12,236 | $0.00 Strike: $47.25 | $0.00 |
DisclosureSEC source: 0001140361-21-021295 · form4.xml · derivative · entry 1 SOUTHWELL DAVID P · CIK 0001251553 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,236 Underlying: Common Stock · 12,236 shares Expires 2031-06-14 F1 · derivative.exercise_date: This option represents a right to purchase a total of 12,236 shares of the Issuer's Common Stock, all of which will become fully vested and exercisable on June 14, 2022. Read SEC document |
| January 06, 2021 Filed Jan 8, 2021 22:05 UTC | PTC THERAPEUTICS, INC. PTCT · Entity 3803 | GrantStock Option (Right To Buy) · Derivative | 10,000 | $0.00 Strike: $66.49 | $0.00 |
DisclosureSEC source: 0001179110-21-000460 · edgar.xml · derivative · entry 2 SOUTHWELL DAVID P · CIK 0001251553 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Underlying: Common Stock · 10,000 shares Expires 2031-01-05 F2 · derivative.exercise_date: This option was granted on January 6, 2021 and vests over one year in twelve equal monthly installments, commencing on February 6, 2021. Read SEC document |
| January 06, 2021 Filed Jan 8, 2021 22:05 UTC | PTC THERAPEUTICS, INC. PTCT · Entity 3803 | GrantCommon Stock | 1,650 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-21-000460 · edgar.xml · nonDerivative · entry 1 SOUTHWELL DAVID P · CIK 0001251553 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,300 F1 · shares: Restricted stock units ("RSUs") granted on January 6, 2021 that vest over one year, with five-twelfths (5/12) of the shares underlying the RSUs vesting on June 8, 2021 and the remaining seven-twelfths (7/12) of the original shares underlying the RSUs vesting on January 6, 2022. The Reporting Person has elected to defer receipt of all vested shares until the earliest to occur of (a) the date that is six months following separation of service from the Issuer, (b) a change in control event and (c) death. Read SEC document |
| October 16, 2020 Filed Oct 20, 2020 20:34 UTC | PTC THERAPEUTICS, INC. PTCT · Entity 3803 | Exercise / conversionStock Option (Right to Buy) · Derivative | 12,000 | $11.23 Strike: $11.23 | $134,760.00 |
DisclosureSEC source: 0001179110-20-010602 · edgar.xml · derivative · entry 8 SOUTHWELL DAVID P · CIK 0001251553 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 12,000 shares Expires 2027-01-02 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. F6 · derivative.exercise_date: Currently exercisable. Read SEC document |
| October 16, 2020 Filed Oct 20, 2020 20:34 UTC | PTC THERAPEUTICS, INC. PTCT · Entity 3803 | Exercise / conversionStock Option (Right to Buy) · Derivative | 15,000 | $10.85 Strike: $10.85 | $162,750.00 |
DisclosureSEC source: 0001179110-20-010602 · edgar.xml · derivative · entry 7 SOUTHWELL DAVID P · CIK 0001251553 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 15,000 shares Expires 2023-05-15 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. F6 · derivative.exercise_date: Currently exercisable. Read SEC document |
| October 16, 2020 Filed Oct 20, 2020 20:34 UTC | PTC THERAPEUTICS, INC. PTCT · Entity 3803 | SaleCommon Stock | 500 | $52.18 | $26,089.00 |
DisclosureSEC source: 0001179110-20-010602 · edgar.xml · nonDerivative · entry 6 SOUTHWELL DAVID P · CIK 0001251553 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,650 F1 · kind: This transaction was effected pursuant to a written Rule 10b5-1 plan adopted by the Reporting Person on September 15, 2020. F5 · price: This price represents the weighted average price of sale transactions that were executed in multiple trades at prices ranging from $52.14 to $52.21 per share. The Reporting Person hereby undertakes, upon request by the SEC staff, the issuer or a security holder of the issuer, to provide full information regarding the number of shares sold at each separate price. Read SEC document |
| October 16, 2020 Filed Oct 20, 2020 20:34 UTC | PTC THERAPEUTICS, INC. PTCT · Entity 3803 | SaleCommon Stock | 11,500 | $51.52 | $592,434.00 |
DisclosureSEC source: 0001179110-20-010602 · edgar.xml · nonDerivative · entry 5 SOUTHWELL DAVID P · CIK 0001251553 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,150 F1 · kind: This transaction was effected pursuant to a written Rule 10b5-1 plan adopted by the Reporting Person on September 15, 2020. F4 · price: This price represents the weighted average price of sale transactions that were executed in multiple trades at prices ranging from $51.10 to $52.09 per share. The Reporting Person hereby undertakes, upon request by the SEC staff, the issuer or a security holder of the issuer, to provide full information regarding the number of shares sold at each separate price. Read SEC document |
| October 16, 2020 Filed Oct 20, 2020 20:34 UTC | PTC THERAPEUTICS, INC. PTCT · Entity 3803 | Exercise / conversionCommon Stock | 12,000 | $11.23 | $134,760.00 |
DisclosureSEC source: 0001179110-20-010602 · edgar.xml · nonDerivative · entry 4 SOUTHWELL DAVID P · CIK 0001251553 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,650 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: This transaction was effected pursuant to a written Rule 10b5-1 plan adopted by the Reporting Person on September 15, 2020. Read SEC document |
| October 16, 2020 Filed Oct 20, 2020 20:34 UTC | PTC THERAPEUTICS, INC. PTCT · Entity 3803 | SaleCommon Stock | 700 | $52.18 | $36,528.10 |
DisclosureSEC source: 0001179110-20-010602 · edgar.xml · nonDerivative · entry 3 SOUTHWELL DAVID P · CIK 0001251553 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,650 F1 · kind: This transaction was effected pursuant to a written Rule 10b5-1 plan adopted by the Reporting Person on September 15, 2020. F3 · price: This price represents the weighted average price of sale transactions that were executed in multiple trades at prices ranging from $52.16 to $52.21 per share. The Reporting Person hereby undertakes, upon request by the SEC staff, the issuer or a security holder of the issuer, to provide full information regarding the number of shares sold at each separate price. Read SEC document |
| October 16, 2020 Filed Oct 20, 2020 20:34 UTC | PTC THERAPEUTICS, INC. PTCT · Entity 3803 | SaleCommon Stock | 14,300 | $51.50 | $736,492.90 |
DisclosureSEC source: 0001179110-20-010602 · edgar.xml · nonDerivative · entry 2 SOUTHWELL DAVID P · CIK 0001251553 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,350 F1 · kind: This transaction was effected pursuant to a written Rule 10b5-1 plan adopted by the Reporting Person on September 15, 2020. F2 · price: This price represents the weighted average price of sale transactions that were executed in multiple trades at prices ranging from $51.12 to $52.09 per share. The Reporting Person hereby undertakes, upon request by the SEC staff, the issuer or a security holder of the issuer, to provide full information regarding the number of shares sold at each separate price. Read SEC document |
| October 16, 2020 Filed Oct 20, 2020 20:34 UTC | PTC THERAPEUTICS, INC. PTCT · Entity 3803 | Exercise / conversionCommon Stock | 15,000 | $10.85 | $162,750.00 |
DisclosureSEC source: 0001179110-20-010602 · edgar.xml · nonDerivative · entry 1 SOUTHWELL DAVID P · CIK 0001251553 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,650 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: This transaction was effected pursuant to a written Rule 10b5-1 plan adopted by the Reporting Person on September 15, 2020. Read SEC document |
| June 16, 2020 Filed Jun 19, 2020 01:41 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | GrantStock Option (Right to Buy) · Derivative | 20,000 | $0.00 Strike: $19.90 | $0.00 |
DisclosureSEC source: 0001140361-20-014244 · form4.xml · derivative · entry 1 SOUTHWELL DAVID P · CIK 0001251553 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2030-06-16 F1 · derivative.exercise_date: This option represents a right to purchase a total of 20,000 shares of the Issuer's Common Stock, all of which will become fully vested and exercisable on June 16, 2021. Read SEC document |
| January 29, 2020 Filed Jan 31, 2020 21:41 UTC | PTC THERAPEUTICS, INC. PTCT · Entity 3803 | GrantStock Option (Right To Buy) · Derivative | 10,000 | $0.00 Strike: $51.16 | $0.00 |
DisclosureSEC source: 0001070081-20-000049 · wf-form4_158050689677166.xml · derivative · entry 2 SOUTHWELL DAVID P · CIK 0001251553 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Underlying: Common Stock · 10,000 shares Expires 2030-01-28 F2 · derivative.exercise_date: This option was granted on January 29, 2020 and vests over one year in twelve equal monthly installments, commencing on February 29, 2020. Read SEC document |
| January 29, 2020 Filed Jan 31, 2020 21:41 UTC | PTC THERAPEUTICS, INC. PTCT · Entity 3803 | GrantCommon Stock | 1,650 | $0.00 | $0.00 |
DisclosureSEC source: 0001070081-20-000049 · wf-form4_158050689677166.xml · nonDerivative · entry 1 SOUTHWELL DAVID P · CIK 0001251553 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,650 F1 · shares: Restricted stock units ("RSUs") granted on January 29, 2020 that vest over one year, with five-twelfths (5/12) of the shares underlying the RSUs vesting on June 10, 2020 and the remaining seven-twelfths (7/12) of the original shares underlying the RSUs vesting on January 29, 2021. The Reporting Person has elected to defer receipt of all vested shares until the earliest to occur of (i) four years from the date of grant and (ii) the earliest to occur of (a) the date that is six months following separation of service from the Issuer, (b) a change in control event and (c) death. Read SEC document |
| January 28, 2019 Filed Jan 30, 2019 23:55 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | GrantStock Option (Right to Buy) · Derivative | 30,000 | $0.00 Strike: $14.56 | $0.00 |
DisclosureSEC source: 0001140361-19-002021 · form4.xml · derivative · entry 1 SOUTHWELL DAVID P · CIK 0001251553 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 Underlying: Common Stock · 30,000 shares Expires 2029-01-28 F1 · derivative.exercise_date: This option represents a right to purchase a total of 30,000 shares of the Issuer's Common Stock, all of which will become fully vested and exercisable on January 28, 2020. Read SEC document |
| January 22, 2019 Filed Jan 24, 2019 22:47 UTC | PTC THERAPEUTICS, INC. PTCT · Entity 3803 | GrantStock Option (Right to Buy) · Derivative | 14,000 | $0.00 Strike: $33.02 | $0.00 |
DisclosureSEC source: 0001104659-19-003200 · a4.xml · derivative · entry 1 SOUTHWELL DAVID P · CIK 0001251553 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,000 Underlying: Common Stock · 14,000 shares Expires 2029-01-21 F1 · derivative.exercise_date: This option was granted on January 22, 2019 and vests over one year in twelve equal monthly installments, commencing on February 22, 2019. Read SEC document |
| December 13, 2018 Filed Dec 15, 2018 02:06 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | SaleCommon Stock | 38,768 | $15.19 | $588,885.92 |
DisclosureSEC source: 0001140361-18-045226 · form4.xml · nonDerivative · entry 1 SOUTHWELL DAVID P · CIK 0001251553 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 95,160 F1 · kind: The reported sales were made for the sole purpose of fulfilling the reporting person's tax obligations in connection with the settlement of restricted stock units. F2 · price: This transaction was executed in multiple trades at prices ranging from $15.00 to $15.80. The price reported above reflects the weighted average sales 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 07, 2018 Filed Dec 10, 2018 22:03 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | SaleCommon Stock | 4,923 | $14.91 | $73,401.93 |
DisclosureSEC source: 0001140361-18-044850 · form4.xml · nonDerivative · entry 3 SOUTHWELL DAVID P · CIK 0001251553 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 133,928 F2 · kind: The reported sales were made for the sole purpose of fulfilling the reporting person's tax obligations in connection with the settlement of restricted stock units. F4 · price: This transaction was executed in multiple trades at prices ranging from $14.75 to $15.20. The price reported above reflects the weighted average sales 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 06, 2018 Filed Dec 10, 2018 22:03 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | SaleCommon Stock | 52,809 | $15.15 | $800,056.35 |
DisclosureSEC source: 0001140361-18-044850 · form4.xml · nonDerivative · entry 2 SOUTHWELL DAVID P · CIK 0001251553 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 138,851 F2 · kind: The reported sales were made for the sole purpose of fulfilling the reporting person's tax obligations in connection with the settlement of restricted stock units. F3 · price: This transaction was executed in multiple trades at prices ranging from $14.91 to $15.65. The price reported above reflects the weighted average sales 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 |
| November 28, 2018 Filed Dec 10, 2018 22:03 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | Exercise / conversionRestricted Stock Units · Derivative | 65,625 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-18-044850 · form4.xml · derivative · entry 4 SOUTHWELL DAVID P · CIK 0001251553 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 153,125 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. F1 · derivative.exercise_price: Each restricted stock unit represents a right to receive one share of RCKT common stock upon satisfaction of vesting conditions. F5 · derivative.exercise_date: The restricted stock units were issued pursuant to the Rocket Pharmaceuticals Inc. 2014 Stock Option and Incentive Plan. The restricted stock units became fully vested on January 4, 2018. F5 · derivative.expiration_date: The restricted stock units were issued pursuant to the Rocket Pharmaceuticals Inc. 2014 Stock Option and Incentive Plan. The restricted stock units became fully vested on January 4, 2018. Read SEC document |
| November 28, 2018 Filed Dec 10, 2018 22:03 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | Exercise / conversionCommon Stock | 153,125 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-18-044850 · form4.xml · nonDerivative · entry 1 SOUTHWELL DAVID P · CIK 0001251553 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 191,660 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 · price: Each restricted stock unit represents a right to receive one share of RCKT common stock upon satisfaction of vesting conditions. Read SEC document |
| June 05, 2018 Filed Jun 7, 2018 00:01 UTC | Spero Therapeutics, Inc. SPRO · Entity 7014 | GrantStock Option (right to buy) · Derivative | 6,073 | $0.00 Strike: $11.54 | $0.00 |
DisclosureSEC source: 0000899243-18-015328 · doc4.xml · derivative · entry 1 SOUTHWELL DAVID P · CIK 0001251553 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,073 Underlying: Common Stock · 6,073 shares Expires 2028-06-05 F1 · derivative.exercise_date: The shares underlying this option will vest and become exercisable in full on June 5, 2019, subject to the Reporting Person's continued service as a director through the vesting date. Read SEC document |
| April 02, 2018 Filed Apr 3, 2018 00:18 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | Exercise / conversionRestricted Stock Units · Derivative | 21,875 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-18-009127 · doc4.xml · derivative · entry 3 SOUTHWELL DAVID P · CIK 0001251553 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,625 Underlying: Common Stock · 21,875 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: This option represents a right to purchase a total of 40,000 shares of the Issuer's Common Stock, 13,336 of which will become fully vested and exercisable on March 29, 2019, with the remaining 26,664 shares vesting in equal monthly installments over the following two years. F1 · price: Each restricted stock unit represents a contingent right to receive one share of RCKT common stock. F3 · derivative.exercise_date: The restricted stock units were issued pursuant to the Rocket Pharmaceuticals Inc. 2014 Stock Option and Incentive Plan. The restricted stock units vest in equal annual installments over 4 years from the January 23, 2017 date of grant, subject to continued service through such dates. F3 · derivative.expiration_date: The restricted stock units were issued pursuant to the Rocket Pharmaceuticals Inc. 2014 Stock Option and Incentive Plan. The restricted stock units vest in equal annual installments over 4 years from the January 23, 2017 date of grant, subject to continued service through such dates. Read SEC document |
| April 02, 2018 Filed Apr 3, 2018 00:18 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | Exercise / conversionCommon Stock | 21,875 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-18-009127 · doc4.xml · nonDerivative · entry 1 SOUTHWELL DAVID P · CIK 0001251553 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,535 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 · price: Each restricted stock unit represents a contingent right to receive one share of RCKT common stock. Read SEC document |
| March 30, 2018 Filed Mar 30, 2018 21:30 UTC | Spero Therapeutics, Inc. SPRO · Entity 7014 | GrantStock Option (right to buy) · Derivative | 12,146 | $0.00 Strike: $14.25 | $0.00 |
DisclosureSEC source: 0000899243-18-008989 · doc4.xml · derivative · entry 1 SOUTHWELL DAVID P · CIK 0001251553 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,146 Underlying: Common Stock · 12,146 shares Expires 2028-03-30 F1 · derivative.exercise_date: The shares underlying this option will vest in thirty-six equal monthly installments at the end of each successive month following March 30, 2018, subject to the Reporting Person's continued service as a director through the applicable vesting dates. Read SEC document |
| March 29, 2018 Filed Apr 3, 2018 00:18 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | GrantStock Option (Right to Buy) · Derivative | 40,000 | $0.00 Strike: $18.75 | $0.00 |
DisclosureSEC source: 0000899243-18-009127 · doc4.xml · derivative · entry 2 SOUTHWELL DAVID P · CIK 0001251553 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Stock · 40,000 shares Expires 2028-03-29 F2 · derivative.exercise_date: This option represents a right to purchase a total of 40,000 shares of the Issuer's Common Stock, 13,336 of which will become fully vested and exercisable on March 29, 2019, with the remaining 26,664 shares vesting in equal monthly installments over the following two years. Read SEC document |
| January 03, 2018 Filed Jan 5, 2018 21:15 UTC | PTC THERAPEUTICS, INC. PTCT · Entity 3803 | GrantStock Option (Right To Buy) · Derivative | 14,000 | $0.00 Strike: $18.01 | $0.00 |
DisclosureSEC source: 0001070081-18-000022 · wf-form4_151518692149812.xml · derivative · entry 1 SOUTHWELL DAVID P · CIK 0001251553 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,000 Underlying: Common Stock · 14,000 shares Expires 2028-01-02 F1 · derivative.exercise_date: This option was granted on January 3, 2018 and vests over one year in twelve equal monthly installments, commencing on February 3, 2018. Read SEC document |
| January 23, 2017 Filed Jan 24, 2017 21:31 UTC | ROCKET PHARMACEUTICALS, INC. ITEK · Entity 5627 | GrantRestricted Stock Units · Derivative | 350,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-001845 · doc4.xml · derivative · entry 2 SOUTHWELL DAVID P · CIK 0001251553 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 350,000 Underlying: Common Stock · 350,000 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of ITEK common stock. F3 · derivative.exercise_date: The restricted stock units were issued pursuant to the Plan. The restricted stock units shall vest in equal annual installments over 4 years from the date of grant, subject to continued service through such dates. F3 · derivative.expiration_date: The restricted stock units were issued pursuant to the Plan. The restricted stock units shall vest in equal annual installments over 4 years from the date of grant, subject to continued service through such dates. Read SEC document |
| January 23, 2017 Filed Jan 24, 2017 21:31 UTC | ROCKET PHARMACEUTICALS, INC. ITEK · Entity 5627 | GrantRestricted Stock Units · Derivative | 350,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-001845 · doc4.xml · derivative · entry 1 SOUTHWELL DAVID P · CIK 0001251553 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 350,000 Underlying: Common Stock · 350,000 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of ITEK common stock. F2 · derivative.exercise_date: The restricted stock units were issued pursuant to Inotek Pharmaceuticals Corporation's 2014 Stock Option and Incentive Plan (the "Plan") on December 13, 2016 and were amended on January 23, 2017 to modify their vesting schedule. The restricted stock units were modified so that instead of vesting based on the achievement of certain milestones, they will vest in equal annual installments over four years from the December 13, 2016 date of grant, subject to continued service through such dates. The amount in this column does not reflect the decrease in fair value as a result of the modification to the restricted stock units in 2017. F2 · derivative.expiration_date: The restricted stock units were issued pursuant to Inotek Pharmaceuticals Corporation's 2014 Stock Option and Incentive Plan (the "Plan") on December 13, 2016 and were amended on January 23, 2017 to modify their vesting schedule. The restricted stock units were modified so that instead of vesting based on the achievement of certain milestones, they will vest in equal annual installments over four years from the December 13, 2016 date of grant, subject to continued service through such dates. The amount in this column does not reflect the decrease in fair value as a result of the modification to the restricted stock units in 2017. Read SEC document |
| January 06, 2017 Filed Jan 9, 2017 22:54 UTC | ROCKET PHARMACEUTICALS, INC. ITEK · Entity 5627 | PurchaseCommon Stock | 60,000 | $1.75 | $105,000.00 |
DisclosureSEC source: 0000899243-17-000861 · doc4.xml · nonDerivative · entry 1 SOUTHWELL DAVID P · CIK 0001251553 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,765 F1 · acquired: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.749 to $1.75, inclusive. The reporting person undertakes to provide to Inotek Pharmaceuticals Corporation, any security holder of Inotek Pharmaceuticals Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (1) to this Form 4. F2 · balance_after: Includes 2,765 shares of the Issuer's common stock acquired under the Issuer's Employee Stock Purchase Plan since the date of the Reporting Person's last Form 4 with Table I Information. Read SEC document |
| January 03, 2017 Filed Jan 9, 2017 22:39 UTC | PTC THERAPEUTICS, INC. PTCT · Entity 3803 | GrantStock Option (Right To Buy) · Derivative | 12,000 | $0.00 Strike: $11.23 | $0.00 |
DisclosureSEC source: 0001070081-17-000049 · wf-form4_148400154187189.xml · derivative · entry 1 SOUTHWELL DAVID P · CIK 0001251553 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,000 Underlying: Common Stock · 12,000 shares Expires 2027-01-02 F1 · derivative.exercise_date: This option was granted on January 3, 2017 and vests over one year in twelve equal monthly installments, commencing on February 3, 2017. 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.