Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Achaogen, Inc.AKAO · Entity 158957 | Director | June 05, 2018 | June 07, 2018 |
| Arcutis Biotherapeutics, Inc.ARQT · Entity 4236 | Chief Financial Officer | February 13, 2024 | February 15, 2024 |
| Attovia Therapeutics, Inc.ATTO · Entity 4984 | Director | August 04, 2026 | August 04, 2026 |
| GENELUX CorpGNLX · Entity 1116 | Director | July 01, 2026 | July 02, 2026 |
| MBX Biosciences, Inc.MBX · Entity 4247 | Chief Financial Officer | August 03, 2026 | August 04, 2026 |
| NewAmsterdam Pharma Co N.V.NAMS · Entity 1826 | Director | September 04, 2026 | September 09, 2026 |
| Principia Biopharma Inc.PRNB · Entity 146423 | Director | February 19, 2019 | February 21, 2019 |
| Sienna Biopharmaceuticals, Inc.SNNA · Entity 154554 | Chief Financial Officer | January 01, 2019 | January 03, 2019 |
| eFFECTOR Therapeutics, Inc.EFTR · Entity 89916 | Director | June 22, 2023 | June 23, 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.
Achaogen, 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 $12.07 · Expires 2028-06-05 | Direct | 15,000 |
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 15,000 · Balance 15,000 F1: The option vests with respect to 1/12th of the shares subject thereto on each monthly anniversary of the grant date, which vesting will accelerate in full on the date of the next annual stockholder's meeting to the extent unvested as of such date, subject to continued service through each applicable vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: The option vests with respect to 1/12th of the shares subject thereto on each monthly anniversary of the grant date, which vesting will accelerate in full on the date of the next annual stockholder's meeting to the extent unvested as of such date, subject to continued service through each applicable vesting date.
Arcutis Biotherapeutics, Inc.
Report date February 13, 2024 · Filed February 15, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 11,365 |
Ending reported balance
After 2024-02-13 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2024-02-13 · Grant · Acquired 2,793 · Balance 2,793 F1: On February 13, 2024, the Issuer canceled, pursuant to the Issuer's option exchange program, an option granted to the Reporting Person on February 27, 2020, and received in exchange for the option, these Restricted Stock Units ("RSUs") that vest in four equal quarterly installments commencing May 1, 2024. Row 2 · 2024-02-13 · Grant · Acquired 8,572 · Balance 11,365 F2: On February 13, 2024, the Issuer canceled, pursuant to the Issuer's option exchange program, an option granted to the Reporting Person on March 3, 2021, and received in exchange for the option, these RSUs that vest in eight equal quarterly installments commencing May 1, 2024. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $27.61 · Expires 2025-03-31 | Direct | 0 |
Reported balance
After 2024-02-13 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2024-02-13 · Disposition to issuer · Disposed 8,379 · Balance 0 F1: On February 13, 2024, the Issuer canceled, pursuant to the Issuer's option exchange program, an option granted to the Reporting Person on February 27, 2020, and received in exchange for the option, these Restricted Stock Units ("RSUs") that vest in four equal quarterly installments commencing May 1, 2024. F4: This option is fully vested. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $32.44 · Expires 2025-03-31 | Direct | 0 |
Reported balance
After 2024-02-13 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2024-02-13 · Disposition to issuer · Disposed 25,718 · Balance 0 F2: On February 13, 2024, the Issuer canceled, pursuant to the Issuer's option exchange program, an option granted to the Reporting Person on March 3, 2021, and received in exchange for the option, these RSUs that vest in eight equal quarterly installments commencing May 1, 2024. F5: This option is fully vested. |
| Common StockSEC Table I · non-derivative | IndirectBy Trust | 141,392 |
Reported balance
Holding disclosure · report date 2024-02-13 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 141,392 F3: The securities are held of record by The 1994 Smither Family Trust, as Amended and Restated in 2014, of which the Reporting Person is a trustee. The Reporting Person disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of such securities for purposes of Section 16 or for any other purposes. |
Filing footnotes · ownership attribution and instrument terms
F1: On February 13, 2024, the Issuer canceled, pursuant to the Issuer's option exchange program, an option granted to the Reporting Person on February 27, 2020, and received in exchange for the option, these Restricted Stock Units ("RSUs") that vest in four equal quarterly installments commencing May 1, 2024.
F2: On February 13, 2024, the Issuer canceled, pursuant to the Issuer's option exchange program, an option granted to the Reporting Person on March 3, 2021, and received in exchange for the option, these RSUs that vest in eight equal quarterly installments commencing May 1, 2024.
F3: The securities are held of record by The 1994 Smither Family Trust, as Amended and Restated in 2014, of which the Reporting Person is a trustee. The Reporting Person disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of such securities for purposes of Section 16 or for any other purposes.
F4: This option is fully vested.
F5: This option is fully vested.
Attovia Therapeutics, Inc.
Report date August 04, 2026 · Filed August 04, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $9.29 · Expires 2036-07-01 | Direct | Not disclosed |
Reported balance
Holding disclosure · report date 2026-08-04 · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · Balance Not disclosed F1: The option vests over a three-year period, with 33% vesting on July 2, 2027, an additional 33% on July 2, 2028 and the final 33% on July 2, 2029, subject to continued service to the Issuer through each vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: The option vests over a three-year period, with 33% vesting on July 2, 2027, an additional 33% on July 2, 2028 and the final 33% on July 2, 2029, subject to continued service to the Issuer through each vesting date.
GENELUX Corp
Report date July 01, 2026 · Filed July 02, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 91,403 |
Reported balance
After 2026-07-01 transaction · row 1
1 source rowRow 1 · 2026-07-01 · Sale · Disposed 12,000 · Balance 91,403 F1: Represents shares sold by the Reporting Person to cover estimated taxes to be paid by the Reporting Person in connection with the vesting of restricted stock units. F2: The weighted average sale price for the transaction reported was $2.9082, and the range of prices were between $2.87 and $2.93. Upon request by the SEC staff, the Issuer, or any security holder of the Issuer, full information regarding the number of shares sold at each separate price will be provided. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents shares sold by the Reporting Person to cover estimated taxes to be paid by the Reporting Person in connection with the vesting of restricted stock units.
F2: The weighted average sale price for the transaction reported was $2.9082, and the range of prices were between $2.87 and $2.93. Upon request by the SEC staff, the Issuer, or any security holder of the Issuer, full information regarding the number of shares sold at each separate price will be provided.
MBX Biosciences, Inc.
Report date August 03, 2026 · Filed August 04, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 28,000 |
Reported balance
After 2026-08-03 transaction · row 1
1 source rowRow 1 · 2026-08-03 · Grant · Acquired 28,000 · Balance 28,000 F1: Represents the grant of restricted stock units ("RSUs"). 25% of the shares subject to the RSU grant will vest annually over four years, on each July 13, 2027, 2028, 2029 and 2030, subject to continued service on each such vesting date. |
| Stock option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $64.41 · Expires 2036-08-03 | Direct | 130,000 |
Reported balance
After 2026-08-03 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2026-08-03 · Grant · Acquired 130,000 · Balance 130,000 F2: The options will vest and become exercisable with 25% of the shares subject to the award vesting on July 13, 2027 and the remainder vesting in 36 equal monthly installments thereafter, subject to continued service on each such vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents the grant of restricted stock units ("RSUs"). 25% of the shares subject to the RSU grant will vest annually over four years, on each July 13, 2027, 2028, 2029 and 2030, subject to continued service on each such vesting date.
F2: The options will vest and become exercisable with 25% of the shares subject to the award vesting on July 13, 2027 and the remainder vesting in 36 equal monthly installments thereafter, subject to continued service on each such vesting date.
NewAmsterdam Pharma Co N.V.
Report date September 04, 2026 · Filed September 09, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Ordinary SharesSEC Table I · non-derivative | Direct | 8,760 |
Reported balance
After 2026-09-04 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2026-09-04 · Sale · Disposed 1,600 · Balance 8,760 F1: Reported transaction reflects a sale of ordinary shares to generate proceeds to satisfy the Reporting Person's tax obligations in connection with the prior vesting of restricted stock units. F2: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $25.24 to $25.37 per share. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold in each transaction. F3: Includes 8,040 ordinary shares subject to restricted stock unit awards that remain subject to vesting. |
Filing footnotes · ownership attribution and instrument terms
F1: Reported transaction reflects a sale of ordinary shares to generate proceeds to satisfy the Reporting Person's tax obligations in connection with the prior vesting of restricted stock units.
F2: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $25.24 to $25.37 per share. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold in each transaction.
F3: Includes 8,040 ordinary shares subject to restricted stock unit awards that remain subject to vesting.
Principia Biopharma Inc.
Report date February 19, 2019 · Filed February 21, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Director Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $30.30 · Expires 2029-02-18 | Direct | 20,475 |
Reported balance
After 2019-02-19 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2019-02-19 · Grant · Acquired 20,475 · Balance 20,475 F1: The stock option vests in equal monthly installments over a three year period such that the option is fully vested on the third anniversary of the date of grant, until such time as the option is 100% vested, subject to the continuing service of the Reporting Person on each vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: The stock option vests in equal monthly installments over a three year period such that the option is fully vested on the third anniversary of the date of grant, until such time as the option is 100% vested, subject to the continuing service of the Reporting Person on each vesting date.
Sienna Biopharmaceuticals, Inc.
Report date January 01, 2019 · Filed January 03, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 46,657 |
Reported balance
After 2019-01-01 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2019-01-01 · Grant · Acquired 45,000 · Balance 46,657 F1: Award of restricted stock units ("RSUs") granted under the Issuer's 2017 Incentive Award Plan. Each RSU entitles the Reporting Person to receive one share of Issuer common stock upon vesting. The award vests as to twenty-five percent (25%) of the total number of RSUs on July 1, 2019, twenty-five percent (25%) of the total number of RSUs on January 1, 2020, and the remaining fifty percent (50%) of the total number of RSUs on the second anniversary, in each case, subject to the Reporting Person's continued employment or service relationship with the Issuer through the applicable vesting date. F2: Includes a total of 1,657 shares of the Issuer's common stock acquired pursuant to the Issuer's Employee Stock Purchase Plan. |
| Stock Options (Right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.32 · Expires 2029-01-01 | Direct | 14,422 |
Reported balance
After 2019-01-01 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2019-01-01 · Grant · Acquired 14,422 · Balance 14,422 |
| Stock Options (Right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.32 · Expires 2029-01-01 | Direct | 22,500 |
Reported balance
After 2019-01-01 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2019-01-01 · Grant · Acquired 22,500 · Balance 22,500 F4: Twenty percent (20%) of the shares subject to the option vest and become exercisable upon satisfaction of one performance-based milestone, forty percent (40%) of the shares vest and become exercisable upon satisfaction of a second performance-based milestone, and the remaining forty percent (40%) of the shares vest and become exercisable upon satisfaction of a third performance-based milestone, subject to the Reporting Person's continued employment or service relationship with the Issuer on each such vesting date. |
| Stock Options (Right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.32 · Expires 2029-01-01 | Direct | 45,000 |
Reported balance
After 2019-01-01 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2019-01-01 · Grant · Acquired 22,500 · Balance 45,000 F5: Twenty-five percent (25%) of the shares subject to the option vest and become exercisable on July 1,2019, twenty-five percent (25%) of the shares vest and become exercisable on January 1, 2020, and the remaining shares vest and become exercisable in 12 successive, equal monthly installments thereafter, subject to the Reporting Person's continued employment or service relationship with the Issuer on each such vesting date. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 34,961 |
Reported balance
Holding disclosure · report date 2019-01-01 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 34,961 F3: The shares are directly held by the 1994 Smither Family Trust, as Amended and Restated in 2014. |
Filing footnotes · ownership attribution and instrument terms
F1: Award of restricted stock units ("RSUs") granted under the Issuer's 2017 Incentive Award Plan. Each RSU entitles the Reporting Person to receive one share of Issuer common stock upon vesting. The award vests as to twenty-five percent (25%) of the total number of RSUs on July 1, 2019, twenty-five percent (25%) of the total number of RSUs on January 1, 2020, and the remaining fifty percent (50%) of the total number of RSUs on the second anniversary, in each case, subject to the Reporting Person's continued employment or service relationship with the Issuer through the applicable vesting date.
F2: Includes a total of 1,657 shares of the Issuer's common stock acquired pursuant to the Issuer's Employee Stock Purchase Plan.
F3: The shares are directly held by the 1994 Smither Family Trust, as Amended and Restated in 2014.
F4: Twenty percent (20%) of the shares subject to the option vest and become exercisable upon satisfaction of one performance-based milestone, forty percent (40%) of the shares vest and become exercisable upon satisfaction of a second performance-based milestone, and the remaining forty percent (40%) of the shares vest and become exercisable upon satisfaction of a third performance-based milestone, subject to the Reporting Person's continued employment or service relationship with the Issuer on each such vesting date.
F5: Twenty-five percent (25%) of the shares subject to the option vest and become exercisable on July 1,2019, twenty-five percent (25%) of the shares vest and become exercisable on January 1, 2020, and the remaining shares vest and become exercisable in 12 successive, equal monthly installments thereafter, subject to the Reporting Person's continued employment or service relationship with the Issuer on each such vesting date.
eFFECTOR Therapeutics, Inc.
Report date June 22, 2023 · Filed June 23, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.82 · Expires 2033-06-21 | Direct | 20,000 |
Reported balance
After 2023-06-22 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2023-06-22 · Grant · Acquired 20,000 · Balance 20,000 F1: The option was granted pursuant to the Issuer's Non-Employee Director Compensation Program. The option shall vest in full on the earlier to occur of (A) the first anniversary of the date of grant or (B) the next occurring annual meeting of the Issuer's stockholders, subject to the Reporting Person's continuous service on the board of directors of the Issuer through such vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: The option was granted pursuant to the Issuer's Non-Employee Director Compensation Program. The option shall vest in full on the earlier to occur of (A) the first anniversary of the date of grant or (B) the next occurring annual meeting of the Issuer's stockholders, subject to the Reporting Person's continuous service on the board of directors of the Issuer through such vesting date.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Applied Molecular Transport Inc.
Report date December 27, 2023 · Filed December 28, 2023
Section 16 reporting ended · disclosed 2023-12-28. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $8.01 · Expires 2032-01-27 | Direct | 0 |
Reported balance
After 2023-12-27 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2023-12-27 · Disposition to issuer · Disposed 60,000 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger dated as of September 21, 2023 (the "Merger Agreement"), by and among Cyclo Therapeutics, Inc. ("Cyclo"), Cameo Merger Sub, Inc. and the Issuer, at the effective time of the merger, each outstanding option with an exercise price of $0.40 or more was cancelled effective as of the closing. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.13 · Expires 2033-05-24 | Direct | 0 |
Reported balance
After 2022-05-24 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2022-05-24 · Disposition to issuer · Disposed 20,000 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger dated as of September 21, 2023 (the "Merger Agreement"), by and among Cyclo Therapeutics, Inc. ("Cyclo"), Cameo Merger Sub, Inc. and the Issuer, at the effective time of the merger, each outstanding option with an exercise price of $0.40 or more was cancelled effective as of the closing. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.34 · Expires 2033-06-14 | Direct | 0 |
Reported balance
After 2023-12-27 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2023-12-27 · Disposition to issuer · Disposed 20,000 · Balance 0 F2: Pursuant to the terms of the Merger Agreement, this option was exchanged for an option covering 2,662 shares of Cyclo Common Stock. |
Filing footnotes · ownership attribution and instrument terms
F1: Pursuant to the Agreement and Plan of Merger dated as of September 21, 2023 (the "Merger Agreement"), by and among Cyclo Therapeutics, Inc. ("Cyclo"), Cameo Merger Sub, Inc. and the Issuer, at the effective time of the merger, each outstanding option with an exercise price of $0.40 or more was cancelled effective as of the closing.
F2: Pursuant to the terms of the Merger Agreement, this option was exchanged for an option covering 2,662 shares of Cyclo Common Stock.
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 |
|---|---|---|---|---|---|---|
| September 04, 2026 Filed Sep 9, 2026 20:30 UTC | NewAmsterdam Pharma Co N.V. NAMS · Entity 1826 | SaleOrdinary Shares | 1,600 | $25.32 | $40,512.00 |
DisclosureSEC source: 0001193125-26-386508 · ownership.xml · nonDerivative · entry 1 Smither John W · CIK 0001559583 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 8,760 F1 · kind: Reported transaction reflects a sale of ordinary shares to generate proceeds to satisfy the Reporting Person's tax obligations in connection with the prior vesting of restricted stock units. F2 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $25.24 to $25.37 per share. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold in each transaction. F3 · balance_after: Includes 8,040 ordinary shares subject to restricted stock unit awards that remain subject to vesting. Read SEC document |
| August 03, 2026 Filed Aug 4, 2026 12:51 UTC | MBX Biosciences, Inc. MBX · Entity 4247 | GrantStock option (right to buy) · Derivative | 130,000 | $0.00 Strike: $64.41 | $0.00 |
DisclosureSEC source: 0001193125-26-331642 · ownership.xml · derivative · entry 2 Smither John W · CIK 0001559583 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 130,000 Underlying: Common Stock · 130,000 shares Expires 2036-08-03 F2 · derivative.exercise_date: The options will vest and become exercisable with 25% of the shares subject to the award vesting on July 13, 2027 and the remainder vesting in 36 equal monthly installments thereafter, subject to continued service on each such vesting date. Read SEC document |
| August 03, 2026 Filed Aug 4, 2026 12:51 UTC | MBX Biosciences, Inc. MBX · Entity 4247 | GrantCommon Stock | 28,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001193125-26-331642 · ownership.xml · nonDerivative · entry 1 Smither John W · CIK 0001559583 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 28,000 F1 · shares: Represents the grant of restricted stock units ("RSUs"). 25% of the shares subject to the RSU grant will vest annually over four years, on each July 13, 2027, 2028, 2029 and 2030, subject to continued service on each such vesting date. Read SEC document |
| July 01, 2026 Filed Jul 2, 2026 20:35 UTC | GENELUX Corp GNLX · Entity 1116 | SaleCommon Stock | 12,000 | $2.91 | $34,898.40 |
DisclosureSEC source: 0001493152-26-031927 · ownership.xml · nonDerivative · entry 1 Smither John W · CIK 0001559583 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 91,403 F1 · kind: Represents shares sold by the Reporting Person to cover estimated taxes to be paid by the Reporting Person in connection with the vesting of restricted stock units. F2 · price: The weighted average sale price for the transaction reported was $2.9082, and the range of prices were between $2.87 and $2.93. Upon request by the SEC staff, the Issuer, or any security holder of the Issuer, full information regarding the number of shares sold at each separate price will be provided. Read SEC document |
| June 16, 2026 Filed Jun 18, 2026 23:05 UTC | GENELUX Corp GNLX · Entity 1116 | GrantStock Option (Right to Buy) · Derivative | 31,566 | $0.00 Strike: $3.03 | $0.00 |
DisclosureSEC source: 0001493152-26-029413 · ownership.xml · derivative · entry 2 Smither John W · CIK 0001559583 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 31,566 Underlying: Common stock · 31,566 shares Expires 2036-06-15 F2 · derivative.exercise_date: The shares subject to the option will vest upon the earlier of (a) the one-year anniversary of the date of grant and (b) the date of the Issuer's next annual meeting of stockholders. Read SEC document |
| June 16, 2026 Filed Jun 18, 2026 23:05 UTC | GENELUX Corp GNLX · Entity 1116 | GrantCommon Stock | 28,409 | $0.00 | $0.00 |
DisclosureSEC source: 0001493152-26-029413 · ownership.xml · nonDerivative · entry 1 Smither John W · CIK 0001559583 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 103,403 F1 · kind: Represents restricted stock units ("RSUs") granted pursuant to the Issuer's 2022 Equity Incentive Plan. Each RSU represents the contingent right to receive one share of common stock upon vesting. The RSUs will vest upon the earlier of (a) the one-year anniversary of the date of grant and (b) the date of the Issuer's next annual meeting of stockholders. Read SEC document |
| January 07, 2026 Filed Jan 10, 2026 00:33 UTC | NewAmsterdam Pharma Co N.V. NAMS · Entity 1826 | GrantOption (right to buy) · Derivative | 15,300 | $0.00 Strike: $35.45 | $0.00 |
DisclosureSEC source: 0001193125-26-009270 · ownership.xml · derivative · entry 2 Smither John W · CIK 0001559583 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 15,300 Underlying: Ordinary Shares · 15,300 shares Expires 2036-01-07 F3 · derivative.exercise_date: All of the ordinary shares underlying the option will vest on January 2, 2027, the one-year anniversary of the vesting start date, subject to the Reporting Person's continued service through such date. Read SEC document |
| January 07, 2026 Filed Jan 10, 2026 00:33 UTC | NewAmsterdam Pharma Co N.V. NAMS · Entity 1826 | GrantOrdinary Shares | 3,400 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001193125-26-009270 · ownership.xml · nonDerivative · entry 1 Smither John W · CIK 0001559583 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 10,360 F1 · shares: Represents restricted stock units (RSUs), each representing a contingent right to receive one ordinary share. All of the RSUs will vest on the one-year anniversary of the vesting start date, subject to the Reporting Person's continued service through such date. F2 · price: Each RSU was granted on January 7, 2026 for no consideration. Read SEC document |
| August 27, 2025 Filed Aug 29, 2025 20:30 UTC | GENELUX Corp GNLX · Entity 1116 | GrantStock Option (Right to Buy) · Derivative | 28,576 | $0.00 Strike: $3.64 | $0.00 |
DisclosureSEC source: 0001641172-25-026005 · ownership.xml · derivative · entry 2 Smither John W · CIK 0001559583 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 28,576 Underlying: Common stock · 28,576 shares Expires 2035-08-26 F2 · derivative.exercise_date: The shares subject to the option will vest upon the earlier of (a) the one-year anniversary of the date of grant and (b) the date of the Issuer's next annual meeting of stockholders. Read SEC document |
| August 27, 2025 Filed Aug 29, 2025 20:30 UTC | GENELUX Corp GNLX · Entity 1116 | GrantCommon Stock | 22,283 | $0.00 | $0.00 |
DisclosureSEC source: 0001641172-25-026005 · ownership.xml · nonDerivative · entry 1 Smither John W · CIK 0001559583 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 74,994 F1 · kind: Represents restricted stock units ("RSUs") granted pursuant to the Issuer's 2022 Equity Incentive Plan. Each RSU represents the contingent right to receive one share of common stock upon vesting. The RSUs will vest upon the earlier of (a) the one-year anniversary of the date of grant and (b) the date of the Issuer's next annual meeting of stockholders. Read SEC document |
| January 07, 2025 Filed Jan 8, 2025 23:09 UTC | NewAmsterdam Pharma Co N.V. NAMS · Entity 1826 | GrantOrdinary Shares | 6,960 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000950170-25-003570 · ownership.xml · nonDerivative · entry 1 Smither John W · CIK 0001559583 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 6,960 F1 · shares: Represents restricted stock units (RSUs), each representing a contingent right to receive one ordinary share. 1/3 of the RSUs will vest on each of the first, second and third anniversaries of the vesting start date, subject to the Reporting Person's continued service through each such date. F2 · price: Each RSU was granted on January 7, 2025 for no consideration. Read SEC document |
| January 06, 2025 Filed Jan 8, 2025 23:09 UTC | NewAmsterdam Pharma Co N.V. NAMS · Entity 1826 | GrantOption (right to buy) · Derivative | 32,500 | $0.00 Strike: $25.85 | $0.00 |
DisclosureSEC source: 0000950170-25-003570 · ownership.xml · derivative · entry 2 Smither John W · CIK 0001559583 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 32,500 Underlying: Ordinary Shares · 32,500 shares Expires 2035-01-06 F3 · derivative.exercise_date: 1/3 of the shares underlying the option will vest on January 6, 2026, the one-year anniversary of vesting start date, with the remaining shares vesting in equal monthly installments thereafter for two years, subject to the Reporting Person's continued service through each such date. Read SEC document |
| August 01, 2024 Filed Aug 5, 2024 22:34 UTC | GENELUX Corp GNLX · Entity 1116 | GrantStock Option Right to Buy) · Derivative | 50,469 | $0.00 Strike: $1.54 | $0.00 |
DisclosureSEC source: 0001415889-24-020778 · form4-08052024_100852.xml · derivative · entry 2 Smither John W · CIK 0001559583 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 50,469 Underlying: Common Stock · 50,469 shares Expires 2034-07-31 F2 · derivative.exercise_date: The shares subject to the option will vest upon the earlier of (a) the one-year anniversary of the date of grant and (b) the date of the Issuer's next annual meeting of stockholders. Read SEC document |
| August 01, 2024 Filed Aug 5, 2024 22:34 UTC | GENELUX Corp GNLX · Entity 1116 | GrantCommon Stock | 39,541 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-24-020778 · form4-08052024_100852.xml · nonDerivative · entry 1 Smither John W · CIK 0001559583 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 52,711 F1 · kind: Represents restricted stock units ("RSUs") granted pursuant to the Issuer's 2022 Equity Incentive Plan. Each RSU represents the contingent right to receive one share of common stock upon vesting. The RSUs will vest upon the earlier of (a) the one-year anniversary of the date of grant and (b) the date of the Issuer's next annual meeting of stockholders. Read SEC document |
| August 01, 2024 Filed Dec 31, 2024 18:20 UTC Amendment | GENELUX Corp GNLX · Entity 1116 | GrantStock Option Right to Buy) · Derivative | 50,469 | $0.00 Strike: $1.96 | $0.00 |
DisclosureSEC source: 0001415889-24-030275 · form4a-12312024_011203.xml · derivative · entry 1 Smither John W · CIK 0001559583 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 50,469 Underlying: Common Stock · 50,469 shares Expires 2034-07-31 F1 · derivative.exercise_date: The shares subject to the option will vest upon the earlier of (a) the one-year anniversary of the date of grant and (b) the date of the Issuer's next annual meeting of stockholders. Read SEC document |
| May 29, 2024 Filed Jun 8, 2024 01:45 UTC | GENELUX Corp GNLX · Entity 1116 | PurchaseCommon Stock Warrant (Right to Buy) · Derivative | 6,250 | Not disclosed Strike: $5.25 | Not disclosed |
DisclosureSEC source: 0001415889-24-016109 · form4-06072024_090615.xml · derivative · entry 2 Smither John W · CIK 0001559583 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 6,250 Underlying: Common Stock · 6,250 shares Expires 2029-05-29 F1 · price: The reported securities consist of shares of common stock sold together with accompanying warrants to purchase common stock. The combined price of each share of common stock offered together with one warrant was $4.00. Read SEC document |
| May 29, 2024 Filed Jun 8, 2024 01:45 UTC | GENELUX Corp GNLX · Entity 1116 | PurchaseCommon Stock | 6,250 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001415889-24-016109 · form4-06072024_090615.xml · nonDerivative · entry 1 Smither John W · CIK 0001559583 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 13,170 F1 · price: The reported securities consist of shares of common stock sold together with accompanying warrants to purchase common stock. The combined price of each share of common stock offered together with one warrant was $4.00. Read SEC document |
| February 13, 2024 Filed Feb 15, 2024 23:23 UTC | Arcutis Biotherapeutics, Inc. ARQT · Entity 4236 | Disposition to issuerStock Option (right to buy) · Derivative | 25,718 | Not disclosed Strike: $32.44 | Not disclosed |
DisclosureSEC source: 0001787306-24-000014 · wk-form4_1708039415.xml · derivative · entry 5 Smither John W · CIK 0001559583 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 25,718 shares Expires 2025-03-31 F2 · price: On February 13, 2024, the Issuer canceled, pursuant to the Issuer's option exchange program, an option granted to the Reporting Person on March 3, 2021, and received in exchange for the option, these RSUs that vest in eight equal quarterly installments commencing May 1, 2024. F5 · derivative.exercise_date: This option is fully vested. Read SEC document |
| February 13, 2024 Filed Feb 15, 2024 23:23 UTC | Arcutis Biotherapeutics, Inc. ARQT · Entity 4236 | Disposition to issuerStock Option (right to buy) · Derivative | 8,379 | Not disclosed Strike: $27.61 | Not disclosed |
DisclosureSEC source: 0001787306-24-000014 · wk-form4_1708039415.xml · derivative · entry 4 Smither John W · CIK 0001559583 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 8,379 shares Expires 2025-03-31 F1 · price: On February 13, 2024, the Issuer canceled, pursuant to the Issuer's option exchange program, an option granted to the Reporting Person on February 27, 2020, and received in exchange for the option, these Restricted Stock Units ("RSUs") that vest in four equal quarterly installments commencing May 1, 2024. F4 · derivative.exercise_date: This option is fully vested. Read SEC document |
| February 13, 2024 Filed Feb 15, 2024 23:23 UTC | Arcutis Biotherapeutics, Inc. ARQT · Entity 4236 | GrantCommon Stock | 8,572 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001787306-24-000014 · wk-form4_1708039415.xml · nonDerivative · entry 2 Smither John W · CIK 0001559583 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 11,365 F2 · price: On February 13, 2024, the Issuer canceled, pursuant to the Issuer's option exchange program, an option granted to the Reporting Person on March 3, 2021, and received in exchange for the option, these RSUs that vest in eight equal quarterly installments commencing May 1, 2024. Read SEC document |
| February 13, 2024 Filed Feb 15, 2024 23:23 UTC | Arcutis Biotherapeutics, Inc. ARQT · Entity 4236 | GrantCommon Stock | 2,793 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001787306-24-000014 · wk-form4_1708039415.xml · nonDerivative · entry 1 Smither John W · CIK 0001559583 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,793 F1 · price: On February 13, 2024, the Issuer canceled, pursuant to the Issuer's option exchange program, an option granted to the Reporting Person on February 27, 2020, and received in exchange for the option, these Restricted Stock Units ("RSUs") that vest in four equal quarterly installments commencing May 1, 2024. Read SEC document |
| January 01, 2024 Filed Jan 3, 2024 22:13 UTC | NewAmsterdam Pharma Co N.V. NAMS · Entity 1826 | GrantOption (right to buy) · Derivative | 10,000 | $0.00 Strike: $11.17 | $0.00 |
DisclosureSEC source: 0000950170-24-001112 · ownership.xml · derivative · entry 1 Smither John W · CIK 0001559583 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 10,000 Underlying: Ordinary Shares · 10,000 shares Expires 2034-01-01 F1 · derivative.exercise_date: 25% of the shares underlying the option will vest on January 1, 2025, the one-year anniversary of vesting start date, with the remaining shares vesting in equal monthly installments thereafter for three years, subject to the Reporting Person's continued service through each such date. Read SEC document |
| December 27, 2023 Filed Dec 28, 2023 17:38 UTC | Applied Molecular Transport Inc. AMTI · Entity 95737 | Disposition to issuerStock Option (Right to Buy) · Derivative | 20,000 | $0.00 Strike: $0.34 | $0.00 |
DisclosureSEC source: 0001209191-23-059940 · doc4.xml · derivative · entry 3 Smither John W · CIK 0001559583 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 20,000 shares Expires 2033-06-14 F2 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, this option was exchanged for an option covering 2,662 shares of Cyclo Common Stock. Read SEC document |
| December 27, 2023 Filed Dec 28, 2023 17:38 UTC | Applied Molecular Transport Inc. AMTI · Entity 95737 | Disposition to issuerStock Option (Right to Buy) · Derivative | 60,000 | $0.00 Strike: $8.01 | $0.00 |
DisclosureSEC source: 0001209191-23-059940 · doc4.xml · derivative · entry 1 Smither John W · CIK 0001559583 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 60,000 shares Expires 2032-01-27 F1 · derivative.exercise_date: Pursuant to the Agreement and Plan of Merger dated as of September 21, 2023 (the "Merger Agreement"), by and among Cyclo Therapeutics, Inc. ("Cyclo"), Cameo Merger Sub, Inc. and the Issuer, at the effective time of the merger, each outstanding option with an exercise price of $0.40 or more was cancelled effective as of the closing. Read SEC document |
| September 13, 2023 Filed Sep 15, 2023 00:18 UTC | GENELUX Corp GNLX · Entity 1116 | SaleCommon Stock | 900 | $20.78 | $18,702.00 |
DisclosureSEC source: 0001209191-23-049519 · doc4.xml · nonDerivative · entry 1 Smither John W · CIK 0001559583 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 6,920 Read SEC document |
| September 11, 2023 Filed Sep 14, 2023 00:14 UTC | GENELUX Corp GNLX · Entity 1116 | GrantStock Option (Right to Buy) · Derivative | 8,447 | $0.00 Strike: $22.40 | $0.00 |
DisclosureSEC source: 0001209191-23-049364 · doc4.xml · derivative · entry 2 Smither John W · CIK 0001559583 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 8,447 Underlying: Common Stock · 8,447 shares Expires 2033-09-10 F2 · derivative.exercise_date: The shares subject to the option shall vest in equal monthly installments over a three year period following the date of grant. Read SEC document |
| September 11, 2023 Filed Sep 14, 2023 00:14 UTC | GENELUX Corp GNLX · Entity 1116 | GrantCommon Stock | 6,920 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-23-049364 · doc4.xml · nonDerivative · entry 1 Smither John W · CIK 0001559583 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 7,820 F1 · kind: Represents restricted stock units ("RSUs") granted pursuant to the Issuer's 2022 Equity Incentive Plan. Each RSU represents the contingent right to receive one share of common stock upon vesting. The RSUs shall vest in equal monthly installments over a three year period following the date of grant. Read SEC document |
| August 31, 2023 Filed Sep 6, 2023 01:38 UTC | Arcutis Biotherapeutics, Inc. ARQT · Entity 4236 | GrantStock Option (right to buy) · Derivative | 125,000 | $0.00 Strike: $8.54 | $0.00 |
DisclosureSEC source: 0001787306-23-000088 · wk-form4_1693964312.xml · derivative · entry 1 Smither John W · CIK 0001559583 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 125,000 Underlying: Common Stock · 125,000 shares Expires 2033-08-31 F1 · derivative.exercise_date: The option vests 1/48 of the total shares in equal monthly installments over a four year period, beginning September 30, 2023, subject to the Reporting Person's continuous provision of services to the Issuer on each vesting date. The option contains an early-exercise provision and is exercisable as to unvested shares, subject to the Issuer's right of repurchase. Read SEC document |
| June 22, 2023 Filed Jun 23, 2023 00:16 UTC | eFFECTOR Therapeutics, Inc. EFTR · Entity 89916 | GrantStock Option (Right to Buy) · Derivative | 20,000 | $0.00 Strike: $0.82 | $0.00 |
DisclosureSEC source: 0001209191-23-039205 · doc4.xml · derivative · entry 1 Smither John W · CIK 0001559583 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2033-06-21 F1 · derivative.exercise_date: The option was granted pursuant to the Issuer's Non-Employee Director Compensation Program. The option shall vest in full on the earlier to occur of (A) the first anniversary of the date of grant or (B) the next occurring annual meeting of the Issuer's stockholders, subject to the Reporting Person's continuous service on the board of directors of the Issuer through such vesting date. Read SEC document |
| June 14, 2023 Filed Jun 15, 2023 17:28 UTC | Applied Molecular Transport Inc. AMTI · Entity 95737 | GrantStock Option (Right to Buy) · Derivative | 20,000 | $0.00 Strike: $0.34 | $0.00 |
DisclosureSEC source: 0001209191-23-037454 · doc4.xml · derivative · entry 1 Smither John W · CIK 0001559583 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2033-06-14 F1 · derivative.exercise_date: 100% of the stock option granted on June 14, 2023 will become vested on the earlier of (i) June 14, 2024 or (ii) the business day prior to the date of the 2024 annual meeting of stockholders. Read SEC document |
| January 20, 2023 Filed Jan 24, 2023 21:15 UTC | eFFECTOR Therapeutics, Inc. EFTR · Entity 89916 | GrantStock Option (Right to Buy) · Derivative | 36,875 | $0.00 Strike: $0.47 | $0.00 |
DisclosureSEC source: 0001209191-23-004591 · doc4.xml · derivative · entry 1 Smither John W · CIK 0001559583 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,875 Underlying: Common Stock · 36,875 shares Expires 2033-01-19 F1 · derivative.exercise_date: The shares subject to the option will vest in substantially equal monthly installments over 12 months, commencing on January 20, 2023, subject to the Reporting Person's continued service with the Issuer through each vesting date. Read SEC document |
| June 09, 2022 Filed Jun 13, 2022 22:51 UTC | eFFECTOR Therapeutics, Inc. EFTR · Entity 89916 | GrantStock Option (Right to Buy) · Derivative | 20,000 | $0.00 Strike: $1.65 | $0.00 |
DisclosureSEC source: 0001209191-22-036453 · doc4.xml · derivative · entry 1 Smither John W · CIK 0001559583 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2032-06-08 F1 · derivative.exercise_date: The option was granted pursuant to the Issuer's Non-Employee Director Compensation Program. The option shall vest in full on the earlier to occur of (A) the first anniversary of the date of grant or (B) the next occurring annual meeting of the Issuer's stockholders, subject to the Reporting Person's continuous service on the board of directors of the Issuer through such vesting date. Read SEC document |
| May 24, 2022 Filed May 26, 2022 17:23 UTC | Applied Molecular Transport Inc. AMTI · Entity 95737 | GrantStock Option (Right to Buy) · Derivative | 20,000 | $0.00 Strike: $3.13 | $0.00 |
DisclosureSEC source: 0001209191-22-032280 · doc4.xml · derivative · entry 1 Smither John W · CIK 0001559583 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2032-05-24 F1 · derivative.exercise_date: 100% of the stock option granted on May 24, 2022 will become vested on the earlier of (i) May 24, 2023 or (ii) the business day prior to the date of the 2023 annual meeting of stockholders. Read SEC document |
| May 24, 2022 Filed Dec 28, 2023 17:38 UTC | Applied Molecular Transport Inc. AMTI · Entity 95737 | Disposition to issuerStock Option (Right to Buy) · Derivative | 20,000 | $0.00 Strike: $3.13 | $0.00 |
DisclosureSEC source: 0001209191-23-059940 · doc4.xml · derivative · entry 2 Smither John W · CIK 0001559583 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 20,000 shares Expires 2033-05-24 F1 · derivative.exercise_date: Pursuant to the Agreement and Plan of Merger dated as of September 21, 2023 (the "Merger Agreement"), by and among Cyclo Therapeutics, Inc. ("Cyclo"), Cameo Merger Sub, Inc. and the Issuer, at the effective time of the merger, each outstanding option with an exercise price of $0.40 or more was cancelled effective as of the closing. Read SEC document |
| January 27, 2022 Filed Jan 31, 2022 17:39 UTC | Applied Molecular Transport Inc. AMTI · Entity 95737 | GrantStock Option (Right to Buy) · Derivative | 60,000 | $0.00 Strike: $8.01 | $0.00 |
DisclosureSEC source: 0001209191-22-005705 · doc4.xml · derivative · entry 1 Smither John W · CIK 0001559583 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,000 Underlying: Common Stock · 60,000 shares Expires 2032-01-27 F1 · shares: 1/36th of the shares subject to the option will become vested and exercisable on the Exercisable Date set forth above and 1/36th of the shares subject to the option shall continue to vest each month thereafter, provided that Reporting Person is a service provider to the Issuer as of each such vesting date. Read SEC document |
| October 06, 2021 Filed Oct 8, 2021 21:18 UTC | eFFECTOR Therapeutics, Inc. EFTR · Entity 89916 | GrantStock Option (Right to Buy) · Derivative | 40,000 | $0.00 Strike: $11.36 | $0.00 |
DisclosureSEC source: 0001209191-21-060072 · doc4.xml · derivative · entry 1 Smither John W · CIK 0001559583 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Stock · 40,000 shares Expires 2031-10-05 F1 · derivative.exercise_date: The shares subject to the option will vest in substantially equal monthly installments over three years, commencing on August 25, 2021, subject to the Reporting Person's continued service with the Issuer through each vesting date. Read SEC document |
| August 25, 2021 Filed Aug 27, 2021 22:26 UTC | eFFECTOR Therapeutics, Inc. EFTR · Entity 89916 | GrantEarn-out Right · Derivative | 3,556 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-053707 · doc4.xml · derivative · entry 3 Smither John W · CIK 0001559583 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,556 Underlying: Common Stock · 3,556 shares Expires not disclosed F4 · derivative.exercise_price: Each earn-out right represents a contingent right to receive one share of the Issuer's common stock. Pursuant to an "Earn-Out" provision in the Merger Agreement, the earn-out rights vest upon the Issuer's common stock achieving a price per share which equals or exceeds $20.00 over at least 20 trading days out of a 30 consecutive trading day period prior to August 26, 2023. F4 · shares: Each earn-out right represents a contingent right to receive one share of the Issuer's common stock. Pursuant to an "Earn-Out" provision in the Merger Agreement, the earn-out rights vest upon the Issuer's common stock achieving a price per share which equals or exceeds $20.00 over at least 20 trading days out of a 30 consecutive trading day period prior to August 26, 2023. F4 · price: Each earn-out right represents a contingent right to receive one share of the Issuer's common stock. Pursuant to an "Earn-Out" provision in the Merger Agreement, the earn-out rights vest upon the Issuer's common stock achieving a price per share which equals or exceeds $20.00 over at least 20 trading days out of a 30 consecutive trading day period prior to August 26, 2023. F4 · derivative.exercise_date: Each earn-out right represents a contingent right to receive one share of the Issuer's common stock. Pursuant to an "Earn-Out" provision in the Merger Agreement, the earn-out rights vest upon the Issuer's common stock achieving a price per share which equals or exceeds $20.00 over at least 20 trading days out of a 30 consecutive trading day period prior to August 26, 2023. F4 · derivative.expiration_date: Each earn-out right represents a contingent right to receive one share of the Issuer's common stock. Pursuant to an "Earn-Out" provision in the Merger Agreement, the earn-out rights vest upon the Issuer's common stock achieving a price per share which equals or exceeds $20.00 over at least 20 trading days out of a 30 consecutive trading day period prior to August 26, 2023. Read SEC document |
| August 25, 2021 Filed Aug 27, 2021 22:26 UTC | eFFECTOR Therapeutics, Inc. EFTR · Entity 89916 | GrantStock Option (Right to Buy) · Derivative | 24,142 | $0.00 Strike: $1.97 | $0.00 |
DisclosureSEC source: 0001209191-21-053707 · doc4.xml · derivative · entry 2 Smither John W · CIK 0001559583 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,142 Underlying: Common Stock · 24,142 shares Expires 2028-03-26 F2 · shares: At the Effective Time, each outstanding option to purchase shares of old eFFECTOR common stock (each an "old eFFECTOR Option") was automatically cancelled and converted into an option to purchase a number of shares of common stock of the Issuer equal to (i) the number of shares of old eFFECTOR common stock subject to the applicable old eFFECTOR Option multiplied by (ii) the Exchange Ratio, rounded down to the nearest whole share. F3 · derivative.exercise_date: The stock option vests 25% on March 22, 2019, and in 36 monthly installments thereafter, subject to the Reporting Person's continued service through the applicable vesting date. Read SEC document |
| August 25, 2021 Filed Aug 27, 2021 22:26 UTC | eFFECTOR Therapeutics, Inc. EFTR · Entity 89916 | GrantCommon Stock | 24,142 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-21-053707 · doc4.xml · nonDerivative · entry 1 Smither John W · CIK 0001559583 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,142 F1 · price: On August 25, 2021, pursuant to that certain Agreement and Plan of Merger, dated as of May 26, 2021 (the "Merger Agreement"), by and among the Issuer (f/k/a Locust Walk Acquisition Corp.), Locust Walk Merger Sub, Inc. ("Merger Sub"), and eFFECTOR Therapeutics, Inc. ("Old eFFECTOR"), Merger Sub merged with and into Old eFFECTOR with Old eFFECTOR surviving as a wholly owned subsidiary of the Issuer (the "Merger"). Upon consummation of the Merger (the "Effective Time"), each issued and outstanding share of common stock of Old eFFECTOR was automatically cancelled and converted into approximately 0.09657 (the "Exchange Ratio") shares of common stock of the Issuer. Read SEC document |
| March 10, 2021 Filed Mar 11, 2021 20:59 UTC | Arcutis Biotherapeutics, Inc. ARQT · Entity 4236 | Exercise / conversionStock Option (Right to Buy) · Derivative | 500 | $0.00 Strike: $1.68 | $0.00 |
DisclosureSEC source: 0001567619-21-006086 · doc1.xml · derivative · entry 4 Smither John W · CIK 0001559583 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,982 Underlying: Common Stock · 500 shares Expires 2029-05-14 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: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person. F4 · derivative.exercise_date: The option began vesting monthly over a four year period beginning upon the achievement of certain company milestones, subject to the Reporting Person's continuous provision of services to the Issuer on each vesting date. The option contains an early-exercise provision and is exercisable as to unvested shares, subject to the Issuer's right of repurchase. Read SEC document |
| March 10, 2021 Filed Mar 11, 2021 20:59 UTC | Arcutis Biotherapeutics, Inc. ARQT · Entity 4236 | SaleCommon Stock | 1,250 | $32.90 | $41,125.00 |
DisclosureSEC source: 0001567619-21-006086 · doc1.xml · nonDerivative · entry 3 Smither John W · CIK 0001559583 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 86,715 F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person. F3 · ownership.nature: The securities are held of record by The 1994 Smither Family Trust, as Amended and Restated in 2014, of which the Reporting Person is a trustee. The Reporting Person disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of such securities for purposes of Section 16 or for any other purposes. Read SEC document |
| March 10, 2021 Filed Mar 11, 2021 20:59 UTC | Arcutis Biotherapeutics, Inc. ARQT · Entity 4236 | SaleCommon Stock | 500 | $32.90 | $16,450.00 |
DisclosureSEC source: 0001567619-21-006086 · doc1.xml · nonDerivative · entry 2 Smither John W · CIK 0001559583 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,321 F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person. F2 · balance_after: Includes 16,250 Restricted Stock Units ("RSUs"). The Reporting Person is entitled to receive one (1) share of common stock for each one (1) RSU upon the vesting thereof. Read SEC document |
| March 10, 2021 Filed Mar 11, 2021 20:59 UTC | Arcutis Biotherapeutics, Inc. ARQT · Entity 4236 | Exercise / conversionCommon Stock | 500 | $1.68 | $840.30 |
DisclosureSEC source: 0001567619-21-006086 · doc1.xml · nonDerivative · entry 1 Smither John W · CIK 0001559583 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,821 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: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person. F2 · balance_after: Includes 16,250 Restricted Stock Units ("RSUs"). The Reporting Person is entitled to receive one (1) share of common stock for each one (1) RSU upon the vesting thereof. Read SEC document |
| March 04, 2021 Filed Mar 5, 2021 20:55 UTC | Arcutis Biotherapeutics, Inc. ARQT · Entity 4236 | Exercise / conversionStock Option (Right to Buy) · Derivative | 12,396 | $0.00 Strike: $1.68 | $0.00 |
DisclosureSEC source: 0001567619-21-005736 · doc1.xml · derivative · entry 5 Smither John W · CIK 0001559583 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 97,684 Underlying: Common Stock · 12,396 shares Expires 2029-05-14 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 · kind: Reflects cash exercise of stock option without the disposition of the underlying shares. F6 · derivative.exercise_date: 1/4th of the shares subject to the option vest on the one year anniversary measured from May 1, 2019 (the "Vesting Commencement Date"), and 1/48th of the shares vest monthly thereafter such that 100% of the shares subject to the option will be fully vested on the fourth anniversary of the Vesting Commencement Date, subject to the Reporting Person's continued service to the Issuer. The option contains an early-exercise provision and is exercisable as to unvested shares, subject to the Issuer's right of repurchase. Read SEC document |
| March 04, 2021 Filed Mar 5, 2021 20:55 UTC | Arcutis Biotherapeutics, Inc. ARQT · Entity 4236 | Exercise / conversionCommon Stock | 12,396 | $1.68 | $20,832.72 |
DisclosureSEC source: 0001567619-21-005736 · doc1.xml · nonDerivative · entry 2 Smither John W · CIK 0001559583 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,321 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 · kind: Reflects cash exercise of stock option without the disposition of the underlying shares. F2 · balance_after: Includes 16,250 RSUs. Read SEC document |
| March 03, 2021 Filed Mar 5, 2021 20:55 UTC | Arcutis Biotherapeutics, Inc. ARQT · Entity 4236 | GrantStock Option (Right to Buy) · Derivative | 28,800 | $0.00 Strike: $32.44 | $0.00 |
DisclosureSEC source: 0001567619-21-005736 · doc1.xml · derivative · entry 4 Smither John W · CIK 0001559583 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,800 Underlying: Common Stock · 28,800 shares Expires 2031-03-03 F5 · derivative.exercise_date: 1/48th of the shares subject to the option vest on each monthly anniversary measured from March 3, 2021 (the "Vesting Commencement Date"), such that 100% of the shares subject to the option will be fully vested and exercisable on the fourth anniversary of the Vesting Commencement Date, subject to the Reporting Person's continued service to the Issuer. Read SEC document |
| March 03, 2021 Filed Mar 5, 2021 20:55 UTC | Arcutis Biotherapeutics, Inc. ARQT · Entity 4236 | GrantCommon Stock | 9,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001567619-21-005736 · doc1.xml · nonDerivative · entry 1 Smither John W · CIK 0001559583 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,925 F1 · shares: Constitute restricted stock units ("RSUs") for which the Reporting Person is entitled to receive one (1) share of common stock for each one (1) RSU upon vesting. 25% of the RSUs vest annually on March 3 of each year, beginning March 3, 2022, subject to the Reporting Person's continued service to the Issuer. F2 · balance_after: Includes 16,250 RSUs. Read SEC document |
| March 01, 2021 Filed Mar 3, 2021 21:48 UTC | Arcutis Biotherapeutics, Inc. ARQT · Entity 4236 | SaleCommon Stock | 773 | $34.20 | $26,439.69 |
DisclosureSEC source: 0001567619-21-005540 · doc1.xml · nonDerivative · entry 1 Smither John W · CIK 0001559583 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,425 F1 · kind: The sale was effected pursuant to the Reporting Person's Rule 10b5-1 trading plan to satisfy tax withholding obligations in connection with the vesting of Restricted Stock Units ("RSUs"). Shares and RSUs remain subject to a lock-up agreement with the underwriters for the Issuer's follow-on offering in February 2021. F2 · balance_after: Includes 6,750 RSUs. The Reporting Person is entitled to receive one (1) share of common stock for each one (1) RSU upon the vesting thereof. Read SEC document |
| February 10, 2021 Filed Feb 12, 2021 22:32 UTC | Arcutis Biotherapeutics, Inc. ARQT · Entity 4236 | Exercise / conversionStock Option (Right to Buy) · Derivative | 750 | $0.00 Strike: $1.68 | $0.00 |
DisclosureSEC source: 0001567619-21-003626 · doc1.xml · derivative · entry 4 Smither John W · CIK 0001559583 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,482 Underlying: Common Stock · 750 shares Expires 2029-05-14 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: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person. F4 · derivative.exercise_date: The option began vesting monthly over a four year period beginning upon the achievement of certain company milestones, subject to the Reporting Person's continuous provision of services to the Issuer on each vesting date. The option contains an early-exercise provision and is exercisable as to unvested shares, subject to the Issuer's right of repurchase. Read SEC document |
| February 10, 2021 Filed Feb 12, 2021 22:32 UTC | Arcutis Biotherapeutics, Inc. ARQT · Entity 4236 | SaleCommon Stock | 2,000 | $35.64 | $71,280.00 |
DisclosureSEC source: 0001567619-21-003626 · doc1.xml · nonDerivative · entry 3 Smither John W · CIK 0001559583 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 87,965 F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person. F3 · ownership.nature: The securities are held of record by The 1994 Smither Family Trust, as Amended and Restated in 2014, of which the Reporting Person is a trustee. The Reporting Person disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of such securities for purposes of Section 16 or for any other purposes. 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.