Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| AYTU BIOPHARMA, INCAYTU · Entity 7560 | Director | July 28, 2026 | July 30, 2026 |
| INNOVUS PHARMACEUTICALS, INC.INNV · Entity 151567 | Director | January 02, 2020 | January 07, 2020 |
| ThermoGenesis Holdings, Inc.THMO · Entity 89101 | Director | June 21, 2022 | June 27, 2022 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
AYTU BIOPHARMA, INC
Report date July 28, 2026 · Filed July 30, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 29,825 |
Reported balance
After 2026-07-28 transaction · row 1
1 source rowRow 1 · 2026-07-28 · Grant · Acquired 10,000 · Balance 29,825 F1: Grant of restricted stock, which vest on July 28, 2027. |
Filing footnotes · ownership attribution and instrument terms
F1: Grant of restricted stock, which vest on July 28, 2027.
INNOVUS PHARMACEUTICALS, INC.
Report date January 02, 2020 · Filed January 07, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Restricted Stock UnitsSEC Table II · derivative / convertible security · Expires 2030-01-02 | Direct | 42,902 |
Reported balance
After 2020-01-02 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2020-01-02 · Grant · Acquired 10,112 · Balance 42,902 F1: Each restricted stock unit represents the contingent right to receive, at settlement, one share of common stock. F2: The Reporting Person was granted a Restricted Stock Unit on January 2, 2020 of 10,112 shares, which were fully vested on the date of the grant. The RSU is for the Reporting Person's quarterly compensation as a member of the Board of Directors for the fourth quarter of 2020 and was valued on December 31, 2019 in accordance with the approved compensation plan for the non-employee members of the Board of Directors. F3: These restricted stock units were granted pursuant to the Issuer's Amended and Restated 2019 Equity Incentive Plan. |
Filing footnotes · ownership attribution and instrument terms
F1: Each restricted stock unit represents the contingent right to receive, at settlement, one share of common stock.
F2: The Reporting Person was granted a Restricted Stock Unit on January 2, 2020 of 10,112 shares, which were fully vested on the date of the grant. The RSU is for the Reporting Person's quarterly compensation as a member of the Board of Directors for the fourth quarter of 2020 and was valued on December 31, 2019 in accordance with the approved compensation plan for the non-employee members of the Board of Directors.
F3: These restricted stock units were granted pursuant to the Issuer's Amended and Restated 2019 Equity Incentive Plan.
ThermoGenesis Holdings, Inc.
Report date June 21, 2022 · Filed June 27, 2022
This filing explicitly reported no securities owned.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| July 28, 2026 Filed Jul 30, 2026 20:32 UTC | AYTU BIOPHARMA, INC AYTU · Entity 7560 | GrantCommon Stock | 10,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-26-025078 · rdgdoc.xml · nonDerivative · entry 1 LIU VIVIAN H · CIK 0001203467 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 29,825 F1 · shares: Grant of restricted stock, which vest on July 28, 2027. Read SEC document |
| October 03, 2025 Filed Oct 7, 2025 20:10 UTC | AYTU BIOPHARMA, INC AYTU · Entity 7560 | GrantCommon Stock | 10,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-25-030639 · rdgdoc.xml · nonDerivative · entry 1 LIU VIVIAN H · CIK 0001203467 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 19,825 F1 · shares: Grant of restricted stock, which vest on October 3, 2026. Read SEC document |
| November 06, 2024 Filed Nov 9, 2024 00:37 UTC | AYTU BIOPHARMA, INC AYTU · Entity 7560 | GrantCommon Shares | 1,500 | $0.00 | $0.00 |
DisclosureSEC source: 0000912282-24-000754 · form4.xml · nonDerivative · entry 1 LIU VIVIAN H · CIK 0001203467 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 9,825 F1 · shares: Grant of restricted shares, which vest on the earlier of November 6, 2025, or at the Issuer's next annual stockholder meeting. Read SEC document |
| August 11, 2023 Filed Aug 15, 2023 23:44 UTC | AYTU BIOPHARMA, INC AYTU · Entity 7560 | GrantCommon Shares | 1,500 | $0.00 | $0.00 |
DisclosureSEC source: 0000912282-23-000302 · form4.xml · nonDerivative · entry 1 LIU VIVIAN H · CIK 0001203467 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,841 F1 · shares: Grant of restricted shares, which vest as follows: 1/3 on August 11, 2024, with the remaining restricted shares vesting in eight equal installments every three months beginning on November 11, 2024. F2 · balance_after: Reflects 1-for-20 reverse stock split effected by the Issuer on January 6, 2023. Read SEC document |
| August 11, 2023 Filed Nov 9, 2024 00:32 UTC Amendment | AYTU BIOPHARMA, INC AYTU · Entity 7560 | GrantCommon Shares | 1,500 | $0.00 | $0.00 |
DisclosureSEC source: 0000912282-24-000752 · form4.xml · nonDerivative · entry 1 LIU VIVIAN H · CIK 0001203467 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 8,325 F1 · shares: Grant of restricted shares, which vest as follows: 1/3 on August 11, 2024, with the remaining restricted shares vesting in eight equal installments every three months beginning November 11, 2024. F2 · balance_after: Reflects 1-for-20 reverse stock split effected by the Issuer on January 6, 2023. Read SEC document |
| February 08, 2023 Filed Feb 10, 2023 23:13 UTC | AYTU BIOPHARMA, INC AYTU · Entity 7560 | GrantCommon Shares | 6,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001567619-23-002409 · doc1.xml · nonDerivative · entry 1 LIU VIVIAN H · CIK 0001203467 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,825 F1 · shares: Represents restricted share grant. One-third of the restricted shares shall vest on July 1, 2023; the remaining restricted shares shall vest quarterly thereafter, at 1/8th of the remaining grant, with full vesting on July 1, 2025. F2 · balance_after: Total reflects 1-to-20 reverse stock split effected by the Issuer on January 6, 2023. Read SEC document |
| July 01, 2022 Filed Jul 1, 2022 19:12 UTC | AYTU BIOPHARMA, INC AYTU · Entity 7560 | GrantCommon Shares | 6,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001567619-22-013590 · doc1.xml · nonDerivative · entry 1 LIU VIVIAN H · CIK 0001203467 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,500 F1 · shares: Represented restricted share grant. One-third of the restricted shares shall vest on July 1, 2023; the remaining restricted shares shall vest quarterly thereafter, at 1/8th of the remaining grant, with full vesting on July 1, 2025. Read SEC document |
| January 02, 2020 Filed Jan 7, 2020 20:04 UTC | INNOVUS PHARMACEUTICALS, INC. INNV · Entity 151567 | GrantRestricted Stock Units · Derivative | 10,112 | $0.89 | $8,999.68 |
DisclosureSEC source: 0001437749-20-000323 · rdgdoc.xml · derivative · entry 1 LIU VIVIAN H · CIK 0001203467 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,902 Underlying: Common Stock · 10,112 shares Expires 2030-01-02 F1 · derivative.exercise_price: Each restricted stock unit represents the contingent right to receive, at settlement, one share of common stock. F2 · derivative.exercise_price: The Reporting Person was granted a Restricted Stock Unit on January 2, 2020 of 10,112 shares, which were fully vested on the date of the grant. The RSU is for the Reporting Person's quarterly compensation as a member of the Board of Directors for the fourth quarter of 2020 and was valued on December 31, 2019 in accordance with the approved compensation plan for the non-employee members of the Board of Directors. F3 · kind: These restricted stock units were granted pursuant to the Issuer's Amended and Restated 2019 Equity Incentive Plan. Read SEC document |
| October 01, 2019 Filed Oct 2, 2019 20:47 UTC | INNOVUS PHARMACEUTICALS, INC. INNV · Entity 151567 | GrantRestricted Stock Units · Derivative | 4,286 | $2.10 | $9,000.60 |
DisclosureSEC source: 0001437749-19-019543 · rdgdoc.xml · derivative · entry 1 LIU VIVIAN H · CIK 0001203467 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,790 Underlying: Common Stock · 4,286 shares Expires 2029-10-01 F1 · derivative.exercise_price: Each restricted stock unit represents the contingent right to receive, at settlement, one share of common stock. F2 · derivative.exercise_price: The Reporting Person was granted a Restricted Stock Unit on October 1, 2019 of 4,286 shares, which were fully vested on the date of the grant. The RSU is for the Reporting Person's quarterly compensation as a member of the Board of Directors for the third quarter of 2019 and was valued on September 30, 2019 in accordance with the approved compensation plan for the non-employee members of the Board of Directors. F3 · kind: These restricted stock units were granted pursuant to the Issuer's Amended and Restated 2016 Equity Incentive Plan. Read SEC document |
| July 01, 2019 Filed Jul 3, 2019 12:01 UTC | INNOVUS PHARMACEUTICALS, INC. INNV · Entity 151567 | GrantRestricted Stock Units · Derivative | 3,948 | $1.52 | $6,000.96 |
DisclosureSEC source: 0001437749-19-013454 · rdgdoc.xml · derivative · entry 1 LIU VIVIAN H · CIK 0001203467 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,504 Underlying: Common Stock · 3,948 shares Expires 2029-07-01 F1 · derivative.exercise_price: Each restricted stock unit represents the contingent right to receive, at settlement, one share of common stock. F2 · derivative.exercise_price: The Reporting Person was granted a Restricted Stock Unit on July 1, 2019 of 3,948 shares, which were fully vested on the date of the grant. The RSU is for the Reporting Person's quarterly compensation as a member of the Board of Directors for the second quarter of 2019 and was valued on June 28, 2019 in accordance with the approved compensation plan for the non-employee members of the Board of Directors. F3 · kind: These restricted stock units were granted pursuant to the Issuer's Amended and Restated 2016 Equity Incentive Plan. Read SEC document |
| April 01, 2019 Filed Apr 2, 2019 19:27 UTC | INNOVUS PHARMACEUTICALS, INC. INNV · Entity 151567 | GrantRestricted Stock Units · Derivative | 1,095 | $5.48 | $6,000.60 |
DisclosureSEC source: 0001437749-19-006429 · rdgdoc.xml · derivative · entry 1 LIU VIVIAN H · CIK 0001203467 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,556 Underlying: Common Stock · 1,095 shares Expires 2029-04-01 F1 · derivative.exercise_price: Each restricted stock unit represents the contingent right to receive, at settlement, one share of common stock. F2 · derivative.exercise_price: The Reporting Person was granted a Restricted Stock Unit on April 1, 2019 of 1,095 shares, which were fully vested on the date of the grant. The RSU is for the Reporting Person's quarterly compensation as a member of the Board of Directors for the first quarter of 2019 and was valued on March 29, 2019 in accordance with the approved compensation plan for the non-employee members of the Board of Directors. F3 · kind: These restricted stock units were granted pursuant to the Issuer's Amended and Restated 2016 Equity Incentive Plan. Read SEC document |
| January 02, 2019 Filed Jan 4, 2019 15:42 UTC | INNOVUS PHARMACEUTICALS, INC. INNV · Entity 151567 | GrantRestricted Stock Units · Derivative | 89,552 | $0.07 | $5,999.98 |
DisclosureSEC source: 0001437749-19-000338 · rdgdoc.xml · derivative · entry 1 LIU VIVIAN H · CIK 0001203467 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,461,314 Underlying: Common Stock · 89,552 shares Expires 2029-01-02 F1 · derivative.exercise_price: Each restricted stock unit represents the contingent right to receive, at settlement, one share of common stock. F2 · derivative.exercise_price: The Reporting Person was granted a Restricted Stock Unit on January 2, 2019 of 89,552 shares, which were fully vested on the date of the grant. The RSU is for the Reporting Person's quarterly compensation as a member of the Board of Directors for the fourth quarter of 2018 and was valued on December 31, 2018 in accordance with the approved compensation plan for the non-employee members of the Board of Directors. F3 · kind: These restricted stock units were granted pursuant to the Issuer's Amended and Restated 2016 Equity Incentive Plan. Read SEC document |
| October 01, 2018 Filed Oct 2, 2018 16:56 UTC | INNOVUS PHARMACEUTICALS, INC. INNV · Entity 151567 | GrantRestricted Stock Units · Derivative | 50,000 | $0.12 | $6,000.00 |
DisclosureSEC source: 0001437749-18-017793 · rdgdoc.xml · derivative · entry 1 LIU VIVIAN H · CIK 0001203467 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,371,762 Underlying: Common Stock · 50,000 shares Expires 2028-10-01 F1 · derivative.exercise_price: Each restricted stock unit represents the contingent right to receive, at settlement, one share of common stock. F2 · derivative.exercise_price: The Reporting Person was granted a Restricted Stock Unit on October 1, 2018 of 50,000 shares, which were fully vested on the date of the grant. The RSU is for the Reporting Person's quarterly compensation as a member of the Board of Directors for the third quarter of 2018 and was valued on September 30, 2018 in accordance with the approved compensation plan for the non-employee members of the Board of Directors. F3 · kind: These restricted stock units were granted pursuant to the Issuer's Amended and Restated 2016 Equity Incentive Plan. Read SEC document |
| July 01, 2018 Filed Jul 19, 2018 15:00 UTC | INNOVUS PHARMACEUTICALS, INC. INNV · Entity 151567 | GrantRestricted Stock Units · Derivative | 54,545 | $0.11 | $5,999.95 |
DisclosureSEC source: 0001415889-18-001141 · form4-07192018_110750.xml · derivative · entry 1 LIU VIVIAN H · CIK 0001203467 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,321,762 Underlying: Common Stock · 54,545 shares Expires 2028-07-01 F1 · derivative.exercise_price: Each restricted stock unit represents the contingent right to receive, at settlement, one share of common stock. F2 · derivative.exercise_price: The Reporting Person was granted a Restricted Stock Unit on July 1, 2018 of 54,545 shares, which were fully vested on the date of the grant. The RSU is for the Reporting Person's quarterly compensation as a member of the Board of Directors for the second quarter of 2018 and was valued on June 30, 2018 in accordance with the approved compensation plan for the non-employee members of the Board of Directors. F3 · kind: These restricted stock units were granted pursuant to the Issuer's Amended and Restated 2016 Equity Incentive Plan. Read SEC document |
| April 01, 2018 Filed Apr 3, 2018 16:25 UTC | INNOVUS PHARMACEUTICALS, INC. INNV · Entity 151567 | GrantRestricted Stock Units · Derivative | 49,059 | $0.12 | $5,999.92 |
DisclosureSEC source: 0001415889-18-000535 · form4-04032018_010417.xml · derivative · entry 1 LIU VIVIAN H · CIK 0001203467 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,267,217 Underlying: Common Stock · 49,059 shares Expires 2028-04-01 F1 · derivative.exercise_price: Each restricted stock unit represents the contingent right to receive, at settlement, one share of common stock. F2 · derivative.exercise_price: The Reporting Person was granted a Restricted Stock Unit on April 1, 2018 of 49,059 shares, which were fully vested on the date of the grant. The RSU is for the Reporting Person's quarterly compensation as a member of the Board of Directors for the first quarter of 2018 and was valued on March 30, 2018 in accordance with the approved compensation plan for the non-employee members of the Board of Directors. F3 · kind: These restricted stock units were granted pursuant to the Issuer's Amended and Restated 2016 Equity Incentive Plan. Read SEC document |
| February 23, 2018 Filed Feb 27, 2018 15:02 UTC | INNOVUS PHARMACEUTICALS, INC. INNV · Entity 151567 | GrantRestricted Stock Units · Derivative | 500,000 | $0.18 | $89,500.00 |
DisclosureSEC source: 0001415889-18-000328 · form4-02272018_120227.xml · derivative · entry 2 LIU VIVIAN H · CIK 0001203467 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,218,158 Underlying: Common Stock · 500,000 shares Expires 2028-02-23 F1 · derivative.exercise_price: Each restricted stock unit represents the contingent right to receive, at settlement, one share of common stock. F4 · derivative.exercise_price: RSU was granted on February 23, 2018. 125,000 RSUs vest on February 23, 2019; the total remaining shares vest in eight (8) pro rata equal installments, quarterly for two (2) years thereafter, subject to continued service. F3 · kind: These restricted stock units were granted pursuant to the Issuer's Amended and Restated 2016 Equity Incentive Plan. F4 · derivative.exercise_date: RSU was granted on February 23, 2018. 125,000 RSUs vest on February 23, 2019; the total remaining shares vest in eight (8) pro rata equal installments, quarterly for two (2) years thereafter, subject to continued service. Read SEC document |
| February 23, 2018 Filed Feb 27, 2018 15:02 UTC | INNOVUS PHARMACEUTICALS, INC. INNV · Entity 151567 | GrantRestricted Stock Units · Derivative | 35,928 | $0.08 | $2,999.99 |
DisclosureSEC source: 0001415889-18-000328 · form4-02272018_120227.xml · derivative · entry 1 LIU VIVIAN H · CIK 0001203467 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,718,158 Underlying: Common Stock · 35,928 shares Expires 2028-02-23 F1 · derivative.exercise_price: Each restricted stock unit represents the contingent right to receive, at settlement, one share of common stock. F2 · derivative.exercise_price: The Reporting Person was granted a Restricted Stock Unit on February 23, 2018 of 35,928 shares, which were fully vested on the date of the grant. The RSU is for the Reporting Person's quarterly compensation as a member of the Board of Directors for the fourth quarter of 2017 and was valued on December 31, 2017 in accordance with the approved compensation plan for the non-employee members of the Board of Directors. F3 · kind: These restricted stock units were granted pursuant to the Issuer's Amended and Restated 2016 Equity Incentive Plan. Read SEC document |
| December 29, 2017 Filed Jan 3, 2018 16:24 UTC | ThermoGenesis Holdings, Inc. KOOL · Entity 89101 | GrantStock Options · Derivative | 250,000 | $0.00 Strike: $3.00 | $0.00 |
DisclosureSEC source: 0001437749-18-000117 · rdgdoc.xml · derivative · entry 1 LIU VIVIAN H · CIK 0001203467 · Director · COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 250,000 Underlying: Common Stock · 250,000 shares Expires 2027-12-29 F1 · derivative.exercise_date: Option vests in five equal installments on December 29, 2018, 2019, 2020, 2021 and 2022. Under the terms of the award agreement, no portion of the option maybe exercised unless and until the stockholders of the Company approve the November 2017 amendment to our 2016 Equity Incentive Plan, and only if such amendment is approved by the stockholders within one year of the adoption of the amendment. Read SEC document |
| October 01, 2017 Filed Oct 2, 2017 16:55 UTC | INNOVUS PHARMACEUTICALS, INC. INNV · Entity 151567 | GrantRestricted Stock Units · Derivative | 32,967 | $0.09 | $3,000.00 |
DisclosureSEC source: 0001415889-17-001597 · form4-10022017_011045.xml · derivative · entry 1 LIU VIVIAN H · CIK 0001203467 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,682,230 Underlying: Common Stock · 32,967 shares Expires 2027-10-01 F1 · derivative.exercise_price: Each restricted stock unit represents the right to receive, at settlement, one share of common stock. F2 · derivative.exercise_price: The Reporting Person was granted a Restricted Stock Unit on October 1, 2017 of 32,967 shares, which were fully vested on the date of the grant. F3 · date: These restricted stock units were granted pursuant to the Issuer's 2016 Equity Incentive Plan. Read SEC document |
| July 01, 2017 Filed Jul 3, 2017 06:00 UTC | INNOVUS PHARMACEUTICALS, INC. INNV · Entity 151567 | GrantRestricted Stock Units · Derivative | 26,643 | $0.11 | $3,000.00 |
DisclosureSEC source: 0001415889-17-001078 · form4-07032017_060707.xml · derivative · entry 1 LIU VIVIAN H · CIK 0001203467 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,649,263 Underlying: Common Stock · 26,643 shares Expires 2027-07-01 F1 · derivative.exercise_price: Each restricted stock unit represents the right to receive, at settlement, one share of common stock. F2 · derivative.exercise_price: The Reporting Person was granted a Restricted Stock Unit on July 1, 2017 of 53,286 shares, which were fully vested on the date of the grant. F3 · kind: These restricted stock units were granted pursuant to the Issuer's 2016 Equity Incentive Plan. Read SEC document |
| April 01, 2017 Filed Apr 3, 2017 13:45 UTC | INNOVUS PHARMACEUTICALS, INC. INNV · Entity 151567 | GrantRestricted Stock Units · Derivative | 27,523 | $0.11 | $3,000.01 |
DisclosureSEC source: 0001415889-17-000572 · form4-04032017_100435.xml · derivative · entry 1 LIU VIVIAN H · CIK 0001203467 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,622,620 Underlying: Common Stock · 27,523 shares Expires 2027-04-01 F1 · derivative.exercise_price: Each restricted stock unit represents the right to receive, at settlement, one share of common stock. F2 · derivative.exercise_price: The Reporting Person was granted a Restricted Stock Unit on April 1, 2017 of 27,523 shares, which were fully vested on the date of the grant. F3 · kind: These restricted stock units were granted pursuant to the Issuer's 2016 Equity Incentive Plan. Read SEC document |
| February 24, 2017 Filed Feb 28, 2017 11:50 UTC | ThermoGenesis Holdings, Inc. KOOL · Entity 89101 | GrantStock Options · Derivative | 25,000 | $0.00 Strike: $2.89 | $0.00 |
DisclosureSEC source: 0001437749-17-003401 · rdgdoc.xml · derivative · entry 2 LIU VIVIAN H · CIK 0001203467 · Director · COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 Underlying: Common Stock · 25,000 shares Expires 2024-02-24 F1 · derivative.exercise_date: The restricted stock units and options vest in four equal installments: 25% on March 31, 2017, 25% on June 30, 2017, 25% on September 30, 2017 and 25% on December 31, 2017. Under the terms of the award agreements, no portion of the option maybe exercised and no shares of stock underlying the option or restricted stock units will be issued under our 2016 Equity Incentive Plan until our stockholders approve such plan. Read SEC document |
| February 24, 2017 Filed Feb 28, 2017 11:50 UTC | ThermoGenesis Holdings, Inc. KOOL · Entity 89101 | GrantCommon Stock | 25,000 | $2.89 | $72,250.00 |
DisclosureSEC source: 0001437749-17-003401 · rdgdoc.xml · nonDerivative · entry 1 LIU VIVIAN H · CIK 0001203467 · Director · COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 F1 · shares: The restricted stock units and options vest in four equal installments: 25% on March 31, 2017, 25% on June 30, 2017, 25% on September 30, 2017 and 25% on December 31, 2017. Under the terms of the award agreements, no portion of the option maybe exercised and no shares of stock underlying the option or restricted stock units will be issued under our 2016 Equity Incentive Plan until our stockholders approve such plan. Read SEC document |
| January 01, 2017 Filed Jan 9, 2017 06:00 UTC | INNOVUS PHARMACEUTICALS, INC. INNV · Entity 151567 | GrantRestricted Stock Units · Derivative | 15,114 | $0.20 | $3,000.13 |
DisclosureSEC source: 0001415889-17-000045 · form4-01092017_060101.xml · derivative · entry 1 LIU VIVIAN H · CIK 0001203467 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,595,097 Underlying: Common Stock · 15,114 shares Expires 2027-01-01 F1 · derivative.exercise_price: Each restricted stock unit represents the right to receive, at settlement, one share of common stock. F2 · derivative.exercise_price: The Reporting Person was granted a Restricted Stock Unit on January 1, 2017 of 15,114 shares, which were fully vested on the date of the grant. F3 · kind: These restricted stock units were granted pursuant to the Issuer's 2016 Equity Incentive Plan. Read SEC document |
| November 16, 2016 Filed Nov 21, 2016 06:00 UTC | INNOVUS PHARMACEUTICALS, INC. INNV · Entity 151567 | GrantRestricted Stock Units · Derivative | 416,667 | $0.25 | $104,166.75 |
DisclosureSEC source: 0001415889-16-007483 · form4-11212016_061113.xml · derivative · entry 2 LIU VIVIAN H · CIK 0001203467 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,024,271 Underlying: Common Stock · 416,667 shares Expires 2026-11-16 F1 · derivative.exercise_price: Each restricted stock unit represents the right to receive, at settlement, one share of common stock. F4 · derivative.exercise_price: The Reporting Person was granted a Restricted Stock Unit on November 16, 2016 of 416,667 shares, which was fully vested on the date of the grant. F3 · kind: These restricted stock units were granted pursuant to the Issuer's 2016 Equity Incentive Plan. Read SEC document |
| October 01, 2016 Filed Nov 21, 2016 06:00 UTC | INNOVUS PHARMACEUTICALS, INC. INNV · Entity 151567 | GrantRestricted Stock Units · Derivative | 11,538 | $0.26 | $2,999.88 |
DisclosureSEC source: 0001415889-16-007483 · form4-11212016_061113.xml · derivative · entry 1 LIU VIVIAN H · CIK 0001203467 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 607,604 Underlying: Common Stock · 11,538 shares Expires 2026-10-01 F1 · derivative.exercise_price: Each restricted stock unit represents the right to receive, at settlement, one share of common stock. F2 · derivative.exercise_price: The reporting person was granted a Restricted Stock unit on October 1, 2016 of 11,538 shares, which was fully vested on the date of grant. F3 · kind: These restricted stock units were granted pursuant to the Issuer's 2016 Equity Incentive Plan. 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.