Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Lyra Therapeutics, Inc.LYRA · Entity 46837 | Director · Executive Chair | December 09, 2024 | December 11, 2024 |
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.
Lyra Therapeutics, Inc.
Report date December 09, 2024 · Filed December 11, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Performance-based Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2024-12-09 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2024-12-09 · Grant · Disposed 128,333 · Balance 0 F1: Each Performance-based Restricted Stock unit ("PSU") represented a contingent right to receive one share of the Issuer's common stock. F2: On March 21, 2024, the Reporting Person was granted a PSU for an aggregate of up to 385,000 shares of common stock under the Issuer's 2020 Incentive Award Plan (the "Agreement"). Under the terms of the Agreement, the underlying PSUs will become earned upon certain milestone events. On December 9, 2024, the Issuer determined that Milestone 1 of the PSU was achieved, resulting in 128,333 PSUs being earned. The earned PSUs will vest on January 31, 2028. The PSUs have no expiration date. |
Filing footnotes · ownership attribution and instrument terms
F1: Each Performance-based Restricted Stock unit ("PSU") represented a contingent right to receive one share of the Issuer's common stock.
F2: On March 21, 2024, the Reporting Person was granted a PSU for an aggregate of up to 385,000 shares of common stock under the Issuer's 2020 Incentive Award Plan (the "Agreement"). Under the terms of the Agreement, the underlying PSUs will become earned upon certain milestone events. On December 9, 2024, the Issuer determined that Milestone 1 of the PSU was achieved, resulting in 128,333 PSUs being earned. The earned PSUs will vest on January 31, 2028. The PSUs have no expiration date.
Past disclosures · reporting ended (2)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Freenome, Inc.
Report date July 20, 2026 · Filed July 29, 2026
Section 16 reporting ended · disclosed 2026-07-29. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 30,000 |
Reported balance
After 2026-07-20 transaction · row 1
1 source rowRow 1 · 2026-07-20 · Conversion · Acquired 30,000 · Balance 30,000 F1: Pursuant to the Business Combination Agreement, dated December 5, 2025 and amended on July 20, 2026 by and among the Issuer, Freenome Holdings, Inc. ("Old Freenome"), StarNet Merger Sub I, Corp., a wholly-owned subsidiary of the Issuer and StarNet Merger Sub II, LLC, a wholly owned subsidiary of the Issuer (the "BCA"), on July 20, 2026 (the "Closing Date"), the Issuer consummated its business combination with Old Freenome (the "Business Combination"). In connection with the closing of Business Combination, the Issuer's Class B Ordinary Shares converted into Class A Ordinary Shares on a one-to-one basis and subsequently converted into shares of Common Stock on a one-to-one basis. |
| Class B Ordinary SharesSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2026-07-20 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2026-07-20 · Conversion · Disposed 30,000 · Balance 0 F1: Pursuant to the Business Combination Agreement, dated December 5, 2025 and amended on July 20, 2026 by and among the Issuer, Freenome Holdings, Inc. ("Old Freenome"), StarNet Merger Sub I, Corp., a wholly-owned subsidiary of the Issuer and StarNet Merger Sub II, LLC, a wholly owned subsidiary of the Issuer (the "BCA"), on July 20, 2026 (the "Closing Date"), the Issuer consummated its business combination with Old Freenome (the "Business Combination"). In connection with the closing of Business Combination, the Issuer's Class B Ordinary Shares converted into Class A Ordinary Shares on a one-to-one basis and subsequently converted into shares of Common Stock on a one-to-one basis. |
Filing footnotes · ownership attribution and instrument terms
F1: Pursuant to the Business Combination Agreement, dated December 5, 2025 and amended on July 20, 2026 by and among the Issuer, Freenome Holdings, Inc. ("Old Freenome"), StarNet Merger Sub I, Corp., a wholly-owned subsidiary of the Issuer and StarNet Merger Sub II, LLC, a wholly owned subsidiary of the Issuer (the "BCA"), on July 20, 2026 (the "Closing Date"), the Issuer consummated its business combination with Old Freenome (the "Business Combination"). In connection with the closing of Business Combination, the Issuer's Class B Ordinary Shares converted into Class A Ordinary Shares on a one-to-one basis and subsequently converted into shares of Common Stock on a one-to-one basis.
Kadmon Holdings, Inc.
Report date November 09, 2021 · Filed November 09, 2021
Section 16 reporting ended · disclosed 2021-11-09. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2021-11-09 transaction · row 1
1 source rowRow 1 · 2021-11-09 · Disposition to issuer · Disposed 177,945 · Balance 0 F1: Disposed pursuant to the acquisition by Sanofi of the entire issued share capital of Issuer on November 9, 2021 by means of a plan of merger (the "Merger"). |
| Stock Appreciation RightSEC Table II · derivative / convertible security · Conversion / exercise price $3.64 · Expires 2027-12-08 | Direct | 0 |
Reported balance
After 2021-11-09 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2021-11-09 · Disposition to issuer · Acquired 655,000 · Balance 0 F3: Represents the payment per share of Common Stock received in exchange for the cancellation of each Option, SAR and EAR. F2: In connection with the Merger, all unvested stock options ("Options"), stock appreciation rights ("SARs") and equity appreciation rights ("EARs") were accelerated to full vesting and cancelled in exchange for a payment equal to $9.50 with respect to each share of Common Stock subject to such Option, SAR and EAR award. |
| Performance Stock Option(right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $4.06 · Expires 2028-04-03 | Direct | 0 |
Reported balance
After 2021-11-09 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2021-11-09 · Disposition to issuer · Acquired 982,500 · Balance 0 F3: Represents the payment per share of Common Stock received in exchange for the cancellation of each Option, SAR and EAR. F2: In connection with the Merger, all unvested stock options ("Options"), stock appreciation rights ("SARs") and equity appreciation rights ("EARs") were accelerated to full vesting and cancelled in exchange for a payment equal to $9.50 with respect to each share of Common Stock subject to such Option, SAR and EAR award. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $4.15 · Expires 2029-11-19 | Direct | 0 |
Reported balance
After 2021-11-09 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2021-11-09 · Disposition to issuer · Acquired 1,350,000 · Balance 0 F3: Represents the payment per share of Common Stock received in exchange for the cancellation of each Option, SAR and EAR. F2: In connection with the Merger, all unvested stock options ("Options"), stock appreciation rights ("SARs") and equity appreciation rights ("EARs") were accelerated to full vesting and cancelled in exchange for a payment equal to $9.50 with respect to each share of Common Stock subject to such Option, SAR and EAR award. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.96 · Expires 2031-01-08 | Direct | 0 |
Reported balance
After 2021-11-09 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2021-11-09 · Disposition to issuer · Acquired 2,000,000 · Balance 0 F3: Represents the payment per share of Common Stock received in exchange for the cancellation of each Option, SAR and EAR. F2: In connection with the Merger, all unvested stock options ("Options"), stock appreciation rights ("SARs") and equity appreciation rights ("EARs") were accelerated to full vesting and cancelled in exchange for a payment equal to $9.50 with respect to each share of Common Stock subject to such Option, SAR and EAR award. |
| Equity Appreciation Rights UnitSEC Table II · derivative / convertible security · Conversion / exercise price $6.00 · Expires 2024-12-31 | Direct | 0 |
Reported balance
After 2021-11-09 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2021-11-09 · Disposition to issuer · Acquired 750 · Balance 0 F3: Represents the payment per share of Common Stock received in exchange for the cancellation of each Option, SAR and EAR. F2: In connection with the Merger, all unvested stock options ("Options"), stock appreciation rights ("SARs") and equity appreciation rights ("EARs") were accelerated to full vesting and cancelled in exchange for a payment equal to $9.50 with respect to each share of Common Stock subject to such Option, SAR and EAR award. |
Filing footnotes · ownership attribution and instrument terms
F1: Disposed pursuant to the acquisition by Sanofi of the entire issued share capital of Issuer on November 9, 2021 by means of a plan of merger (the "Merger").
F2: In connection with the Merger, all unvested stock options ("Options"), stock appreciation rights ("SARs") and equity appreciation rights ("EARs") were accelerated to full vesting and cancelled in exchange for a payment equal to $9.50 with respect to each share of Common Stock subject to such Option, SAR and EAR award.
F3: Represents the payment per share of Common Stock received in exchange for the cancellation of each Option, SAR and EAR.
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 20, 2026 Filed Jul 29, 2026 21:19 UTC | Freenome, Inc. FRNM · Entity 4644 | ConversionClass B Ordinary Shares · Derivative | 30,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001449008-26-000004 · form4-07292026_090728.xml · derivative · entry 2 Waksal Harlan · CIK 0001449008 · Former Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 30,000 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Pursuant to the Business Combination Agreement, dated December 5, 2025 and amended on July 20, 2026 by and among the Issuer, Freenome Holdings, Inc. ("Old Freenome"), StarNet Merger Sub I, Corp., a wholly-owned subsidiary of the Issuer and StarNet Merger Sub II, LLC, a wholly owned subsidiary of the Issuer (the "BCA"), on July 20, 2026 (the "Closing Date"), the Issuer consummated its business combination with Old Freenome (the "Business Combination"). In connection with the closing of Business Combination, the Issuer's Class B Ordinary Shares converted into Class A Ordinary Shares on a one-to-one basis and subsequently converted into shares of Common Stock on a one-to-one basis. F1 · price: Pursuant to the Business Combination Agreement, dated December 5, 2025 and amended on July 20, 2026 by and among the Issuer, Freenome Holdings, Inc. ("Old Freenome"), StarNet Merger Sub I, Corp., a wholly-owned subsidiary of the Issuer and StarNet Merger Sub II, LLC, a wholly owned subsidiary of the Issuer (the "BCA"), on July 20, 2026 (the "Closing Date"), the Issuer consummated its business combination with Old Freenome (the "Business Combination"). In connection with the closing of Business Combination, the Issuer's Class B Ordinary Shares converted into Class A Ordinary Shares on a one-to-one basis and subsequently converted into shares of Common Stock on a one-to-one basis. F1 · derivative.exercise_date: Pursuant to the Business Combination Agreement, dated December 5, 2025 and amended on July 20, 2026 by and among the Issuer, Freenome Holdings, Inc. ("Old Freenome"), StarNet Merger Sub I, Corp., a wholly-owned subsidiary of the Issuer and StarNet Merger Sub II, LLC, a wholly owned subsidiary of the Issuer (the "BCA"), on July 20, 2026 (the "Closing Date"), the Issuer consummated its business combination with Old Freenome (the "Business Combination"). In connection with the closing of Business Combination, the Issuer's Class B Ordinary Shares converted into Class A Ordinary Shares on a one-to-one basis and subsequently converted into shares of Common Stock on a one-to-one basis. F1 · derivative.expiration_date: Pursuant to the Business Combination Agreement, dated December 5, 2025 and amended on July 20, 2026 by and among the Issuer, Freenome Holdings, Inc. ("Old Freenome"), StarNet Merger Sub I, Corp., a wholly-owned subsidiary of the Issuer and StarNet Merger Sub II, LLC, a wholly owned subsidiary of the Issuer (the "BCA"), on July 20, 2026 (the "Closing Date"), the Issuer consummated its business combination with Old Freenome (the "Business Combination"). In connection with the closing of Business Combination, the Issuer's Class B Ordinary Shares converted into Class A Ordinary Shares on a one-to-one basis and subsequently converted into shares of Common Stock on a one-to-one basis. Read SEC document |
| July 20, 2026 Filed Jul 29, 2026 21:19 UTC | Freenome, Inc. FRNM · Entity 4644 | ConversionCommon Stock | 30,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001449008-26-000004 · form4-07292026_090728.xml · nonDerivative · entry 1 Waksal Harlan · CIK 0001449008 · Former Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 30,000 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Pursuant to the Business Combination Agreement, dated December 5, 2025 and amended on July 20, 2026 by and among the Issuer, Freenome Holdings, Inc. ("Old Freenome"), StarNet Merger Sub I, Corp., a wholly-owned subsidiary of the Issuer and StarNet Merger Sub II, LLC, a wholly owned subsidiary of the Issuer (the "BCA"), on July 20, 2026 (the "Closing Date"), the Issuer consummated its business combination with Old Freenome (the "Business Combination"). In connection with the closing of Business Combination, the Issuer's Class B Ordinary Shares converted into Class A Ordinary Shares on a one-to-one basis and subsequently converted into shares of Common Stock on a one-to-one basis. Read SEC document |
| December 09, 2024 Filed Dec 11, 2024 18:39 UTC | Lyra Therapeutics, Inc. LYRA · Entity 46837 | GrantPerformance-based Restricted Stock Units · Derivative | 128,333 | $0.00 | $0.00 |
DisclosureSEC source: 0000950170-24-135515 · ownership.xml · derivative · entry 1 Waksal Harlan · CIK 0001449008 · Director · Executive Chair 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 128,333 shares Expires not disclosed F1 · derivative.exercise_price: Each Performance-based Restricted Stock unit ("PSU") represented a contingent right to receive one share of the Issuer's common stock. F2 · derivative.exercise_date: On March 21, 2024, the Reporting Person was granted a PSU for an aggregate of up to 385,000 shares of common stock under the Issuer's 2020 Incentive Award Plan (the "Agreement"). Under the terms of the Agreement, the underlying PSUs will become earned upon certain milestone events. On December 9, 2024, the Issuer determined that Milestone 1 of the PSU was achieved, resulting in 128,333 PSUs being earned. The earned PSUs will vest on January 31, 2028. The PSUs have no expiration date. F2 · derivative.expiration_date: On March 21, 2024, the Reporting Person was granted a PSU for an aggregate of up to 385,000 shares of common stock under the Issuer's 2020 Incentive Award Plan (the "Agreement"). Under the terms of the Agreement, the underlying PSUs will become earned upon certain milestone events. On December 9, 2024, the Issuer determined that Milestone 1 of the PSU was achieved, resulting in 128,333 PSUs being earned. The earned PSUs will vest on January 31, 2028. The PSUs have no expiration date. Read SEC document |
| March 18, 2024 Filed Mar 20, 2024 19:21 UTC | Lyra Therapeutics, Inc. LYRA · Entity 46837 | GrantCommon Stock | 275,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000950170-24-034350 · ownership.xml · nonDerivative · entry 1 Waksal Harlan · CIK 0001449008 · Director · Executive Chair 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 536,966 F1 · shares: Represents an award of restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's common stock. The RSUs will vest in full on January 31, 2025. Read SEC document |
| November 10, 2023 Filed Nov 13, 2023 17:29 UTC | Lyra Therapeutics, Inc. LYRA · Entity 46837 | PurchaseCommon Stock | 25,000 | $2.96 | $74,095.00 |
DisclosureSEC source: 0000950170-23-063137 · ownership.xml · nonDerivative · entry 1 Waksal Harlan · CIK 0001449008 · Director · Executive Chair 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 261,966 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at per share prices ranging from $2.83 to $3.00. 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 purchased at each separate price within the range set forth in this footnote. Read SEC document |
| January 31, 2023 Filed Feb 2, 2023 17:19 UTC | Lyra Therapeutics, Inc. LYRA · Entity 46837 | GrantStock Option · Derivative | 200,000 | $0.00 Strike: $2.85 | $0.00 |
DisclosureSEC source: 0000899243-23-003522 · doc4.xml · derivative · entry 1 Waksal Harlan · CIK 0001449008 · Director · Executive Chair 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 200,000 Underlying: Common Stock · 200,000 shares Expires 2033-01-30 F1 · derivative.exercise_date: This option vests and becomes exercisable in 48 equal monthly installments occurring on the completion of each successive month of the Reporting Person's service to the Issuer following January 31, 2023. Read SEC document |
| June 16, 2022 Filed Jun 21, 2022 16:06 UTC | Lyra Therapeutics, Inc. LYRA · Entity 46837 | GrantStock Option · Derivative | 953,002 | $0.00 Strike: $5.09 | $0.00 |
DisclosureSEC source: 0000899243-22-023336 · doc4.xml · derivative · entry 1 Waksal Harlan · CIK 0001449008 · Director · Executive Chair 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 953,002 Underlying: Common Stock · 953,002 shares Expires 2032-06-15 F1 · derivative.exercise_date: On June 16, 2022, the Reporting Person was granted an option to purchase 953,002 shares of common stock. The option vests and becomes exercisable as to 317,667 shares underlying the option when the Issuer's market capitalization reaches $250,000,000; (ii) 317,667 shares underlying the option when the Issuer's market capitalization reaches $350,000,000; and (iii) 317,668 shares underlying the option when the Issuer's market capitalization reaches $500,000,000, all subject to the Reporting Person's continued service to the Issuer through each such date. Read SEC document |
| April 12, 2022 Filed Apr 13, 2022 19:16 UTC | Lyra Therapeutics, Inc. LYRA · Entity 46837 | PurchaseCommon Stock | 236,966 | $4.22 | $999,996.52 |
DisclosureSEC source: 0000899243-22-014737 · doc4.xml · nonDerivative · entry 1 Waksal Harlan · CIK 0001449008 · Director · Executive Chair 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 236,966 Read SEC document |
| February 16, 2022 Filed Feb 18, 2022 17:09 UTC | Lyra Therapeutics, Inc. LYRA · Entity 46837 | GrantStock Option · Derivative | 520,000 | $0.00 Strike: $4.21 | $0.00 |
DisclosureSEC source: 0000899243-22-007038 · doc4.xml · derivative · entry 1 Waksal Harlan · CIK 0001449008 · Director · Executive Chair 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 520,000 Underlying: Common Stock · 520,000 shares Expires 2032-02-15 F1 · derivative.exercise_date: On February 16, 2022, the Reporting Person was granted an option to purchase 520,000 shares of common stock. The option vests and becomes exercisable as to 173,333 shares underlying the option when the Issuer's market capitalization reaches $250,000,000; (ii) 173,333 shares underlying the option when the Issuer's market capitalization reaches $350,000,000; and (iii) 173,334 shares underlying the option when the Issuer's market capitalization reaches $500,000,000, all subject to the Reporting Person's continued service to the Issuer through each such date. Read SEC document |
| November 09, 2021 Filed Nov 9, 2021 17:42 UTC | Kadmon Holdings, Inc. KDMN · Entity 133686 | Disposition to issuerEquity Appreciation Rights Unit · Derivative | 750 | $3.50 Strike: $6.00 | $2,625.00 |
DisclosureSEC source: 0001104659-21-136412 · tm2131118-11_4seq1.xml · derivative · entry 6 Waksal Harlan · CIK 0001449008 · Director · President, CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock, par value $0.001 · 750 shares Expires 2024-12-31 F3 · price: Represents the payment per share of Common Stock received in exchange for the cancellation of each Option, SAR and EAR. F2 · derivative.exercise_date: In connection with the Merger, all unvested stock options ("Options"), stock appreciation rights ("SARs") and equity appreciation rights ("EARs") were accelerated to full vesting and cancelled in exchange for a payment equal to $9.50 with respect to each share of Common Stock subject to such Option, SAR and EAR award. Read SEC document |
| November 09, 2021 Filed Nov 9, 2021 17:42 UTC | Kadmon Holdings, Inc. KDMN · Entity 133686 | Disposition to issuerStock Option (right to buy) · Derivative | 2,000,000 | $5.54 Strike: $3.96 | $11,080,000.00 |
DisclosureSEC source: 0001104659-21-136412 · tm2131118-11_4seq1.xml · derivative · entry 5 Waksal Harlan · CIK 0001449008 · Director · President, CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock, par value $0.001 · 2,000,000 shares Expires 2031-01-08 F3 · price: Represents the payment per share of Common Stock received in exchange for the cancellation of each Option, SAR and EAR. F2 · derivative.exercise_date: In connection with the Merger, all unvested stock options ("Options"), stock appreciation rights ("SARs") and equity appreciation rights ("EARs") were accelerated to full vesting and cancelled in exchange for a payment equal to $9.50 with respect to each share of Common Stock subject to such Option, SAR and EAR award. Read SEC document |
| November 09, 2021 Filed Nov 9, 2021 17:42 UTC | Kadmon Holdings, Inc. KDMN · Entity 133686 | Disposition to issuerStock Option (right to buy) · Derivative | 1,350,000 | $5.35 Strike: $4.15 | $7,222,500.00 |
DisclosureSEC source: 0001104659-21-136412 · tm2131118-11_4seq1.xml · derivative · entry 4 Waksal Harlan · CIK 0001449008 · Director · President, CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock, par value $0.001 · 1,350,000 shares Expires 2029-11-19 F3 · price: Represents the payment per share of Common Stock received in exchange for the cancellation of each Option, SAR and EAR. F2 · derivative.exercise_date: In connection with the Merger, all unvested stock options ("Options"), stock appreciation rights ("SARs") and equity appreciation rights ("EARs") were accelerated to full vesting and cancelled in exchange for a payment equal to $9.50 with respect to each share of Common Stock subject to such Option, SAR and EAR award. Read SEC document |
| November 09, 2021 Filed Nov 9, 2021 17:42 UTC | Kadmon Holdings, Inc. KDMN · Entity 133686 | Disposition to issuerPerformance Stock Option(right to buy) · Derivative | 982,500 | $5.44 Strike: $4.06 | $5,344,800.00 |
DisclosureSEC source: 0001104659-21-136412 · tm2131118-11_4seq1.xml · derivative · entry 3 Waksal Harlan · CIK 0001449008 · Director · President, CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock, par value $0.001 · 982,500 shares Expires 2028-04-03 F3 · price: Represents the payment per share of Common Stock received in exchange for the cancellation of each Option, SAR and EAR. F2 · derivative.exercise_date: In connection with the Merger, all unvested stock options ("Options"), stock appreciation rights ("SARs") and equity appreciation rights ("EARs") were accelerated to full vesting and cancelled in exchange for a payment equal to $9.50 with respect to each share of Common Stock subject to such Option, SAR and EAR award. Read SEC document |
| November 09, 2021 Filed Nov 9, 2021 17:42 UTC | Kadmon Holdings, Inc. KDMN · Entity 133686 | Disposition to issuerStock Appreciation Right · Derivative | 655,000 | $5.86 Strike: $3.64 | $3,838,300.00 |
DisclosureSEC source: 0001104659-21-136412 · tm2131118-11_4seq1.xml · derivative · entry 2 Waksal Harlan · CIK 0001449008 · Director · President, CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock, par value $0.001 · 655,000 shares Expires 2027-12-08 F3 · price: Represents the payment per share of Common Stock received in exchange for the cancellation of each Option, SAR and EAR. F2 · derivative.exercise_date: In connection with the Merger, all unvested stock options ("Options"), stock appreciation rights ("SARs") and equity appreciation rights ("EARs") were accelerated to full vesting and cancelled in exchange for a payment equal to $9.50 with respect to each share of Common Stock subject to such Option, SAR and EAR award. Read SEC document |
| November 09, 2021 Filed Nov 9, 2021 17:42 UTC | Kadmon Holdings, Inc. KDMN · Entity 133686 | Disposition to issuerCommon Stock | 177,945 | $9.50 | $1,690,477.50 |
DisclosureSEC source: 0001104659-21-136412 · tm2131118-11_4seq1.xml · nonDerivative · entry 1 Waksal Harlan · CIK 0001449008 · Director · President, CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · price: Disposed pursuant to the acquisition by Sanofi of the entire issued share capital of Issuer on November 9, 2021 by means of a plan of merger (the "Merger"). Read SEC document |
| May 13, 2021 Filed May 17, 2021 16:05 UTC | Kadmon Holdings, Inc. KDMN · Entity 133686 | GrantCommon Stock | 25,000 | $3.56 | $88,977.50 |
DisclosureSEC source: 0001593968-21-001330 · primary_01.xml · nonDerivative · entry 1 Waksal Harlan · CIK 0001449008 · Director · President, CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 177,945 Read SEC document |
| April 03, 2021 Filed Apr 6, 2021 16:25 UTC | Kadmon Holdings, Inc. KDMN · Entity 133686 | GrantPerformance Stock Option (right to buy) · Derivative | 327,498 | Not disclosed Strike: $4.06 | Not disclosed |
DisclosureSEC source: 0001593968-21-001092 · primary_01.xml · derivative · entry 1 Waksal Harlan · CIK 0001449008 · Director · President, CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 982,500 Underlying: Common Stock, par value $0.001 · 327,498 shares Expires 2028-04-03 F1 · price: On April 3, 2018, the reporting person was granted performance based stock options to purchase an aggregate of 982,500 shares of Kadmon Holdings, Inc. common stock (the "Performance Options"), which may be earned based on the achievement of three separate performance goals related to the Company's operating and research and development activities. Any Performance Options earned will generally vest in three equal installments on specified vesting dates between the date of achievement of the performance goals and the third anniversary of the grant date based on continued employment. The compensation committee of the board of directors of the Company has determined the first, second and third performance goals have been met, and 327,498 Performance Options vested on April 3, 2021, pursuant to the aforementioned vesting schedule. F2 · balance_after: Only represents derivative securities of this class. Read SEC document |
| January 08, 2021 Filed Jan 12, 2021 16:27 UTC | Kadmon Holdings, Inc. KDMN · Entity 133686 | GrantStock Option (right to buy) · Derivative | 2,000,000 | $0.00 Strike: $3.96 | $0.00 |
DisclosureSEC source: 0001593968-21-000120 · primary_01.xml · derivative · entry 1 Waksal Harlan · CIK 0001449008 · Director · President, CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,000,000 Underlying: Common stock, par value $0.001 · 2,000,000 shares Expires 2031-01-08 F1 · derivative.exercise_date: The option vests and becomes exercisable in three equal annual installments over 3 years from January 8, 2021, the date of grant. Read SEC document |
| September 10, 2020 Filed Sep 10, 2020 17:02 UTC | Kadmon Holdings, Inc. KDMN · Entity 133686 | GrantPerformance Stock Option (right to buy) · Derivative | 109,167 | Not disclosed Strike: $4.06 | Not disclosed |
DisclosureSEC source: 0001593968-20-001855 · primary_01.xml · derivative · entry 1 Waksal Harlan · CIK 0001449008 · Director · President, CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 655,002 Underlying: Common Stock, par value $0.001 · 109,167 shares Expires 2028-04-03 F1 · price: On April 3, 2018, the reporting person was granted performance based stock options to purchase an aggregate of 982,500 shares of Kadmon Holdings, Inc. common stock (the "Performance Options"), which may be earned based on the achievement of three separate performance goals related to the Company's operating and research and development activities. Any Performance Options earned will generally vest in three equal installments on specified vesting dates between the date of achievement of the performance goals and the third anniversary of the grant date based on continued employment. The compensation committee of the board of directors of the Company has determined the first, second and third performance goals have been met, and 109,167 Performance Options vested on September 10, 2020, pursuant to the aforementioned vesting schedule. F2 · balance_after: Only represents derivative securities of this class. Read SEC document |
| March 13, 2020 Filed Mar 16, 2020 08:37 UTC | Kadmon Holdings, Inc. KDMN · Entity 133686 | PurchaseCommon Stock, par value $0.001 | 16,000 | $2.93 | $46,811.20 |
DisclosureSEC source: 0001593968-20-000776 · primary_01.xml · nonDerivative · entry 1 Waksal Harlan · CIK 0001449008 · Director · President, CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 152,945 Read SEC document |
| March 11, 2020 Filed Mar 11, 2020 16:22 UTC | Kadmon Holdings, Inc. KDMN · Entity 133686 | PurchaseCommon Stock, par value $0.001 | 12,600 | $3.96 | $49,859.46 |
DisclosureSEC source: 0001593968-20-000728 · primary_01.xml · nonDerivative · entry 3 Waksal Harlan · CIK 0001449008 · Director · President, CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 136,945 Read SEC document |
| November 19, 2019 Filed Nov 19, 2019 18:16 UTC Amendment | Kadmon Holdings, Inc. KDMN · Entity 133686 | GrantStock Option (right to buy) · Derivative | 1,350,000 | $0.00 Strike: $4.15 | $0.00 |
DisclosureSEC source: 0001593968-19-002180 · primary_01.xml · derivative · entry 1 Waksal Harlan · CIK 0001449008 · Director · President, CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,350,000 Underlying: Common stock, par value $0.001 · 1,350,000 shares Expires 2029-11-19 F1 · derivative.exercise_price: This Amended Form 4 is being filed to correct an inaccuracy with respect to the exercise price of the stock options reported in Table II of the Form 4 filed on November 19, 2019. F2 · derivative.exercise_date: The option vests and becomes exercisable in three equal annual installments over 3 years from November 19, 2019, the date of grant. F3 · balance_after: Only represents derivative securities of this class. Read SEC document |
| November 19, 2019 Filed Nov 19, 2019 16:21 UTC | Kadmon Holdings, Inc. KDMN · Entity 133686 | GrantStock Option (right to buy) · Derivative | 1,350,000 | $0.00 Strike: $4.14 | $0.00 |
DisclosureSEC source: 0001593968-19-002176 · primary_01.xml · derivative · entry 1 Waksal Harlan · CIK 0001449008 · Director · President, CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,350,000 Underlying: Common stock, par value $0.001 · 1,350,000 shares Expires 2029-11-19 F1 · derivative.exercise_date: The option vests and becomes exercisable in three equal annual installments over 3 years from November 19, 2019, the date of grant. F2 · balance_after: Only represents derivative securities of this class. Read SEC document |
| October 24, 2019 Filed Oct 24, 2019 16:42 UTC | Kadmon Holdings, Inc. KDMN · Entity 133686 | GrantPerformance Stock Option (right to buy) · Derivative | 109,167 | Not disclosed Strike: $4.06 | Not disclosed |
DisclosureSEC source: 0001593968-19-002016 · primary_01.xml · derivative · entry 1 Waksal Harlan · CIK 0001449008 · Director · President, CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 545,835 Underlying: Common Stock, par value $0.001 · 109,167 shares Expires 2028-04-03 F1 · price: On April 3, 2018, the reporting person was granted performance based stock options to purchase an aggregate of 982,500 shares of Kadmon Holdings, Inc. common stock (the "Performance Options"), which may be earned based on the achievement of three separate performance goals related to the Company's operating and research and development activities. Any Performance Options earned will generally vest in three equal installments on specified vesting dates between the date of achievement of the performance goals and the third anniversary of the grant date based on continued employment. The compensation committee of the board of directors of the Company has determined the first, second and third performance goals have been met, and 109,167 Performance Options vested on October 24, 2019, pursuant to the aforementioned vesting schedule. F2 · balance_after: Only represents derivative securities of this class. Read SEC document |
| September 10, 2019 Filed Sep 10, 2019 16:15 UTC | Kadmon Holdings, Inc. KDMN · Entity 133686 | GrantPerformance Stock Option (right to buy) · Derivative | 109,167 | Not disclosed Strike: $4.06 | Not disclosed |
DisclosureSEC source: 0001593968-19-001871 · primary_01.xml · derivative · entry 1 Waksal Harlan · CIK 0001449008 · Director · President, CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 436,668 Underlying: Common Stock, par value $0.001 · 109,167 shares Expires 2028-04-03 F1 · price: On April 3, 2018, the reporting person was granted performance based stock options to purchase an aggregate of 982,500 shares of Kadmon Holdings, Inc. common stock (the "Performance Options"), which may be earned based on the achievement of three separate performance goals related to the Company's operating and research and development activities. Any Performance Options earned will generally vest in three equal installments on specified vesting dates between the date of achievement of the performance goals and the third anniversary of the grant date based on continued employment. The compensation committee of the board of directors of the Company has determined the first, second and third performance goals have been met, and 109,167 Performance Options vested on September 10, 2019. F2 · balance_after: Only represents derivative securities of this class. Read SEC document |
| June 14, 2019 Filed Jun 14, 2019 16:19 UTC | Kadmon Holdings, Inc. KDMN · Entity 133686 | GrantPerformance Stock Option (right to buy) · Derivative | 109,167 | Not disclosed Strike: $4.06 | Not disclosed |
DisclosureSEC source: 0001593968-19-001433 · primary_01.xml · derivative · entry 1 Waksal Harlan · CIK 0001449008 · Director · President, CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 327,501 Underlying: Common Stock, par value $0.001 · 109,167 shares Expires 2028-04-03 F1 · price: On April 3, 2018, the reporting person was granted performance based stock options to purchase an aggregate of 982,500 shares of Kadmon Holdings, Inc. common stock (the "Performance Options"), which may be earned based on the achievement of three separate performance goals related to the Company's operating and research and development activities. Any Performance Options earned will generally vest in three equal installments on specified vesting dates between the date of achievement of the performance goals and the third anniversary of the grant date based on continued employment. The compensation committee of the board of directors of the Company has determined the first and second performance goals have been met, and 109,167 Performance Options vested on June 14, 2019. F2 · balance_after: Only represents derivative securities of this class. Read SEC document |
| April 03, 2019 Filed Apr 5, 2019 16:19 UTC | Kadmon Holdings, Inc. KDMN · Entity 133686 | GrantPerformance Stock Option (right to buy) · Derivative | 218,334 | Not disclosed Strike: $4.06 | Not disclosed |
DisclosureSEC source: 0001593968-19-000935 · primary_01.xml · derivative · entry 1 Waksal Harlan · CIK 0001449008 · Director · President, CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 218,334 Underlying: Commom Stock, par value $0.001 · 218,334 shares Expires 2028-04-03 F1 · price: On April 3, 2018, the reporting person was granted performance based stock options to purchase an aggregate of 982,500 shares of Kadmon Holdings, Inc. common stock (the "Performance Options"), which may be earned based on the achievement of three separate performance milestones related to the Company's operating and research and development activities. Any Performance Options earned will generally vest in three equal installments on specified vesting dates between the date of achievement and the third anniversary of the grant date based on continued employment. The compensation committee of the board of directors of the Company has determined the first and second Performance Goals have been achieved, and 218,334 Performance Options vested on April 3, 2019. F2 · balance_after: Only represents derivative securities of this class. Read SEC document |
| March 29, 2019 Filed Mar 11, 2020 16:22 UTC | Kadmon Holdings, Inc. KDMN · Entity 133686 | GrantCommon Stock, par value $0.001 | 7,716 | $2.25 | $17,361.00 |
DisclosureSEC source: 0001593968-20-000728 · primary_01.xml · nonDerivative · entry 2 Waksal Harlan · CIK 0001449008 · Director · President, CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 124,345 F4 · security: The reporting person is voluntarily reporting the acquisition of shares of the issuer's common stock pursuant to the Kadmon Holdings, Inc Amended and Restated 2016 Employee Stock Purchase Plan ("ESPP"), for the ESPP purchase period of October 1, 2018 through March 31, 2019. This transaction is also exempt under Rule 16b-3(c). F5 · date: The reporting person is voluntarily reporting this transaction on March 11, 2020, but the actual transaction took place on March 29, 2019, the last trading day of the option period under the ESPP. F6 · price: In accordance with the ESPP, these shares were purchased based on 85% of the closing stock price on March 29, 2019, the last trading day of the option period. Read SEC document |
| September 28, 2018 Filed Mar 11, 2020 16:22 UTC | Kadmon Holdings, Inc. KDMN · Entity 133686 | GrantCommon Stock, par value $0.001 | 5,882 | $2.84 | $16,704.88 |
DisclosureSEC source: 0001593968-20-000728 · primary_01.xml · nonDerivative · entry 1 Waksal Harlan · CIK 0001449008 · Director · President, CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 116,629 F1 · security: The reporting person is voluntarily reporting the acquisition of shares of the issuer's common stock pursuant to the Kadmon Holdings, Inc Amended and Restated 2016 Employee Stock Purchase Plan ("ESPP"), for the ESPP purchase period of April 1, 2018 through September 30, 2018. This transaction is also exempt under Rule 16b-3(c). F2 · date: The reporting person is voluntarily reporting this transaction on March 11, 2020, but the actual transaction took place on September 28, 2018, the last trading day of the option period under the ESPP. F3 · price: In accordance with the ESPP, these shares were purchased based on 85% of the closing stock price on September 28, 2018, the last trading day of the option period. Read SEC document |
| December 08, 2017 Filed Dec 12, 2017 16:12 UTC | Kadmon Holdings, Inc. KDMN · Entity 133686 | GrantStock Appreciation Right · Derivative | 655,000 | $0.00 Strike: $3.64 | $0.00 |
DisclosureSEC source: 0001593968-17-001355 · primary_01.xml · derivative · entry 1 Waksal Harlan · CIK 0001449008 · Director · President, CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 655,000 Underlying: Common Stock, par value $0.001 · 655,000 shares Expires 2027-12-08 F1 · derivative.exercise_date: The stock appreciation right vests and becomes exercisable in three equal annual installments over 3 years from December 8, 2017, the date of grant. Read SEC document |
| August 10, 2017 Filed Aug 10, 2017 16:42 UTC | Kadmon Holdings, Inc. KDMN · Entity 133686 | PurchaseCommon Stock, par value $0.001 | 5,000 | $2.27 | $11,332.50 |
DisclosureSEC source: 0001593968-17-000976 · primary_01.xml · nonDerivative · entry 1 Waksal Harlan · CIK 0001449008 · Director · President, CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 110,747 Read SEC document |
| August 08, 2017 Filed Aug 8, 2017 21:45 UTC | Kadmon Holdings, Inc. KDMN · Entity 133686 | PurchaseCommon Stock, par value $0.001 | 3,707 | $2.34 | $8,666.60 |
DisclosureSEC source: 0001593968-17-000971 · primary_01.xml · nonDerivative · entry 1 Waksal Harlan · CIK 0001449008 · Director · President, CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 105,747 Read SEC document |
| November 16, 2016 Filed Nov 16, 2016 16:32 UTC | Kadmon Holdings, Inc. KDMN · Entity 133686 | PurchaseCommon Stock, par value $0.001 | 2,000 | $6.37 | $12,733.20 |
DisclosureSEC source: 0001593968-16-001209 · primary_01.xml · nonDerivative · entry 1 Waksal Harlan · CIK 0001449008 · Director · President, CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 102,040 Read SEC document |
| November 14, 2016 Filed Nov 14, 2016 20:06 UTC | Kadmon Holdings, Inc. KDMN · Entity 133686 | PurchaseCommon Stock, par value $0.001 | 2,000 | $6.79 | $13,580.00 |
DisclosureSEC source: 0001593968-16-001195 · primary_01.xml · nonDerivative · entry 1 Waksal Harlan · CIK 0001449008 · Director · President, CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,040 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.