Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ARQULE INCARQL · Entity 11927 | 10% owner | December 17, 2003 | December 22, 2003 |
| Allogene Therapeutics, Inc.ALLO · Entity 5243 | 10% owner | October 15, 2018 | October 17, 2018 |
| Coley Pharmaceutical Group, Inc.COLY · Entity 17208 | 10% owner | December 28, 2007 | January 04, 2008 |
| ENCYSIVE PHARMACEUTICALS INCENCY · Entity 17165 | 10% owner | April 11, 2008 | April 16, 2008 |
| Eiger BioPharmaceuticals, Inc.CLDN · Entity 16554 | 10% owner | February 04, 2014 | February 06, 2014 |
| EyePoint, Inc.PSDV · Entity 5702 | 10% owner | August 27, 2007 | August 29, 2007 |
| FIVE PRIME THERAPEUTICS, INC.FPRX · Entity 16595 | 10% owner | September 17, 2013 | September 17, 2013 |
| Flexion Therapeutics IncFLXN · Entity 16545 | 10% owner | February 18, 2014 | February 20, 2014 |
| ICAGEN INCICGN · Entity 13934 | 10% owner | October 27, 2011 | November 02, 2011 |
| ICU MEDICAL INC/DEICUI · Entity 2385 | Director | November 15, 2018 | November 16, 2018 |
| INSITE VISION INCISV · Entity 17757 | 10% owner | April 16, 2003 | June 19, 2003 |
| KING PHARMACEUTICALS INCKG · Entity 16907 | 10% owner | January 31, 2011 | February 09, 2011 |
| Oric Pharmaceuticals, Inc.ORIC · Entity 4765 | 10% owner | December 23, 2022 | December 29, 2022 |
| Pyxis Oncology, Inc.PYXS · Entity 5986 | 10% owner | March 17, 2023 | March 23, 2023 |
| SYNLOGIC, INC.MIRN · Entity 7801 | 10% owner | October 05, 2015 | October 07, 2015 |
| SpringWorks Therapeutics, Inc.SWTX · Entity 15910 | 10% owner | September 17, 2019 | September 19, 2019 |
| Zura Bio LtdZURA · Entity 5413 | 10% owner | March 20, 2023 | March 30, 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.
ARQULE INC
Report date December 17, 2003 · Filed December 22, 2003 · Amendment
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy Subsidiary | 3,273,679 |
Reported balance
After 2003-12-17 transaction · row 1
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 1 · 2003-12-17 · Other · Acquired 645,162 · Balance 3,273,679 F1: Shares acquired directly from ArQule as an additional equity investment. F2: Amendment filed to correct the purchase price. F3: Joint Filer Information Name: Pfizer Holdings Europe Address: La Touche House, International Financial Services Centre, Dublin 1, Ireland Designated Filer: Pfizer Inc. Issuer and Ticker Symbol: ArQule, Inc. (ARQL) Date of Event Requiring Statement: December 17, 2003. Signature: Pfizer Holdings Europe Signature of Reporting Person: /s/ Brian G. Byala, Director Date: December 22, 2003 |
Filing footnotes · ownership attribution and instrument terms
F1: Shares acquired directly from ArQule as an additional equity investment.
F2: Amendment filed to correct the purchase price.
F3: Joint Filer Information Name: Pfizer Holdings Europe Address: La Touche House, International Financial Services Centre, Dublin 1, Ireland Designated Filer: Pfizer Inc. Issuer and Ticker Symbol: ArQule, Inc. (ARQL) Date of Event Requiring Statement: December 17, 2003. Signature: Pfizer Holdings Europe Signature of Reporting Person: /s/ Brian G. Byala, Director Date: December 22, 2003
Allogene Therapeutics, Inc.
Report date October 15, 2018 · Filed October 17, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 22,032,040 |
Ending reported balance
After 2018-10-15 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2018-10-15 · Conversion · Acquired 21,976,484 · Balance 21,976,484 F1: In connection with the closing of the Issuer's initial public offering, each share of the Issuer's Series A-1 Convertible Preferred Stock (the "Preferred Stock") converted into the Issuer's common stock on a 1-for-5.25 basis without payment or consideration. The Preferred Stock had no expiration date. Row 2 · 2018-10-15 · Purchase · Acquired 55,556 · Balance 22,032,040 |
| Series A-1 Convertible Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2018-10-15 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2018-10-15 · Conversion · Disposed 4,185,997 · Balance 0 F1: In connection with the closing of the Issuer's initial public offering, each share of the Issuer's Series A-1 Convertible Preferred Stock (the "Preferred Stock") converted into the Issuer's common stock on a 1-for-5.25 basis without payment or consideration. The Preferred Stock had no expiration date. |
Filing footnotes · ownership attribution and instrument terms
F1: In connection with the closing of the Issuer's initial public offering, each share of the Issuer's Series A-1 Convertible Preferred Stock (the "Preferred Stock") converted into the Issuer's common stock on a 1-for-5.25 basis without payment or consideration. The Preferred Stock had no expiration date.
Coley Pharmaceutical Group, Inc.
Report date December 28, 2007 · Filed January 04, 2008
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common stockSEC Table I · non-derivative | IndirectSee Footnote 2 | 24,423,732 |
Reported balance
Holding disclosure · report date 2007-12-28 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 24,423,732 F1: Includes 23,798,732 shares that were purchased in a tender offer by Corvette Acquisition Corp., including 40,048 shares that are subject to guaranteed delivery procedures. F2: Corvette Acquisition Corp. recently completed a tender offer for all of the outstanding shares of the issuer. Corvette Acquisition Corp. is a wholly-owned subsidiary of Pfizer Vaccines LLC. Pfizer Vaccines LLC is a wholly-owned subsidiary of Pfizer Inc. |
Filing footnotes · ownership attribution and instrument terms
F1: Includes 23,798,732 shares that were purchased in a tender offer by Corvette Acquisition Corp., including 40,048 shares that are subject to guaranteed delivery procedures.
F2: Corvette Acquisition Corp. recently completed a tender offer for all of the outstanding shares of the issuer. Corvette Acquisition Corp. is a wholly-owned subsidiary of Pfizer Vaccines LLC. Pfizer Vaccines LLC is a wholly-owned subsidiary of Pfizer Inc.
ENCYSIVE PHARMACEUTICALS INC
Report date April 11, 2008 · Filed April 16, 2008
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectFN | 69,076,466 |
Last balance in matching sequence
After 2008-04-14 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2008-04-11 · Purchase · Acquired 155,499 · Balance 67,844,054 F1: Shares are directly owned by Explorer Acquisition Corp., a wholly-owned subsidiary of Pfizer Inc. Row 2 · 2008-04-14 · Purchase · Acquired 1,232,412 · Balance 69,076,466 F1: Shares are directly owned by Explorer Acquisition Corp., a wholly-owned subsidiary of Pfizer Inc. |
Filing footnotes · ownership attribution and instrument terms
F1: Shares are directly owned by Explorer Acquisition Corp., a wholly-owned subsidiary of Pfizer Inc.
Eiger BioPharmaceuticals, Inc.
Report date February 04, 2014 · Filed February 06, 2014
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 1,794,803 |
Ending reported balance
After 2014-02-04 transaction · row 3
3 source rows · reconciled sequenceRow 1 · 2014-02-04 · Conversion · Acquired 1,544,397 · Balance 1,544,397 F1: Every 12.49 shares of Series A-1 Preferred Stock automatically converted into 1 share of Common Stock without payment of further consideration upon the closing of the Issuer's initial public offering. The shares have no expiration date. Row 2 · 2014-02-04 · Conversion · Acquired 23,145 · Balance 1,567,542 F2: Automatic conversion, in connection with the Issuer's initial public offering, of convertible promissory notes, including principal and accrued interest. Row 3 · 2014-02-04 · Purchase · Acquired 227,261 · Balance 1,794,803 F3: The shares were purchased at the Issuer's initial public offering. |
| Series A-1 Convertible Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2014-02-04 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2014-02-04 · Conversion · Disposed 19,289,531 · Balance 0 F1: Every 12.49 shares of Series A-1 Preferred Stock automatically converted into 1 share of Common Stock without payment of further consideration upon the closing of the Issuer's initial public offering. The shares have no expiration date. |
| Convertible Promissory NotesSEC Table II · derivative / convertible security · Conversion / exercise price $8.00 | Direct | 0 |
Reported balance
After 2014-02-04 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2014-02-04 · Conversion · Disposed 23,145 · Balance 0 F2: Automatic conversion, in connection with the Issuer's initial public offering, of convertible promissory notes, including principal and accrued interest. |
| Series A-1 Preferred WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $0.45 · Expires 2018-10-15 | Direct | 0 |
Reported balance
After 2014-02-04 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2014-02-04 · Conversion · Disposed 532,818 · Balance 0 F4: Represents the automatic conversion of Series A-1 Preferred Warrants into Common Stock Warrants on a 1-for-12.49 basis upon the closing of the Issuer's initial public offering. |
| Common WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $5.61 · Expires 2018-10-15 | Direct | 42,659 |
Reported balance
After 2014-02-04 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2014-02-04 · Conversion · Acquired 42,659 · Balance 42,659 F4: Represents the automatic conversion of Series A-1 Preferred Warrants into Common Stock Warrants on a 1-for-12.49 basis upon the closing of the Issuer's initial public offering. |
Filing footnotes · ownership attribution and instrument terms
F1: Every 12.49 shares of Series A-1 Preferred Stock automatically converted into 1 share of Common Stock without payment of further consideration upon the closing of the Issuer's initial public offering. The shares have no expiration date.
F2: Automatic conversion, in connection with the Issuer's initial public offering, of convertible promissory notes, including principal and accrued interest.
F3: The shares were purchased at the Issuer's initial public offering.
F4: Represents the automatic conversion of Series A-1 Preferred Warrants into Common Stock Warrants on a 1-for-12.49 basis upon the closing of the Issuer's initial public offering.
EyePoint, Inc.
Report date August 27, 2007 · Filed August 29, 2007
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Ordinary sharesSEC Table I · non-derivative | Direct | 74,483,748 |
Reported balance
Holding disclosure · report date 2007-08-27 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 74,483,748 F1: This Form 3 is being filed as the result of the determination by pSivida Limited that it is no longer a foreign private issuer and is subject to all of the reporting requirements of the Securities Exchange Act of 1934 and other rules applicable to a U.S. domestic issuer. |
Filing footnotes · ownership attribution and instrument terms
F1: This Form 3 is being filed as the result of the determination by pSivida Limited that it is no longer a foreign private issuer and is subject to all of the reporting requirements of the Securities Exchange Act of 1934 and other rules applicable to a U.S. domestic issuer.
FIVE PRIME THERAPEUTICS, INC.
Report date September 17, 2013 · Filed September 17, 2013
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy affiliate | 1,538,123 |
Reported balance
Holding disclosure · report date 2013-09-17 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 1,538,123 F1: These shares are owned by Pfizer International LLC, an indirect, wholly owned affiliate of Pfizer Inc. Pfizer Inc. is filing this Form 3 on behalf of Pfizer International LLC. |
Filing footnotes · ownership attribution and instrument terms
F1: These shares are owned by Pfizer International LLC, an indirect, wholly owned affiliate of Pfizer Inc. Pfizer Inc. is filing this Form 3 on behalf of Pfizer International LLC.
Flexion Therapeutics Inc
Report date February 18, 2014 · Filed February 20, 2014
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 1,687,250 |
Ending reported balance
After 2014-02-18 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2014-02-18 · Conversion · Acquired 1,452,944 · Balance 1,452,944 F1: Every 8.13 shares of Series A Preferred Stock automatically converted into 1 share of Common Stock without payment of further consideration upon the closing of the Issuer's initial public offering. The shares have no expiration date. Row 2 · 2014-02-18 · Conversion · Acquired 234,306 · Balance 1,687,250 F2: Every 8.13 shares of Series B Preferred Stock automatically converted into 1 share of Common Stock without payment of further consideration upon the closing of the Issuer's initial public offering. The shares have no expiration date. |
| Series A Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2014-02-18 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2014-02-18 · Conversion · Disposed 11,812,438 · Balance 0 F1: Every 8.13 shares of Series A Preferred Stock automatically converted into 1 share of Common Stock without payment of further consideration upon the closing of the Issuer's initial public offering. The shares have no expiration date. |
| Series B Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2014-02-18 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2014-02-18 · Conversion · Disposed 1,904,905 · Balance 0 F2: Every 8.13 shares of Series B Preferred Stock automatically converted into 1 share of Common Stock without payment of further consideration upon the closing of the Issuer's initial public offering. The shares have no expiration date. |
Filing footnotes · ownership attribution and instrument terms
F1: Every 8.13 shares of Series A Preferred Stock automatically converted into 1 share of Common Stock without payment of further consideration upon the closing of the Issuer's initial public offering. The shares have no expiration date.
F2: Every 8.13 shares of Series B Preferred Stock automatically converted into 1 share of Common Stock without payment of further consideration upon the closing of the Issuer's initial public offering. The shares have no expiration date.
ICAGEN INC
Report date October 27, 2011 · Filed November 02, 2011
Jointly reported with Eclipse Acquisition Corp.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 100 |
Reported balance
After 2011-10-27 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2011-10-27 · Purchase · Acquired 2,743,269 · Balance 100 F1: This amount reflects all of the outstanding shares of Icagen, Inc. ("Icagen") not owned by Pfizer Inc. ("Pfizer") and Eclipse Acquisition Corp. On October 27, 2011, Eclipse Acquisition Corp. was merged with and into Icagen with Icagen continuing as the surviving corporation and a wholly-owned subsidiary of Pfizer. At the effective time of the merger, these shares of common stock were cancelled and ceased to exist. F2: Prior to the merger, Pfizer held 100 shares of common stock, $0.01 par value per share, of Eclipse Acquisition Corp., which represented all of the issued and outstanding capital stock of Eclipse Acquisition Corp. At the effective time of the merger, each share of Eclipse Acquisition Corp. was converted into one share of common stock of Icagen, resulting in the acquisition by Pfizer of 100% of the equity interest of Icagen. |
Filing footnotes · ownership attribution and instrument terms
F1: This amount reflects all of the outstanding shares of Icagen, Inc. ("Icagen") not owned by Pfizer Inc. ("Pfizer") and Eclipse Acquisition Corp. On October 27, 2011, Eclipse Acquisition Corp. was merged with and into Icagen with Icagen continuing as the surviving corporation and a wholly-owned subsidiary of Pfizer. At the effective time of the merger, these shares of common stock were cancelled and ceased to exist.
F2: Prior to the merger, Pfizer held 100 shares of common stock, $0.01 par value per share, of Eclipse Acquisition Corp., which represented all of the issued and outstanding capital stock of Eclipse Acquisition Corp. At the effective time of the merger, each share of Eclipse Acquisition Corp. was converted into one share of common stock of Icagen, resulting in the acquisition by Pfizer of 100% of the equity interest of Icagen.
ICU MEDICAL INC/DE
Report date November 15, 2018 · Filed November 16, 2018
Jointly reported with C.P. Pharmaceuticals International C.V., Pfizer Production LLC, Pfizer Manufacturing LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Indirect- | 0 |
Reported balance
After 2018-11-15 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2018-11-15 · Sale · Disposed 2,500,000 · Balance 0 F1: These shares were owned directly by C.P. Pharmaceuticals International C.V. ("CPPI"), whose general partners are Pfizer Production LLC ("PPL") and Pfizer Manufacturing LLC ("PPM"). CPPI, PPL and PPM are indirect wholly-owned subsidiaries of Pfizer Inc. ("Pfizer"). Pfizer, PPL and PPM were indirect beneficial owners of the shares, but each of PPL and PML, as a general partner of CPPI, disclaims ownership of securities held by CPPI except to the extent of any pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: These shares were owned directly by C.P. Pharmaceuticals International C.V. ("CPPI"), whose general partners are Pfizer Production LLC ("PPL") and Pfizer Manufacturing LLC ("PPM"). CPPI, PPL and PPM are indirect wholly-owned subsidiaries of Pfizer Inc. ("Pfizer"). Pfizer, PPL and PPM were indirect beneficial owners of the shares, but each of PPL and PML, as a general partner of CPPI, disclaims ownership of securities held by CPPI except to the extent of any pecuniary interest therein.
INSITE VISION INC
Report date April 16, 2003 · Filed June 19, 2003
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy Subsidiary | Not disclosed |
Reported balance
After undated transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · Undated · Other · Direction not disclosed 2,665,614 · Balance Not disclosed F1: These shares are owned by Pharmacia AB, an indirect wholly owned subsidiary that was acquired by Pfizer Inc. on April 16, 2003. Pfizer Inc. disclaims beneficial ownership of these shares pursuant to SEC rules 16a-1(a)(1) and (a)(4). |
Filing footnotes · ownership attribution and instrument terms
F1: These shares are owned by Pharmacia AB, an indirect wholly owned subsidiary that was acquired by Pfizer Inc. on April 16, 2003. Pfizer Inc. disclaims beneficial ownership of these shares pursuant to SEC rules 16a-1(a)(1) and (a)(4).
KING PHARMACEUTICALS INC
Report date January 31, 2011 · Filed February 09, 2011
Jointly reported with Parker Tennessee Corp.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, no par valueSEC Table I · non-derivative | IndirectBy Parker Tennessee Corp. | 230,719,938 |
Reported balance
Holding disclosure · report date 2011-01-31 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 230,719,938 F1: Reflects shares purchased by Parker Tennessee Corp. ("Purchaser"), a wholly-owned subsidiary of Pfizer Inc. ("Parent"), in a tender offer. F2: The shares are owned directly by Purchaser. The shares may also be deemed to be indirectly beneficially owned by Parent. |
Filing footnotes · ownership attribution and instrument terms
F1: Reflects shares purchased by Parker Tennessee Corp. ("Purchaser"), a wholly-owned subsidiary of Pfizer Inc. ("Parent"), in a tender offer.
F2: The shares are owned directly by Purchaser. The shares may also be deemed to be indirectly beneficially owned by Parent.
Oric Pharmaceuticals, Inc.
Report date December 23, 2022 · Filed December 29, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 5,376,344 |
Reported balance
Holding disclosure · report date 2022-12-23 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 5,376,344 |
Pyxis Oncology, Inc.
Report date March 17, 2023 · Filed March 23, 2023 · Amendment
Jointly reported with Pfizer Ventures (US) LLC
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, $0.001 par value per shareSEC Table I · non-derivative | Direct | 5,952,263 |
Reported balance
After 2023-03-17 transaction · row 1
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 1 · 2023-03-17 · Purchase · Acquired 1,811,594 · Balance 5,952,263 F1: The securities were issued under that certain first amendment dated March 16, 2023 to the Amended and Restated License Agreement dated October 14, 2022 between the Reporting Person and the Issuer, pursuant to which the Issuer agreed to issue to the Reporting Person such number of shares of common stock equivalent to $5.0 million at a per share price equal to the closing price of the Issuer's common stock on the business day when the closing price of the Issuer's common stock on the Nasdaq Global Select Market is at or above $2.46 per share on any day between March 16, 2023 and a date that is within 180 days following October 6, 2022. F2: On March 17, 2023, the closing price of the Issuer's common stock on the Nasdaq Global Select Market was $2.76 per share. |
Filing footnotes · ownership attribution and instrument terms
F1: The securities were issued under that certain first amendment dated March 16, 2023 to the Amended and Restated License Agreement dated October 14, 2022 between the Reporting Person and the Issuer, pursuant to which the Issuer agreed to issue to the Reporting Person such number of shares of common stock equivalent to $5.0 million at a per share price equal to the closing price of the Issuer's common stock on the business day when the closing price of the Issuer's common stock on the Nasdaq Global Select Market is at or above $2.46 per share on any day between March 16, 2023 and a date that is within 180 days following October 6, 2022.
F2: On March 17, 2023, the closing price of the Issuer's common stock on the Nasdaq Global Select Market was $2.76 per share.
SYNLOGIC, INC.
Report date October 05, 2015 · Filed October 07, 2015
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 2,489,364 |
Ending reported balance
After 2015-10-06 transaction · row 3
3 source rows · reconciled sequenceRow 1 · 2015-10-05 · Conversion · Acquired 1,539,224 · Balance 1,539,224 F1: Each share of the issuer's Series C Convertible and Series D Convertible Preferred Stock converted into Common Stock of the issuer on a 1-to-1 basis immediately prior to the closing of the issuer's initial public offering, and has no expiration date. Row 2 · 2015-10-06 · Purchase · Acquired 714,285 · Balance 2,253,509 Row 3 · 2015-10-06 · Other · Acquired 235,855 · Balance 2,489,364 F2: The reporting person received 235,855 shares of Common Stock as a payment-in-kind dividend in connection with the conversion of the reporting person's Series C Convertible and Series D Convertible Preferred Stock into shares of Common Stock. |
| Series C Convertible Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2015-10-05 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2015-10-05 · Conversion · Disposed 1,047,806 · Balance 0 F1: Each share of the issuer's Series C Convertible and Series D Convertible Preferred Stock converted into Common Stock of the issuer on a 1-to-1 basis immediately prior to the closing of the issuer's initial public offering, and has no expiration date. |
| Series D Convertible Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2015-10-05 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2015-10-05 · Conversion · Disposed 491,418 · Balance 0 F1: Each share of the issuer's Series C Convertible and Series D Convertible Preferred Stock converted into Common Stock of the issuer on a 1-to-1 basis immediately prior to the closing of the issuer's initial public offering, and has no expiration date. |
Filing footnotes · ownership attribution and instrument terms
F1: Each share of the issuer's Series C Convertible and Series D Convertible Preferred Stock converted into Common Stock of the issuer on a 1-to-1 basis immediately prior to the closing of the issuer's initial public offering, and has no expiration date.
F2: The reporting person received 235,855 shares of Common Stock as a payment-in-kind dividend in connection with the conversion of the reporting person's Series C Convertible and Series D Convertible Preferred Stock into shares of Common Stock.
SpringWorks Therapeutics, Inc.
Report date September 17, 2019 · Filed September 19, 2019
Jointly reported with Pfizer Ventures (US) LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 4,593,847 |
Last balance in matching sequence
After 2019-09-17 transaction · row 4
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
4 source rowsRow 1 · 2019-09-17 · Conversion · Acquired 978,194 · Balance 978,194 F1: Each share of Junior Series A Convertible Preferred Stock automatically converted into shares of the Issuer's Common Stock on a 6.5810:1 basis upon the closing of the Issuer's initial public offering for no additional consideration. The Junior Series A Convertible Preferred Stock had no expiration date. Such shares are held of record by Pfizer Inc. ("Pfizer"). F5: Each Reporting Person disclaims ownership of securities held by the other Reporting Person, except to the extent of its pecuniary interest therein. Row 2 · 2019-09-17 · Conversion · Acquired 3,039,051 · Balance 4,017,245 F2: Each share of Series A Convertible Preferred Stock automatically converted into shares of the Issuer's Common Stock on a 6.5810:1 basis upon the closing of the Issuer's initial public offering for no additional consideration. The Series A Convertible Preferred Stock had no expiration date. Such shares are held of record by Pfizer. F5: Each Reporting Person disclaims ownership of securities held by the other Reporting Person, except to the extent of its pecuniary interest therein. Row 3 · 2019-09-17 · Conversion · Acquired 526,602 · Balance 4,543,847 F3: Each share of Series B Convertible Preferred Stock automatically converted into shares of the Issuer's Common Stock on a 6.5810:1 basis upon the closing of the Issuer's initial public offering for no additional consideration. The Series B Convertible Preferred Stock had no expiration date. Such shares are held of record by Pfizer Ventures (US) LLC, a wholly-owned subsidiary of Pfizer ("PVUS"). F5: Each Reporting Person disclaims ownership of securities held by the other Reporting Person, except to the extent of its pecuniary interest therein. Row 4 · 2019-09-17 · Purchase · Acquired 50,000 · Balance 4,593,847 F4: PVUS purchased such additional shares of Common Stock in the Issuer's initial public offering at the initial public offering price of $18.00 per share. F5: Each Reporting Person disclaims ownership of securities held by the other Reporting Person, except to the extent of its pecuniary interest therein. |
| Junior Series A Convertible Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2019-09-17 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2019-09-17 · Conversion · Disposed 6,437,500 · Balance 0 F1: Each share of Junior Series A Convertible Preferred Stock automatically converted into shares of the Issuer's Common Stock on a 6.5810:1 basis upon the closing of the Issuer's initial public offering for no additional consideration. The Junior Series A Convertible Preferred Stock had no expiration date. Such shares are held of record by Pfizer Inc. ("Pfizer"). F5: Each Reporting Person disclaims ownership of securities held by the other Reporting Person, except to the extent of its pecuniary interest therein. |
| Series A Convertible Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2019-09-17 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2019-09-17 · Conversion · Disposed 20,000,000 · Balance 0 F2: Each share of Series A Convertible Preferred Stock automatically converted into shares of the Issuer's Common Stock on a 6.5810:1 basis upon the closing of the Issuer's initial public offering for no additional consideration. The Series A Convertible Preferred Stock had no expiration date. Such shares are held of record by Pfizer. F5: Each Reporting Person disclaims ownership of securities held by the other Reporting Person, except to the extent of its pecuniary interest therein. |
| Series B Convertible Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2019-09-17 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2019-09-17 · Conversion · Disposed 3,465,571 · Balance 0 F3: Each share of Series B Convertible Preferred Stock automatically converted into shares of the Issuer's Common Stock on a 6.5810:1 basis upon the closing of the Issuer's initial public offering for no additional consideration. The Series B Convertible Preferred Stock had no expiration date. Such shares are held of record by Pfizer Ventures (US) LLC, a wholly-owned subsidiary of Pfizer ("PVUS"). F5: Each Reporting Person disclaims ownership of securities held by the other Reporting Person, except to the extent of its pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Each share of Junior Series A Convertible Preferred Stock automatically converted into shares of the Issuer's Common Stock on a 6.5810:1 basis upon the closing of the Issuer's initial public offering for no additional consideration. The Junior Series A Convertible Preferred Stock had no expiration date. Such shares are held of record by Pfizer Inc. ("Pfizer").
F2: Each share of Series A Convertible Preferred Stock automatically converted into shares of the Issuer's Common Stock on a 6.5810:1 basis upon the closing of the Issuer's initial public offering for no additional consideration. The Series A Convertible Preferred Stock had no expiration date. Such shares are held of record by Pfizer.
F3: Each share of Series B Convertible Preferred Stock automatically converted into shares of the Issuer's Common Stock on a 6.5810:1 basis upon the closing of the Issuer's initial public offering for no additional consideration. The Series B Convertible Preferred Stock had no expiration date. Such shares are held of record by Pfizer Ventures (US) LLC, a wholly-owned subsidiary of Pfizer ("PVUS").
F4: PVUS purchased such additional shares of Common Stock in the Issuer's initial public offering at the initial public offering price of $18.00 per share.
F5: Each Reporting Person disclaims ownership of securities held by the other Reporting Person, except to the extent of its pecuniary interest therein.
Zura Bio Ltd
Report date March 20, 2023 · Filed March 30, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Ordinary Shares, $0.0001 par valueSEC Table I · non-derivative | Direct | 2,970,022 |
Reported balance
Holding disclosure · report date 2023-03-20 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 2,970,022 F1: On March 20, 2023, Zura Bio Limited, a limited company incorporated under the laws of England and Wales, JATT Acquisition Corp, a Cayman Islands exempted company ("JATT"), JATT Merger Sub, a Cayman Islands exempted company and wholly owned subsidiary of JATT, JATT Merger Sub 2, a Cayman Islands exempted company and wholly owned subsidiary of JATT, and Zura Bio Holdings Ltd, a Cayman Islands exempted company, consummated the closing of the transactions contemplated by the Business Combination Agreement, dated June 16, 2022, as amended (the "Business Combination Agreement"), pursuant to which the Reporting Person received the reported securities. |
Filing footnotes · ownership attribution and instrument terms
F1: On March 20, 2023, Zura Bio Limited, a limited company incorporated under the laws of England and Wales, JATT Acquisition Corp, a Cayman Islands exempted company ("JATT"), JATT Merger Sub, a Cayman Islands exempted company and wholly owned subsidiary of JATT, JATT Merger Sub 2, a Cayman Islands exempted company and wholly owned subsidiary of JATT, and Zura Bio Holdings Ltd, a Cayman Islands exempted company, consummated the closing of the transactions contemplated by the Business Combination Agreement, dated June 16, 2022, as amended (the "Business Combination Agreement"), pursuant to which the Reporting Person received the reported securities.
Past disclosures · reporting ended (8)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
BioAtla, Inc.
Report date December 18, 2020 · Filed December 22, 2020
Jointly reported with Pfizer Ventures (US) LLC
Section 16 reporting ended · disclosed 2020-12-22. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote(2) | 2,238,090 |
Reported balance
After 2020-12-18 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2020-12-18 · Conversion · Acquired 2,238,090 · Balance 2,238,090 F1: Each share of Series D Convertible Preferred Stock automatically converted into shares of the Issuer's Common Stock on a 1-for-1 basis upon the closing of the Issuer's initial public offering, for no additional consideration. The Series D Convertible Preferred Stock had no expiration date. F2: Such shares are held of record by Pfizer Ventures (US) LLC, a wholly-owned subsidiary of Pfizer Inc. |
| Series D Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee Footnote (2) | 0 |
Reported balance
After 2020-12-18 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2020-12-18 · Conversion · Disposed 2,238,090 · Balance 0 F1: Each share of Series D Convertible Preferred Stock automatically converted into shares of the Issuer's Common Stock on a 1-for-1 basis upon the closing of the Issuer's initial public offering, for no additional consideration. The Series D Convertible Preferred Stock had no expiration date. F2: Such shares are held of record by Pfizer Ventures (US) LLC, a wholly-owned subsidiary of Pfizer Inc. |
Filing footnotes · ownership attribution and instrument terms
F1: Each share of Series D Convertible Preferred Stock automatically converted into shares of the Issuer's Common Stock on a 1-for-1 basis upon the closing of the Issuer's initial public offering, for no additional consideration. The Series D Convertible Preferred Stock had no expiration date.
F2: Such shares are held of record by Pfizer Ventures (US) LLC, a wholly-owned subsidiary of Pfizer Inc.
Cerevel Therapeutics Holdings, Inc.
Report date August 01, 2024 · Filed August 05, 2024
Section 16 reporting ended · disclosed 2024-08-05. 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 2024-08-01 transaction · row 1
1 source rowRow 1 · 2024-08-01 · Other · Disposed 27,349,211 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated December 6, 2023, by and among AbbVie Inc. ("AbbVie"), Symphony Harlan LLC, Symphony Harlan Merger Sub Inc. ("Merger Sub") and Cerevel Therapeutics Holdings, Inc. ("Issuer"), on August 1, 2024 (the "Effective Time"), Merger Sub merged with and into Issuer, with Issuer surviving as a wholly owned subsidiary of AbbVie upon consummation of the transactions contemplated by the Merger Agreement. At the Effective Time, each outstanding share of common stock was cancelled and converted into the right to receive $45.00 in cash (the "Merger Consideration"), without interest. |
Filing footnotes · ownership attribution and instrument terms
F1: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated December 6, 2023, by and among AbbVie Inc. ("AbbVie"), Symphony Harlan LLC, Symphony Harlan Merger Sub Inc. ("Merger Sub") and Cerevel Therapeutics Holdings, Inc. ("Issuer"), on August 1, 2024 (the "Effective Time"), Merger Sub merged with and into Issuer, with Issuer surviving as a wholly owned subsidiary of AbbVie upon consummation of the transactions contemplated by the Merger Agreement. At the Effective Time, each outstanding share of common stock was cancelled and converted into the right to receive $45.00 in cash (the "Merger Consideration"), without interest.
Enliven Therapeutics, Inc.
Report date March 16, 2020 · Filed March 16, 2020
Jointly reported with Pfizer Ventures (US) LLC
Section 16 reporting ended · disclosed 2020-03-16. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 76,003 |
Reported balance
After 2020-03-16 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2020-03-16 · Conversion · Acquired 76,003 · Balance 76,003 F1: On March 16, 2020, each share of Series Seed Preferred Stock converted into Common Stock on a 6.299-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series Seed Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Series Seed Preferred Stock had no expiration date. F4: Each reporting person disclaims ownership of securities held by each other reporting person, except to the extent of its respective pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectBy Pfizer Ventures (US) LLC | 1,481,719 |
Last balance in matching sequence
After 2020-03-16 transaction · row 4
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rowsRow 2 · 2020-03-16 · Conversion · Acquired 868,467 · Balance 868,467 F2: On March 16, 2020, each share of Series A Preferred Stock converted into Common Stock on a 6.299-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Series A Preferred Stock had no expiration date. F4: Each reporting person disclaims ownership of securities held by each other reporting person, except to the extent of its respective pecuniary interest therein. Row 3 · 2020-03-16 · Conversion · Acquired 300,752 · Balance 1,169,219 F3: On March 16, 2020, the Issuer's Series B Preferred Stock converted into Common Stock on a 6.299-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Series B Preferred Stock had no expiration date. F4: Each reporting person disclaims ownership of securities held by each other reporting person, except to the extent of its respective pecuniary interest therein. Row 4 · 2020-03-16 · Purchase · Acquired 312,500 · Balance 1,481,719 F5: Pfizer Ventures (US) LLC purchased 312,500 additional shares of common stock in the Issuer's initial public offering at the initial public offering price of $16.00 per share. F4: Each reporting person disclaims ownership of securities held by each other reporting person, except to the extent of its respective pecuniary interest therein. |
| Series Seed Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2020-03-16 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2020-03-16 · Conversion · Disposed 478,749 · Balance 0 F1: On March 16, 2020, each share of Series Seed Preferred Stock converted into Common Stock on a 6.299-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series Seed Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Series Seed Preferred Stock had no expiration date. F4: Each reporting person disclaims ownership of securities held by each other reporting person, except to the extent of its respective pecuniary interest therein. |
| Series A Preferred StockSEC Table II · derivative / convertible security | IndirectBy Pfizer Ventures (US) LLC | 0 |
Reported balance
After 2020-03-16 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2020-03-16 · Conversion · Disposed 5,470,492 · Balance 0 F2: On March 16, 2020, each share of Series A Preferred Stock converted into Common Stock on a 6.299-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Series A Preferred Stock had no expiration date. F4: Each reporting person disclaims ownership of securities held by each other reporting person, except to the extent of its respective pecuniary interest therein. |
| Series B Preferred StockSEC Table II · derivative / convertible security | IndirectBy Pfizer Ventures (US) LLC | 0 |
Reported balance
After 2020-03-16 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2020-03-16 · Conversion · Disposed 1,894,444 · Balance 0 F3: On March 16, 2020, the Issuer's Series B Preferred Stock converted into Common Stock on a 6.299-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Series B Preferred Stock had no expiration date. F4: Each reporting person disclaims ownership of securities held by each other reporting person, except to the extent of its respective pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: On March 16, 2020, each share of Series Seed Preferred Stock converted into Common Stock on a 6.299-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series Seed Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Series Seed Preferred Stock had no expiration date.
F2: On March 16, 2020, each share of Series A Preferred Stock converted into Common Stock on a 6.299-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Series A Preferred Stock had no expiration date.
F3: On March 16, 2020, the Issuer's Series B Preferred Stock converted into Common Stock on a 6.299-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Series B Preferred Stock had no expiration date.
F4: Each reporting person disclaims ownership of securities held by each other reporting person, except to the extent of its respective pecuniary interest therein.
F5: Pfizer Ventures (US) LLC purchased 312,500 additional shares of common stock in the Issuer's initial public offering at the initial public offering price of $16.00 per share.
Neurogene Inc.
Report date August 10, 2015 · Filed August 12, 2015
Section 16 reporting ended · disclosed 2015-08-12. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 975,403 |
Ending reported balance
After 2015-08-10 transaction · row 17
17 source rows · reconciled sequenceRow 1 · 2015-08-10 · Sale · Disposed 18 · Balance 1,235,312 Row 2 · 2015-08-10 · Sale · Disposed 2,840 · Balance 1,232,472 F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $41.00 to $41.46, inclusive. The reporting person undertakes to provide to Aquinox Pharmaceuticals Inc., the "Issuer", any security holder of the Issuer, or the staff of the Securities & Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in the footnotes (1) through (16) to this Form 4. Row 3 · 2015-08-10 · Sale · Disposed 2,975 · Balance 1,229,497 F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $28.00 to $28.90, inclusive. Row 4 · 2015-08-10 · Sale · Disposed 3,207 · Balance 1,226,290 F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $35.25 to $35.94, inclusive. Row 5 · 2015-08-10 · Sale · Disposed 6,073 · Balance 1,220,217 F4: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $40.00 to $40.99, inclusive. Row 6 · 2015-08-10 · Sale · Disposed 8,565 · Balance 1,211,652 F5: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $27.00 to $27.90, inclusive. Row 7 · 2015-08-10 · Sale · Disposed 8,969 · Balance 1,202,683 F6: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $21.01 to $21.87, inclusive. Row 8 · 2015-08-10 · Sale · Disposed 9,142 · Balance 1,193,541 F7: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $39.00 to $39.99, inclusive. Row 9 · 2015-08-10 · Sale · Disposed 9,901 · Balance 1,183,640 F8: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $37.00 to $37.90, inclusive. Row 10 · 2015-08-10 · Sale · Disposed 10,544 · Balance 1,173,096 F9: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $36.00 to $36.99, inclusive. Row 11 · 2015-08-10 · Sale · Disposed 11,627 · Balance 1,161,469 F10: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $38.00 to $38.93, inclusive. Row 12 · 2015-08-10 · Sale · Disposed 12,726 · Balance 1,148,743 F11: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $25.00 to $25.99, inclusive. Row 13 · 2015-08-10 · Sale · Disposed 13,109 · Balance 1,135,634 F12: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $26.00 to $26.99, inclusive. Row 14 · 2015-08-10 · Sale · Disposed 25,931 · Balance 1,109,703 F13: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $20.00 to $20.82, inclusive. Row 15 · 2015-08-10 · Sale · Disposed 31,400 · Balance 1,078,303 F14: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $24.00 to $24.90, inclusive. Row 16 · 2015-08-10 · Sale · Disposed 44,268 · Balance 1,034,035 F15: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $22.00 to $22.98, inclusive. Row 17 · 2015-08-10 · Sale · Disposed 58,632 · Balance 975,403 F16: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $23.00 to $23.99, inclusive. |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $41.00 to $41.46, inclusive. The reporting person undertakes to provide to Aquinox Pharmaceuticals Inc., the "Issuer", any security holder of the Issuer, or the staff of the Securities & Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in the footnotes (1) through (16) to this Form 4.
F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $28.00 to $28.90, inclusive.
F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $35.25 to $35.94, inclusive.
F4: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $40.00 to $40.99, inclusive.
F5: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $27.00 to $27.90, inclusive.
F6: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $21.01 to $21.87, inclusive.
F7: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $39.00 to $39.99, inclusive.
F8: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $37.00 to $37.90, inclusive.
F9: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $36.00 to $36.99, inclusive.
F10: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $38.00 to $38.93, inclusive.
F11: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $25.00 to $25.99, inclusive.
F12: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $26.00 to $26.99, inclusive.
F13: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $20.00 to $20.82, inclusive.
F14: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $24.00 to $24.90, inclusive.
F15: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $22.00 to $22.98, inclusive.
F16: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $23.00 to $23.99, inclusive.
Quince Therapeutics, Inc.
Report date June 03, 2020 · Filed June 04, 2020
Jointly reported with Pfizer Strategic Investment Holdings LLC, Pfizer Ventures (US) LLC
Section 16 reporting ended · disclosed 2020-06-04. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 2,879,973 |
Reported balance
After 2020-06-03 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2020-06-03 · Sale · Disposed 370,000 · Balance 2,879,973 F1: All of the shares disposed of were sold by Pfizer Inc. ("Pfizer") F2: Represents 2,410,071 shares held of record by Pfizer Ventures (US) LLC, a controlled affiliate of Pfizer, 254,205 shares held of record by Pfizer, and 215,697 shares held of record by Pfizer Strategic Investment Holdings LLC, a controlled affiliate of Pfizer. F3: Each Reporting Person disclaims beneficial ownership of securities reported on this Form 4, except to the extent of its respective pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: All of the shares disposed of were sold by Pfizer Inc. ("Pfizer")
F2: Represents 2,410,071 shares held of record by Pfizer Ventures (US) LLC, a controlled affiliate of Pfizer, 254,205 shares held of record by Pfizer, and 215,697 shares held of record by Pfizer Strategic Investment Holdings LLC, a controlled affiliate of Pfizer.
F3: Each Reporting Person disclaims beneficial ownership of securities reported on this Form 4, except to the extent of its respective pecuniary interest therein.
RHYTHM PHARMACEUTICALS, INC.
Report date October 10, 2017 · Filed October 10, 2017
Section 16 reporting ended · disclosed 2017-10-10. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 1,427,639 |
Ending reported balance
After 2017-10-10 transaction · row 3
3 source rows · reconciled sequenceRow 1 · 2017-10-10 · Conversion · Acquired 447,514 · Balance 447,514 F1: In connection with the closing of the Issuer's initial public offering, each share of the Issuer's series A convertible preferred stock (the "Series A Preferred") and series A-1 junior preferred stock (the "Series A-1 Preferred") converted into the Issuer's common stock on a 9.17-for-one basis without payment or consideration. The Series A Preferred and the Series A-1 Preferred had no expiration date. Row 2 · 2017-10-10 · Conversion · Acquired 940,125 · Balance 1,387,639 F1: In connection with the closing of the Issuer's initial public offering, each share of the Issuer's series A convertible preferred stock (the "Series A Preferred") and series A-1 junior preferred stock (the "Series A-1 Preferred") converted into the Issuer's common stock on a 9.17-for-one basis without payment or consideration. The Series A Preferred and the Series A-1 Preferred had no expiration date. Row 3 · 2017-10-10 · Purchase · Acquired 40,000 · Balance 1,427,639 |
| Series A Convertible Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2017-10-10 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2017-10-10 · Conversion · Disposed 447,514 · Balance 0 F1: In connection with the closing of the Issuer's initial public offering, each share of the Issuer's series A convertible preferred stock (the "Series A Preferred") and series A-1 junior preferred stock (the "Series A-1 Preferred") converted into the Issuer's common stock on a 9.17-for-one basis without payment or consideration. The Series A Preferred and the Series A-1 Preferred had no expiration date. F2: Reflects the number of shares of Series A Preferred and Series A-1 Preferred, as applicable, held by the Reporting Person on an as-converted to common stock basis. |
| Series A-1 Junior Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2017-10-10 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2017-10-10 · Conversion · Disposed 940,125 · Balance 0 F1: In connection with the closing of the Issuer's initial public offering, each share of the Issuer's series A convertible preferred stock (the "Series A Preferred") and series A-1 junior preferred stock (the "Series A-1 Preferred") converted into the Issuer's common stock on a 9.17-for-one basis without payment or consideration. The Series A Preferred and the Series A-1 Preferred had no expiration date. F2: Reflects the number of shares of Series A Preferred and Series A-1 Preferred, as applicable, held by the Reporting Person on an as-converted to common stock basis. |
Filing footnotes · ownership attribution and instrument terms
F1: In connection with the closing of the Issuer's initial public offering, each share of the Issuer's series A convertible preferred stock (the "Series A Preferred") and series A-1 junior preferred stock (the "Series A-1 Preferred") converted into the Issuer's common stock on a 9.17-for-one basis without payment or consideration. The Series A Preferred and the Series A-1 Preferred had no expiration date.
F2: Reflects the number of shares of Series A Preferred and Series A-1 Preferred, as applicable, held by the Reporting Person on an as-converted to common stock basis.
Viatris Inc
Report date November 13, 2020 · Filed November 16, 2020
Section 16 reporting ended · disclosed 2020-11-16. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | Direct | 0 |
Ending reported balance
After 2020-11-16 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2020-11-13 · Other · Acquired 689,873,947 · Balance 689,874,047 F1: On November 13, 2020, the reporting person acquired 689,873,947 shares of common stock of the Issuer as partial consideration for the contribution by the reporting person of certain assets and liabilities related to the reporting person's global, primarily off-patent branded and generic established medicines business to the Issuer. Row 2 · 2020-11-16 · Other · Disposed 689,874,047 · Balance 0 F2: On November 16, 2020, the reporting person disposed of all its shares of common stock of the Issuer in connection with the spin-off of the Issuer from the reporting person. |
Filing footnotes · ownership attribution and instrument terms
F1: On November 13, 2020, the reporting person acquired 689,873,947 shares of common stock of the Issuer as partial consideration for the contribution by the reporting person of certain assets and liabilities related to the reporting person's global, primarily off-patent branded and generic established medicines business to the Issuer.
F2: On November 16, 2020, the reporting person disposed of all its shares of common stock of the Issuer in connection with the spin-off of the Issuer from the reporting person.
Zoetis Inc.
Report date June 24, 2013 · Filed June 26, 2013
Section 16 reporting ended · disclosed 2013-06-26. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | Direct | 0 |
Ending reported balance
After 2013-06-24 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2013-06-24 · Conversion · Acquired 400,985,000 · Balance 400,985,000 F1: The Class A Common Stock was acquired pursuant to the conversion of Class B Common Stock in an exempt transaction under Rule 16b-6(b). The Class B Common Stock was converted into Class A Common Stock on a one-for-one basis and had no exercise or conversion price. F3: The Class B Common Stock was convertible into Class A Common Stock at any time on a one-for-one basis and had no exercise or conversion price or expiration date. Row 2 · 2013-06-24 · Other · Disposed 400,985,000 · Balance 0 F2: Pfizer Inc. ("Pfizer") disposed of 400,985,000 shares of Class A Common Stock of Zoetis Inc. ("Class A Common Stock") in exchange for 405,117,195 shares of Pfizer common stock pursuant to a registered exchange offer to Pfizer common stockholders. The final exchange ratio for the exchange offer was 0.9898 shares of Class A Common Stock per share of Pfizer common stock accepted in the exchange offer. As a result of the exchange offer, Pfizer has disposed of its entire equity interest in the Issuer. The closing price of Pfizer common stock on the New York Stock Exchange on June 21, 2013, the trading day immediately preceding the day on which Pfizer accepted Pfizer shares that had been validly tendered and not validly withdrawn,was $28.46. |
| Class B Common StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2013-06-24 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2013-06-24 · Conversion · Disposed 400,985,000 · Balance 0 F3: The Class B Common Stock was convertible into Class A Common Stock at any time on a one-for-one basis and had no exercise or conversion price or expiration date. |
Filing footnotes · ownership attribution and instrument terms
F1: The Class A Common Stock was acquired pursuant to the conversion of Class B Common Stock in an exempt transaction under Rule 16b-6(b). The Class B Common Stock was converted into Class A Common Stock on a one-for-one basis and had no exercise or conversion price.
F2: Pfizer Inc. ("Pfizer") disposed of 400,985,000 shares of Class A Common Stock of Zoetis Inc. ("Class A Common Stock") in exchange for 405,117,195 shares of Pfizer common stock pursuant to a registered exchange offer to Pfizer common stockholders. The final exchange ratio for the exchange offer was 0.9898 shares of Class A Common Stock per share of Pfizer common stock accepted in the exchange offer. As a result of the exchange offer, Pfizer has disposed of its entire equity interest in the Issuer. The closing price of Pfizer common stock on the New York Stock Exchange on June 21, 2013, the trading day immediately preceding the day on which Pfizer accepted Pfizer shares that had been validly tendered and not validly withdrawn,was $28.46.
F3: The Class B Common Stock was convertible into Class A Common Stock at any time on a one-for-one basis and had no exercise or conversion price or expiration date.
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 |
|---|---|---|---|---|---|---|
| August 10, 2015 Filed Aug 12, 2015 20:30 UTC | Neurogene Inc. AQXP · Entity 5160 | SaleCommon Stock | 12,726 | $25.32 | $322,264.32 |
DisclosureSEC source: 0001225208-15-016754 · doc4.xml · nonDerivative · entry 12 PFIZER INC · CIK 0000078003 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,148,743 F11 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $25.00 to $25.99, inclusive. Read SEC document |
| August 10, 2015 Filed Aug 12, 2015 20:30 UTC | Neurogene Inc. AQXP · Entity 5160 | SaleCommon Stock | 11,627 | $38.49 | $447,577.88 |
DisclosureSEC source: 0001225208-15-016754 · doc4.xml · nonDerivative · entry 11 PFIZER INC · CIK 0000078003 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,161,469 F10 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $38.00 to $38.93, inclusive. Read SEC document |
| August 10, 2015 Filed Aug 12, 2015 20:30 UTC | Neurogene Inc. AQXP · Entity 5160 | SaleCommon Stock | 10,544 | $36.37 | $383,471.57 |
DisclosureSEC source: 0001225208-15-016754 · doc4.xml · nonDerivative · entry 10 PFIZER INC · CIK 0000078003 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,173,096 F9 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $36.00 to $36.99, inclusive. Read SEC document |
| August 10, 2015 Filed Aug 12, 2015 20:30 UTC | Neurogene Inc. AQXP · Entity 5160 | SaleCommon Stock | 9,901 | $37.23 | $368,578.59 |
DisclosureSEC source: 0001225208-15-016754 · doc4.xml · nonDerivative · entry 9 PFIZER INC · CIK 0000078003 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,183,640 F8 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $37.00 to $37.90, inclusive. Read SEC document |
| August 10, 2015 Filed Aug 12, 2015 20:30 UTC | Neurogene Inc. AQXP · Entity 5160 | SaleCommon Stock | 9,142 | $39.52 | $361,266.24 |
DisclosureSEC source: 0001225208-15-016754 · doc4.xml · nonDerivative · entry 8 PFIZER INC · CIK 0000078003 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,193,541 F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $39.00 to $39.99, inclusive. Read SEC document |
| August 10, 2015 Filed Aug 12, 2015 20:30 UTC | Neurogene Inc. AQXP · Entity 5160 | SaleCommon Stock | 8,969 | $21.45 | $192,390.43 |
DisclosureSEC source: 0001225208-15-016754 · doc4.xml · nonDerivative · entry 7 PFIZER INC · CIK 0000078003 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,202,683 F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $21.01 to $21.87, inclusive. Read SEC document |
| August 10, 2015 Filed Aug 12, 2015 20:30 UTC | Neurogene Inc. AQXP · Entity 5160 | SaleCommon Stock | 8,565 | $27.36 | $234,305.00 |
DisclosureSEC source: 0001225208-15-016754 · doc4.xml · nonDerivative · entry 6 PFIZER INC · CIK 0000078003 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,211,652 F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $27.00 to $27.90, inclusive. Read SEC document |
| August 10, 2015 Filed Aug 12, 2015 20:30 UTC | Neurogene Inc. AQXP · Entity 5160 | SaleCommon Stock | 6,073 | $40.30 | $244,714.57 |
DisclosureSEC source: 0001225208-15-016754 · doc4.xml · nonDerivative · entry 5 PFIZER INC · CIK 0000078003 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,220,217 F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $40.00 to $40.99, inclusive. Read SEC document |
| August 10, 2015 Filed Aug 12, 2015 20:30 UTC | Neurogene Inc. AQXP · Entity 5160 | SaleCommon Stock | 3,207 | $35.61 | $114,192.29 |
DisclosureSEC source: 0001225208-15-016754 · doc4.xml · nonDerivative · entry 4 PFIZER INC · CIK 0000078003 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,226,290 F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $35.25 to $35.94, inclusive. Read SEC document |
| August 10, 2015 Filed Aug 12, 2015 20:30 UTC | Neurogene Inc. AQXP · Entity 5160 | SaleCommon Stock | 2,975 | $28.47 | $84,689.33 |
DisclosureSEC source: 0001225208-15-016754 · doc4.xml · nonDerivative · entry 3 PFIZER INC · CIK 0000078003 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,229,497 F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $28.00 to $28.90, inclusive. Read SEC document |
| August 10, 2015 Filed Aug 12, 2015 20:30 UTC | Neurogene Inc. AQXP · Entity 5160 | SaleCommon Stock | 2,840 | $41.25 | $117,142.90 |
DisclosureSEC source: 0001225208-15-016754 · doc4.xml · nonDerivative · entry 2 PFIZER INC · CIK 0000078003 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,232,472 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $41.00 to $41.46, inclusive. The reporting person undertakes to provide to Aquinox Pharmaceuticals Inc., the "Issuer", any security holder of the Issuer, or the staff of the Securities & Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in the footnotes (1) through (16) to this Form 4. Read SEC document |
| August 10, 2015 Filed Aug 12, 2015 20:30 UTC | Neurogene Inc. AQXP · Entity 5160 | SaleCommon Stock | 18 | $29.00 | $522.00 |
DisclosureSEC source: 0001225208-15-016754 · doc4.xml · nonDerivative · entry 1 PFIZER INC · CIK 0000078003 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,235,312 Read SEC document |
| March 12, 2014 Filed Mar 14, 2014 19:27 UTC | Neurogene Inc. AQXP · Entity 5160 | ConversionSeries C Preferred Stock · Derivative | 301,005 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-14-020601 · doc4.xml · derivative · entry 5 PFIZER INC · CIK 0000078003 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 301,005 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of the issuer's Series A-1, Series A-2, Series B-1, Series B-2 and Series C Preferred Stock converted into Common Stock of the issuer on a 1-to-1 basis upon the closing of the issuer's initial public offering, and has no expiration date. F1 · price: Each share of the issuer's Series A-1, Series A-2, Series B-1, Series B-2 and Series C Preferred Stock converted into Common Stock of the issuer on a 1-to-1 basis upon the closing of the issuer's initial public offering, and has no expiration date. F1 · derivative.exercise_date: Each share of the issuer's Series A-1, Series A-2, Series B-1, Series B-2 and Series C Preferred Stock converted into Common Stock of the issuer on a 1-to-1 basis upon the closing of the issuer's initial public offering, and has no expiration date. F1 · derivative.expiration_date: Each share of the issuer's Series A-1, Series A-2, Series B-1, Series B-2 and Series C Preferred Stock converted into Common Stock of the issuer on a 1-to-1 basis upon the closing of the issuer's initial public offering, and has no expiration date. Read SEC document |
| March 12, 2014 Filed Mar 14, 2014 19:27 UTC | Neurogene Inc. AQXP · Entity 5160 | ConversionSeries B-2 Preferred Stock · Derivative | 327,178 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-14-020601 · doc4.xml · derivative · entry 4 PFIZER INC · CIK 0000078003 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 327,178 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of the issuer's Series A-1, Series A-2, Series B-1, Series B-2 and Series C Preferred Stock converted into Common Stock of the issuer on a 1-to-1 basis upon the closing of the issuer's initial public offering, and has no expiration date. F1 · price: Each share of the issuer's Series A-1, Series A-2, Series B-1, Series B-2 and Series C Preferred Stock converted into Common Stock of the issuer on a 1-to-1 basis upon the closing of the issuer's initial public offering, and has no expiration date. F1 · derivative.exercise_date: Each share of the issuer's Series A-1, Series A-2, Series B-1, Series B-2 and Series C Preferred Stock converted into Common Stock of the issuer on a 1-to-1 basis upon the closing of the issuer's initial public offering, and has no expiration date. F1 · derivative.expiration_date: Each share of the issuer's Series A-1, Series A-2, Series B-1, Series B-2 and Series C Preferred Stock converted into Common Stock of the issuer on a 1-to-1 basis upon the closing of the issuer's initial public offering, and has no expiration date. Read SEC document |
| March 12, 2014 Filed Mar 14, 2014 19:27 UTC | Neurogene Inc. AQXP · Entity 5160 | ConversionSeries B-1 Preferred Stock · Derivative | 334,420 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-14-020601 · doc4.xml · derivative · entry 3 PFIZER INC · CIK 0000078003 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 334,420 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of the issuer's Series A-1, Series A-2, Series B-1, Series B-2 and Series C Preferred Stock converted into Common Stock of the issuer on a 1-to-1 basis upon the closing of the issuer's initial public offering, and has no expiration date. F1 · price: Each share of the issuer's Series A-1, Series A-2, Series B-1, Series B-2 and Series C Preferred Stock converted into Common Stock of the issuer on a 1-to-1 basis upon the closing of the issuer's initial public offering, and has no expiration date. F1 · derivative.exercise_date: Each share of the issuer's Series A-1, Series A-2, Series B-1, Series B-2 and Series C Preferred Stock converted into Common Stock of the issuer on a 1-to-1 basis upon the closing of the issuer's initial public offering, and has no expiration date. F1 · derivative.expiration_date: Each share of the issuer's Series A-1, Series A-2, Series B-1, Series B-2 and Series C Preferred Stock converted into Common Stock of the issuer on a 1-to-1 basis upon the closing of the issuer's initial public offering, and has no expiration date. Read SEC document |
| March 12, 2014 Filed Mar 14, 2014 19:27 UTC | Neurogene Inc. AQXP · Entity 5160 | PurchaseCommon Stock | 272,727 | $11.00 | $2,999,997.00 |
DisclosureSEC source: 0001209191-14-020601 · doc4.xml · nonDerivative · entry 2 PFIZER INC · CIK 0000078003 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,235,330 Read SEC document |
| March 12, 2014 Filed Mar 14, 2014 19:27 UTC | Neurogene Inc. AQXP · Entity 5160 | ConversionCommon Stock | 962,603 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-14-020601 · doc4.xml · nonDerivative · entry 1 PFIZER INC · CIK 0000078003 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 962,603 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share of the issuer's Series A-1, Series A-2, Series B-1, Series B-2 and Series C Preferred Stock converted into Common Stock of the issuer on a 1-to-1 basis upon the closing of the issuer's initial public offering, and has no expiration date. Read SEC document |
| February 18, 2014 Filed Feb 20, 2014 19:51 UTC | Flexion Therapeutics Inc FLXN · Entity 16545 | ConversionSeries B Preferred Stock · Derivative | 1,904,905 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-14-012241 · doc4.xml · derivative · entry 4 PFIZER INC · CIK 0000078003 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 234,306 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: Every 8.13 shares of Series B Preferred Stock automatically converted into 1 share of Common Stock without payment of further consideration upon the closing of the Issuer's initial public offering. The shares have no expiration date. F2 · price: Every 8.13 shares of Series B Preferred Stock automatically converted into 1 share of Common Stock without payment of further consideration upon the closing of the Issuer's initial public offering. The shares have no expiration date. F2 · derivative.exercise_date: Every 8.13 shares of Series B Preferred Stock automatically converted into 1 share of Common Stock without payment of further consideration upon the closing of the Issuer's initial public offering. The shares have no expiration date. F2 · derivative.expiration_date: Every 8.13 shares of Series B Preferred Stock automatically converted into 1 share of Common Stock without payment of further consideration upon the closing of the Issuer's initial public offering. The shares have no expiration date. Read SEC document |
| February 18, 2014 Filed Feb 20, 2014 19:51 UTC | Flexion Therapeutics Inc FLXN · Entity 16545 | ConversionSeries A Preferred Stock · Derivative | 11,812,438 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-14-012241 · doc4.xml · derivative · entry 3 PFIZER INC · CIK 0000078003 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,452,944 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: Every 8.13 shares of Series A Preferred Stock automatically converted into 1 share of Common Stock without payment of further consideration upon the closing of the Issuer's initial public offering. The shares have no expiration date. F1 · price: Every 8.13 shares of Series A Preferred Stock automatically converted into 1 share of Common Stock without payment of further consideration upon the closing of the Issuer's initial public offering. The shares have no expiration date. F1 · derivative.exercise_date: Every 8.13 shares of Series A Preferred Stock automatically converted into 1 share of Common Stock without payment of further consideration upon the closing of the Issuer's initial public offering. The shares have no expiration date. F1 · derivative.expiration_date: Every 8.13 shares of Series A Preferred Stock automatically converted into 1 share of Common Stock without payment of further consideration upon the closing of the Issuer's initial public offering. The shares have no expiration date. Read SEC document |
| February 18, 2014 Filed Feb 20, 2014 19:51 UTC | Flexion Therapeutics Inc FLXN · Entity 16545 | ConversionCommon Stock | 234,306 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-14-012241 · doc4.xml · nonDerivative · entry 2 PFIZER INC · CIK 0000078003 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,687,250 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · price: Every 8.13 shares of Series B Preferred Stock automatically converted into 1 share of Common Stock without payment of further consideration upon the closing of the Issuer's initial public offering. The shares have no expiration date. Read SEC document |
| February 18, 2014 Filed Feb 20, 2014 19:51 UTC | Flexion Therapeutics Inc FLXN · Entity 16545 | ConversionCommon Stock | 1,452,944 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-14-012241 · doc4.xml · nonDerivative · entry 1 PFIZER INC · CIK 0000078003 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,452,944 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: Every 8.13 shares of Series A Preferred Stock automatically converted into 1 share of Common Stock without payment of further consideration upon the closing of the Issuer's initial public offering. The shares have no expiration date. Read SEC document |
| February 04, 2014 Filed Feb 6, 2014 20:53 UTC | Eiger BioPharmaceuticals, Inc. CLDN · Entity 16554 | ConversionCommon Warrants · Derivative | 42,659 | $0.00 Strike: $5.61 | $0.00 |
DisclosureSEC source: 0001209191-14-007978 · doc4.xml · derivative · entry 7 PFIZER INC · CIK 0000078003 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,659 Underlying: Common Stock · 42,659 shares Expires 2018-10-15 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · kind: Represents the automatic conversion of Series A-1 Preferred Warrants into Common Stock Warrants on a 1-for-12.49 basis upon the closing of the Issuer's initial public offering. Read SEC document |
| February 04, 2014 Filed Feb 6, 2014 20:53 UTC | Eiger BioPharmaceuticals, Inc. CLDN · Entity 16554 | ConversionSeries A-1 Preferred Warrants · Derivative | 532,818 | $0.00 Strike: $0.45 | $0.00 |
DisclosureSEC source: 0001209191-14-007978 · doc4.xml · derivative · entry 6 PFIZER INC · CIK 0000078003 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Series A-1 Preferred Stock · 532,818 shares Expires 2018-10-15 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · kind: Represents the automatic conversion of Series A-1 Preferred Warrants into Common Stock Warrants on a 1-for-12.49 basis upon the closing of the Issuer's initial public offering. Read SEC document |
| February 04, 2014 Filed Feb 6, 2014 20:53 UTC | Eiger BioPharmaceuticals, Inc. CLDN · Entity 16554 | ConversionConvertible Promissory Notes · Derivative | 23,145 | $8.00 Strike: $8.00 | $185,160.00 |
DisclosureSEC source: 0001209191-14-007978 · doc4.xml · derivative · entry 5 PFIZER INC · CIK 0000078003 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 23,145 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: Automatic conversion, in connection with the Issuer's initial public offering, of convertible promissory notes, including principal and accrued interest. F2 · derivative.exercise_date: Automatic conversion, in connection with the Issuer's initial public offering, of convertible promissory notes, including principal and accrued interest. F2 · derivative.expiration_date: Automatic conversion, in connection with the Issuer's initial public offering, of convertible promissory notes, including principal and accrued interest. Read SEC document |
| February 04, 2014 Filed Feb 6, 2014 20:53 UTC | Eiger BioPharmaceuticals, Inc. CLDN · Entity 16554 | ConversionSeries A-1 Convertible Preferred Stock · Derivative | 19,289,531 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-14-007978 · doc4.xml · derivative · entry 4 PFIZER INC · CIK 0000078003 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,544,397 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: Every 12.49 shares of Series A-1 Preferred Stock automatically converted into 1 share of Common Stock without payment of further consideration upon the closing of the Issuer's initial public offering. The shares have no expiration date. F1 · shares: Every 12.49 shares of Series A-1 Preferred Stock automatically converted into 1 share of Common Stock without payment of further consideration upon the closing of the Issuer's initial public offering. The shares have no expiration date. F1 · derivative.exercise_date: Every 12.49 shares of Series A-1 Preferred Stock automatically converted into 1 share of Common Stock without payment of further consideration upon the closing of the Issuer's initial public offering. The shares have no expiration date. F1 · derivative.expiration_date: Every 12.49 shares of Series A-1 Preferred Stock automatically converted into 1 share of Common Stock without payment of further consideration upon the closing of the Issuer's initial public offering. The shares have no expiration date. Read SEC document |
| February 04, 2014 Filed Feb 6, 2014 20:53 UTC | Eiger BioPharmaceuticals, Inc. CLDN · Entity 16554 | PurchaseCommon Stock | 227,261 | $8.00 | $1,818,088.00 |
DisclosureSEC source: 0001209191-14-007978 · doc4.xml · nonDerivative · entry 3 PFIZER INC · CIK 0000078003 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,794,803 F3 · shares: The shares were purchased at the Issuer's initial public offering. Read SEC document |
| February 04, 2014 Filed Feb 6, 2014 20:53 UTC | Eiger BioPharmaceuticals, Inc. CLDN · Entity 16554 | ConversionCommon Stock | 23,145 | $8.00 | $185,160.00 |
DisclosureSEC source: 0001209191-14-007978 · doc4.xml · nonDerivative · entry 2 PFIZER INC · CIK 0000078003 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,567,542 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · shares: Automatic conversion, in connection with the Issuer's initial public offering, of convertible promissory notes, including principal and accrued interest. Read SEC document |
| February 04, 2014 Filed Feb 6, 2014 20:53 UTC | Eiger BioPharmaceuticals, Inc. CLDN · Entity 16554 | ConversionCommon Stock | 1,544,397 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-14-007978 · doc4.xml · nonDerivative · entry 1 PFIZER INC · CIK 0000078003 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,544,397 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: Every 12.49 shares of Series A-1 Preferred Stock automatically converted into 1 share of Common Stock without payment of further consideration upon the closing of the Issuer's initial public offering. The shares have no expiration date. Read SEC document |
| June 24, 2013 Filed Jun 26, 2013 21:17 UTC | Zoetis Inc. ZTS · Entity 679 | ConversionClass B Common Stock · Derivative | 400,985,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000078003-13-000014 · primary_doc.xml · derivative · entry 3 PFIZER INC · CIK 0000078003 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 400,985,000 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. F3 · derivative.exercise_price: The Class B Common Stock was convertible into Class A Common Stock at any time on a one-for-one basis and had no exercise or conversion price or expiration date. F3 · derivative.exercise_date: The Class B Common Stock was convertible into Class A Common Stock at any time on a one-for-one basis and had no exercise or conversion price or expiration date. F3 · derivative.expiration_date: The Class B Common Stock was convertible into Class A Common Stock at any time on a one-for-one basis and had no exercise or conversion price or expiration date. Read SEC document |
| June 24, 2013 Filed Jun 26, 2013 21:17 UTC | Zoetis Inc. ZTS · Entity 679 | OtherClass A Common Stock | 400,985,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000078003-13-000014 · primary_doc.xml · nonDerivative · entry 2 PFIZER INC · CIK 0000078003 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F2 · price: Pfizer Inc. ("Pfizer") disposed of 400,985,000 shares of Class A Common Stock of Zoetis Inc. ("Class A Common Stock") in exchange for 405,117,195 shares of Pfizer common stock pursuant to a registered exchange offer to Pfizer common stockholders. The final exchange ratio for the exchange offer was 0.9898 shares of Class A Common Stock per share of Pfizer common stock accepted in the exchange offer. As a result of the exchange offer, Pfizer has disposed of its entire equity interest in the Issuer. The closing price of Pfizer common stock on the New York Stock Exchange on June 21, 2013, the trading day immediately preceding the day on which Pfizer accepted Pfizer shares that had been validly tendered and not validly withdrawn,was $28.46. Read SEC document |
| June 24, 2013 Filed Jun 26, 2013 21:17 UTC | Zoetis Inc. ZTS · Entity 679 | ConversionClass A Common Stock | 400,985,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000078003-13-000014 · primary_doc.xml · nonDerivative · entry 1 PFIZER INC · CIK 0000078003 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 400,985,000 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: The Class A Common Stock was acquired pursuant to the conversion of Class B Common Stock in an exempt transaction under Rule 16b-6(b). The Class B Common Stock was converted into Class A Common Stock on a one-for-one basis and had no exercise or conversion price. F3 · price: The Class B Common Stock was convertible into Class A Common Stock at any time on a one-for-one basis and had no exercise or conversion price or expiration date. Read SEC document |
| February 06, 2013 Filed Feb 8, 2013 21:19 UTC | Zoetis Inc. ZTS · Entity 679 | ConversionClass B Common Stock · Derivative | 12,915,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-13-007372 · doc4.xml · derivative · entry 3 PFIZER INC · CIK 0000078003 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 400,985,000 Underlying: Class A Common Stock · 12,915,000 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. F4 · derivative.exercise_price: Each share of Class B Common Stock held by Pfizer Inc. or one of its subsidiaries will be convertible into one share of Class A Common Stock at any time but will not be convertible if held by any other holder. F4 · derivative.exercise_date: Each share of Class B Common Stock held by Pfizer Inc. or one of its subsidiaries will be convertible into one share of Class A Common Stock at any time but will not be convertible if held by any other holder. F4 · derivative.expiration_date: Each share of Class B Common Stock held by Pfizer Inc. or one of its subsidiaries will be convertible into one share of Class A Common Stock at any time but will not be convertible if held by any other holder. F2 · ownership.direct: Pfizer Inc. may be deemed a director of the Issuer on the basis of its relationship with five of the directors of the Issuer. Read SEC document |
| February 06, 2013 Filed Feb 8, 2013 21:19 UTC | Zoetis Inc. ZTS · Entity 679 | SaleClass A Common Stock | 99,015,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-13-007372 · doc4.xml · nonDerivative · entry 2 PFIZER INC · CIK 0000078003 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F3 · price: Pfizer Inc. disposed of 99,015,000 shares of Class A Common Stock in exchange for outstanding debt obligations of Pfizer Inc. The debt obligations were valued at their fair market value, and the fair market value of the debt obligations exchanged equaled $25.038 per share of Class A Common Stock exchanged. F2 · ownership.direct: Pfizer Inc. may be deemed a director of the Issuer on the basis of its relationship with five of the directors of the Issuer. Read SEC document |
| February 06, 2013 Filed Feb 8, 2013 21:19 UTC | Zoetis Inc. ZTS · Entity 679 | ConversionClass A Common Stock | 12,915,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-13-007372 · doc4.xml · nonDerivative · entry 1 PFIZER INC · CIK 0000078003 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,915,000 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: The Class A Common Stock was acquired pursuant to the conversion of Class B Common Stock in an exempt transaction under the Exchange Act Rule 16b-6(b). The Class B Common Stock was converted into Class A Common Stock on a one-for-one basis and had no exercise or conversion price. F2 · ownership.direct: Pfizer Inc. may be deemed a director of the Issuer on the basis of its relationship with five of the directors of the Issuer. Read SEC document |
| October 27, 2011 Filed Nov 2, 2011 23:16 UTC | ICAGEN INC ICGN · Entity 13934 | PurchaseCommon Stock | 2,743,269 | $6.00 | $16,459,614.00 |
DisclosureSEC source: 0000078003-11-000018 · primary_doc.xml · nonDerivative · entry 1 PFIZER INC · CIK 0000078003 · 10% owner Eclipse Acquisition Corp. · CIK 0001529320 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100 F1 · shares: This amount reflects all of the outstanding shares of Icagen, Inc. ("Icagen") not owned by Pfizer Inc. ("Pfizer") and Eclipse Acquisition Corp. On October 27, 2011, Eclipse Acquisition Corp. was merged with and into Icagen with Icagen continuing as the surviving corporation and a wholly-owned subsidiary of Pfizer. At the effective time of the merger, these shares of common stock were cancelled and ceased to exist. F2 · balance_after: Prior to the merger, Pfizer held 100 shares of common stock, $0.01 par value per share, of Eclipse Acquisition Corp., which represented all of the issued and outstanding capital stock of Eclipse Acquisition Corp. At the effective time of the merger, each share of Eclipse Acquisition Corp. was converted into one share of common stock of Icagen, resulting in the acquisition by Pfizer of 100% of the equity interest of Icagen. Read SEC document |
| September 19, 2011 Filed Sep 20, 2011 19:06 UTC | ICAGEN INC ICGN · Entity 13934 | PurchaseCommon Stock | 61,083 | $6.00 | $366,498.00 |
DisclosureSEC source: 0000078003-11-000017 · primary_doc.xml · nonDerivative · entry 2 PFIZER INC · CIK 0000078003 · 10% owner Eclipse Acquisition Corp. · CIK 0001529320 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · FN Disclosed balance after: 5,393,380 F1 · ownership.nature: Shares are directly owned by Eclipse Acquisition Corp., a wholly owned subsidiary of Pfizer Inc. Read SEC document |
| September 16, 2011 Filed Sep 20, 2011 19:06 UTC | ICAGEN INC ICGN · Entity 13934 | PurchaseCommon Stock | 5,536 | $6.00 | $33,216.00 |
DisclosureSEC source: 0000078003-11-000017 · primary_doc.xml · nonDerivative · entry 1 PFIZER INC · CIK 0000078003 · 10% owner Eclipse Acquisition Corp. · CIK 0001529320 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · FN Disclosed balance after: 5,332,297 F1 · ownership.nature: Shares are directly owned by Eclipse Acquisition Corp., a wholly owned subsidiary of Pfizer Inc. Read SEC document |
| September 15, 2011 Filed Sep 16, 2011 22:01 UTC | ICAGEN INC ICGN · Entity 13934 | PurchaseCommon Stock | 232,203 | $6.00 | $1,393,218.00 |
DisclosureSEC source: 0000078003-11-000016 · primary_doc.xml · nonDerivative · entry 1 PFIZER INC · CIK 0000078003 · 10% owner Eclipse Acquisition Corp. · CIK 0001529320 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · FN Disclosed balance after: 5,326,761 F1 · ownership.nature: Shares are directly owned by Eclipse Acquisition Corp., a wholly owned subsidiary of Pfizer Inc. Read SEC document |
| September 12, 2011 Filed Sep 14, 2011 23:25 UTC | ICAGEN INC ICGN · Entity 13934 | PurchaseCommon Stock | 422,023 | $6.00 | $2,532,138.00 |
DisclosureSEC source: 0000078003-11-000013 · primary_doc.xml · nonDerivative · entry 1 PFIZER INC · CIK 0000078003 · 10% owner Eclipse Acquisition Corp. · CIK 0001529320 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · FN Disclosed balance after: 5,094,558 F1 · ownership.nature: Shares are directly owned by Eclipse Acquisition Corp., a wholly owned subsidiary of Pfizer Inc. Read SEC document |
| September 09, 2011 Filed Sep 12, 2011 17:27 UTC | ICAGEN INC ICGN · Entity 13934 | PurchaseCommon Stock | 60,121 | $6.00 | $360,726.00 |
DisclosureSEC source: 0000078003-11-000012 · primary_doc.xml · nonDerivative · entry 2 PFIZER INC · CIK 0000078003 · 10% owner Eclipse Acquisition Corp. · CIK 0001529320 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · FN Disclosed balance after: 4,677,659 F1 · ownership.nature: Shares are directly owned by Eclipse Acquisition Corp., a wholly owned subsidiary of Pfizer Inc. Read SEC document |
| September 08, 2011 Filed Sep 12, 2011 17:27 UTC | ICAGEN INC ICGN · Entity 13934 | PurchaseCommon Stock | 493 | $6.00 | $2,958.00 |
DisclosureSEC source: 0000078003-11-000012 · primary_doc.xml · nonDerivative · entry 1 PFIZER INC · CIK 0000078003 · 10% owner Eclipse Acquisition Corp. · CIK 0001529320 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · FN Disclosed balance after: 4,617,538 F1 · ownership.nature: Shares are directly owned by Eclipse Acquisition Corp., a wholly owned subsidiary of Pfizer Inc. Read SEC document |
| September 02, 2011 Filed Sep 7, 2011 22:59 UTC | ICAGEN INC ICGN · Entity 13934 | PurchaseCommon Stock | 4,617,045 | $6.00 | $27,702,270.00 |
DisclosureSEC source: 0000078003-11-000011 · primary_doc.xml · nonDerivative · entry 1 PFIZER INC · CIK 0000078003 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · by Eclipse Acquisition Corp Disclosed balance after: 4,617,045 F1 · shares: Represents shares purchased (including approximately 688,100 shares subject to guarantees of delivery) by Eclipse Acquisition Corp. ("Purchaser"), a wholly-owned subsidiary of Pfizer Inc. ("Parent"), in a tender offer. These shares are owned directly by Purchaser and may also be deemed to be indirectly beneficially owned by Parent. Read SEC document |
| September 02, 2011 Filed Sep 16, 2011 21:22 UTC Amendment | ICAGEN INC ICGN · Entity 13934 | PurchaseCommon Stock | 4,611,921 | $6.00 | $27,671,526.00 |
DisclosureSEC source: 0000078003-11-000014 · primary_doc.xml · nonDerivative · entry 1 PFIZER INC · CIK 0000078003 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · by Eclipse Acquisition Corp. Disclosed balance after: 4,611,921 F1 · shares: This filing is being amended to adjust the number of shares of Common Stock (hereinafter defined) acquired as reported in Table I, Box 4 and the number of shares of Common Stock beneficially owned as reported in Table I, Box 5 which were previously reported as 4,617,045. The adjusted amount for each of Box 4 and Box 5 of Table I is 4,611,921. F2 · shares: This adjustment results from the failure of certain shareholders to deliver 5,124 shares of Common Stock tendered pursuant to notices of guaranteed delivery, as executed in conjunction with a tender offer by Eclipse Acquisition Corp. ("Purchaser"), a wholly-owned subsidiary of Pfizer Inc. ("Parent"), for all of the issued and outstanding common stock, $0.001 par value per share (the "Common Stock") of Icagen, Inc. Read SEC document |
| April 14, 2008 Filed Apr 16, 2008 00:40 UTC | ENCYSIVE PHARMACEUTICALS INC ENCY · Entity 17165 | PurchaseCommon Stock | 1,232,412 | $2.35 | $2,896,168.20 |
DisclosureSEC source: 0000909518-08-000350 · pfizer_form4ex.xml · nonDerivative · entry 2 PFIZER INC · CIK 0000078003 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · FN Disclosed balance after: 69,076,466 F1 · ownership.nature: Shares are directly owned by Explorer Acquisition Corp., a wholly-owned subsidiary of Pfizer Inc. Read SEC document |
| April 11, 2008 Filed Apr 16, 2008 00:40 UTC | ENCYSIVE PHARMACEUTICALS INC ENCY · Entity 17165 | PurchaseCommon Stock | 155,499 | $2.35 | $365,422.65 |
DisclosureSEC source: 0000909518-08-000350 · pfizer_form4ex.xml · nonDerivative · entry 1 PFIZER INC · CIK 0000078003 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · FN Disclosed balance after: 67,844,054 F1 · ownership.nature: Shares are directly owned by Explorer Acquisition Corp., a wholly-owned subsidiary of Pfizer Inc. Read SEC document |
| April 10, 2008 Filed Apr 11, 2008 19:57 UTC | ENCYSIVE PHARMACEUTICALS INC ENCY · Entity 17165 | PurchaseCommon Stock | 210,794 | $2.35 | $495,365.90 |
DisclosureSEC source: 0000909518-08-000336 · pfizer_form4ex.xml · nonDerivative · entry 2 PFIZER INC · CIK 0000078003 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · FN Disclosed balance after: 67,688,555 F1 · ownership.nature: Shares are directly owned by Explorer Acquisition Corp., a wholly-owned subsidiary of Pfizer Inc. Read SEC document |
| April 09, 2008 Filed Apr 11, 2008 19:57 UTC | ENCYSIVE PHARMACEUTICALS INC ENCY · Entity 17165 | PurchaseCommon Stock | 12,628 | $2.35 | $29,675.80 |
DisclosureSEC source: 0000909518-08-000336 · pfizer_form4ex.xml · nonDerivative · entry 1 PFIZER INC · CIK 0000078003 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · FN Disclosed balance after: 67,477,761 F1 · ownership.nature: Shares are directly owned by Explorer Acquisition Corp., a wholly-owned subsidiary of Pfizer Inc. Read SEC document |
| April 08, 2008 Filed Apr 9, 2008 20:37 UTC | ENCYSIVE PHARMACEUTICALS INC ENCY · Entity 17165 | PurchaseCommon Stock | 29,407 | $2.35 | $69,106.45 |
DisclosureSEC source: 0000909518-08-000331 · pfizer_form4ex.xml · nonDerivative · entry 2 PFIZER INC · CIK 0000078003 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · FN Disclosed balance after: 67,465,133 F1 · ownership.nature: Shares are directly owned by Explorer Acquisition Corp., a wholly-owned subsidiary of Pfizer Inc. Read SEC document |
| April 07, 2008 Filed Apr 9, 2008 20:37 UTC | ENCYSIVE PHARMACEUTICALS INC ENCY · Entity 17165 | PurchaseCommon Stock | 2,203,420 | $2.35 | $5,178,037.00 |
DisclosureSEC source: 0000909518-08-000331 · pfizer_form4ex.xml · nonDerivative · entry 1 PFIZER INC · CIK 0000078003 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · FN Disclosed balance after: 67,435,726 F1 · ownership.nature: Shares are directly owned by Explorer Acquisition Corp., a wholly-owned subsidiary of Pfizer Inc. Read SEC document |
| April 04, 2008 Filed Apr 7, 2008 22:28 UTC | ENCYSIVE PHARMACEUTICALS INC ENCY · Entity 17165 | PurchaseCommon Stock | 576,170 | $2.35 | $1,353,999.50 |
DisclosureSEC source: 0000909518-08-000325 · pfizer_form4ex.xml · nonDerivative · entry 2 PFIZER INC · CIK 0000078003 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · FN Disclosed balance after: 65,232,306 F1 · ownership.nature: Shares are directly owned by Explorer Acquisition Corp., a wholly-owned subsidiary of Pfizer Inc. 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.