Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Avid Bioservices, Inc.PPHM · Entity 83494 | Director · President & CEO | October 31, 2017 | November 01, 2017 |
| Mosaic ImmunoEngineering Inc.CPMV · Entity 8636 | Director · President and CEO · 10% owner | February 18, 2022 | February 23, 2022 |
| Oncotelic Therapeutics, Inc.OTLC · Entity 7822 | Director | July 10, 2026 | July 21, 2026 |
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.
Avid Bioservices, Inc.
Report date October 31, 2017 · Filed November 01, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 34,646 |
Reported balance
After 2017-10-31 transaction · row 1
1 source rowRow 1 · 2017-10-31 · Other · Acquired 1,398 · Balance 34,646 F1: Shares acquired under the issuer's employee stock purchase plan on October 31, 2017. |
Filing footnotes · ownership attribution and instrument terms
F1: Shares acquired under the issuer's employee stock purchase plan on October 31, 2017.
Mosaic ImmunoEngineering Inc.
Report date February 18, 2022 · Filed February 23, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Convertible NoteSEC Table II · derivative / convertible security | Direct | Not disclosed |
Reported balance
After 2022-02-18 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2022-02-18 · Other · Acquired Not disclosed · Balance Not disclosed F1: The Convertible Notes were issued on February 18, 2022 in exchange of $20,000 in proceeds to the Company; have no stated maturity date or expiration date; bear interest at a simple rate equal to eight percent (8.0%) per annum until converted; and automatically convert into the same equity securities offered in the Qualified Financing (see footnote 2 and 3) or at the option of the holder into the same equity securities offered in a Smaller Financing (see footnote 2 and 3). F2: Upon a Qualified Financing or Smaller Financing (see footnote 3), the conversion price shall be equal to the lower of (i) the product equal to 80% times the lowest per unit purchase price of the equity securities issued for cash in the Qualified Financing or Smaller Financing (representing a 20% discount), or (ii) $1.00. F3: A Qualified Financing represents a single transaction or series or transactions whereby the Company receives aggregate gross proceeds of at least $5 million from the sale of equity securities following the issuance date of the Convertible Note (excluding proceeds from the issuance of any future Convertible Notes). A Smaller Financing represents any sale of equity securities whereby the aggregate gross proceeds are less than $5 million (excluding proceeds from the issuance of any future Convertible Notes). |
Filing footnotes · ownership attribution and instrument terms
F1: The Convertible Notes were issued on February 18, 2022 in exchange of $20,000 in proceeds to the Company; have no stated maturity date or expiration date; bear interest at a simple rate equal to eight percent (8.0%) per annum until converted; and automatically convert into the same equity securities offered in the Qualified Financing (see footnote 2 and 3) or at the option of the holder into the same equity securities offered in a Smaller Financing (see footnote 2 and 3).
F2: Upon a Qualified Financing or Smaller Financing (see footnote 3), the conversion price shall be equal to the lower of (i) the product equal to 80% times the lowest per unit purchase price of the equity securities issued for cash in the Qualified Financing or Smaller Financing (representing a 20% discount), or (ii) $1.00.
F3: A Qualified Financing represents a single transaction or series or transactions whereby the Company receives aggregate gross proceeds of at least $5 million from the sale of equity securities following the issuance date of the Convertible Note (excluding proceeds from the issuance of any future Convertible Notes). A Smaller Financing represents any sale of equity securities whereby the aggregate gross proceeds are less than $5 million (excluding proceeds from the issuance of any future Convertible Notes).
Oncotelic Therapeutics, Inc.
Report date July 10, 2026 · Filed July 21, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Restricted stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 250 |
Reported balance
After 2026-07-10 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-07-10 · Grant · Acquired 250 · Balance 250 F1: On July 10, 2026, the reporting person was granted 250 restricted stock units ("RSUs"), subject to performance and time-based vesting. On vesting each RSU will immediately be settled by delivery of, and each RSU represents the contingent right to receive, one share of the issuer's Series A Convertible Preferred Stock, par value $0.01. Each share of Series A Convertible Preferred Stock, in turn, is convertible into 1,000 shares of the issuer's common stock, par value $0.01 per share. F2: The RSU's will vest upon (a) achievement of an uplisting of the issuer's common stock to a national securities exchange on or before June 30, 2027 (or such later date as the Board of Directors may approve), subject to the reporting person's continued service for a period of six months following the uplisting. |
Filing footnotes · ownership attribution and instrument terms
F1: On July 10, 2026, the reporting person was granted 250 restricted stock units ("RSUs"), subject to performance and time-based vesting. On vesting each RSU will immediately be settled by delivery of, and each RSU represents the contingent right to receive, one share of the issuer's Series A Convertible Preferred Stock, par value $0.01. Each share of Series A Convertible Preferred Stock, in turn, is convertible into 1,000 shares of the issuer's common stock, par value $0.01 per share.
F2: The RSU's will vest upon (a) achievement of an uplisting of the issuer's common stock to a national securities exchange on or before June 30, 2027 (or such later date as the Board of Directors may approve), subject to the reporting person's continued service for a period of six months following the uplisting.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| July 10, 2026 Filed Jul 21, 2026 20:00 UTC | Oncotelic Therapeutics, Inc. OTLC · Entity 7822 | GrantRestricted stock Units · Derivative | 250 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001493152-26-034069 · ownership.xml · derivative · entry 1 KING STEVEN W · CIK 0001244106 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 250 Underlying: Series A Preferred Stock · 250 shares Expires not disclosed F1 · security: On July 10, 2026, the reporting person was granted 250 restricted stock units ("RSUs"), subject to performance and time-based vesting. On vesting each RSU will immediately be settled by delivery of, and each RSU represents the contingent right to receive, one share of the issuer's Series A Convertible Preferred Stock, par value $0.01. Each share of Series A Convertible Preferred Stock, in turn, is convertible into 1,000 shares of the issuer's common stock, par value $0.01 per share. F2 · derivative.exercise_date: The RSU's will vest upon (a) achievement of an uplisting of the issuer's common stock to a national securities exchange on or before June 30, 2027 (or such later date as the Board of Directors may approve), subject to the reporting person's continued service for a period of six months following the uplisting. F2 · derivative.expiration_date: The RSU's will vest upon (a) achievement of an uplisting of the issuer's common stock to a national securities exchange on or before June 30, 2027 (or such later date as the Board of Directors may approve), subject to the reporting person's continued service for a period of six months following the uplisting. Read SEC document |
| February 18, 2022 Filed Feb 23, 2022 01:01 UTC | Mosaic ImmunoEngineering Inc. CPMV · Entity 8636 | OtherConvertible Note · Derivative | Not disclosed | $20,000.00 | $20,000.00 |
DisclosureSEC source: 0001683168-22-001214 · ownership.xml · derivative · entry 1 KING STEVEN W · CIK 0001244106 · Director · President and CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: Not disclosed Underlying: See footnotes · Not disclosed shares Expires not disclosed F1 · security: The Convertible Notes were issued on February 18, 2022 in exchange of $20,000 in proceeds to the Company; have no stated maturity date or expiration date; bear interest at a simple rate equal to eight percent (8.0%) per annum until converted; and automatically convert into the same equity securities offered in the Qualified Financing (see footnote 2 and 3) or at the option of the holder into the same equity securities offered in a Smaller Financing (see footnote 2 and 3). F2 · derivative.exercise_price: Upon a Qualified Financing or Smaller Financing (see footnote 3), the conversion price shall be equal to the lower of (i) the product equal to 80% times the lowest per unit purchase price of the equity securities issued for cash in the Qualified Financing or Smaller Financing (representing a 20% discount), or (ii) $1.00. F3 · derivative.exercise_price: A Qualified Financing represents a single transaction or series or transactions whereby the Company receives aggregate gross proceeds of at least $5 million from the sale of equity securities following the issuance date of the Convertible Note (excluding proceeds from the issuance of any future Convertible Notes). A Smaller Financing represents any sale of equity securities whereby the aggregate gross proceeds are less than $5 million (excluding proceeds from the issuance of any future Convertible Notes). F1 · derivative.exercise_date: The Convertible Notes were issued on February 18, 2022 in exchange of $20,000 in proceeds to the Company; have no stated maturity date or expiration date; bear interest at a simple rate equal to eight percent (8.0%) per annum until converted; and automatically convert into the same equity securities offered in the Qualified Financing (see footnote 2 and 3) or at the option of the holder into the same equity securities offered in a Smaller Financing (see footnote 2 and 3). F2 · derivative.exercise_date: Upon a Qualified Financing or Smaller Financing (see footnote 3), the conversion price shall be equal to the lower of (i) the product equal to 80% times the lowest per unit purchase price of the equity securities issued for cash in the Qualified Financing or Smaller Financing (representing a 20% discount), or (ii) $1.00. F3 · derivative.exercise_date: A Qualified Financing represents a single transaction or series or transactions whereby the Company receives aggregate gross proceeds of at least $5 million from the sale of equity securities following the issuance date of the Convertible Note (excluding proceeds from the issuance of any future Convertible Notes). A Smaller Financing represents any sale of equity securities whereby the aggregate gross proceeds are less than $5 million (excluding proceeds from the issuance of any future Convertible Notes). F1 · derivative.expiration_date: The Convertible Notes were issued on February 18, 2022 in exchange of $20,000 in proceeds to the Company; have no stated maturity date or expiration date; bear interest at a simple rate equal to eight percent (8.0%) per annum until converted; and automatically convert into the same equity securities offered in the Qualified Financing (see footnote 2 and 3) or at the option of the holder into the same equity securities offered in a Smaller Financing (see footnote 2 and 3). F1 · derivative.underlying: The Convertible Notes were issued on February 18, 2022 in exchange of $20,000 in proceeds to the Company; have no stated maturity date or expiration date; bear interest at a simple rate equal to eight percent (8.0%) per annum until converted; and automatically convert into the same equity securities offered in the Qualified Financing (see footnote 2 and 3) or at the option of the holder into the same equity securities offered in a Smaller Financing (see footnote 2 and 3). F2 · derivative.underlying: Upon a Qualified Financing or Smaller Financing (see footnote 3), the conversion price shall be equal to the lower of (i) the product equal to 80% times the lowest per unit purchase price of the equity securities issued for cash in the Qualified Financing or Smaller Financing (representing a 20% discount), or (ii) $1.00. F3 · derivative.underlying: A Qualified Financing represents a single transaction or series or transactions whereby the Company receives aggregate gross proceeds of at least $5 million from the sale of equity securities following the issuance date of the Convertible Note (excluding proceeds from the issuance of any future Convertible Notes). A Smaller Financing represents any sale of equity securities whereby the aggregate gross proceeds are less than $5 million (excluding proceeds from the issuance of any future Convertible Notes). F2 · derivative.underlying_shares: Upon a Qualified Financing or Smaller Financing (see footnote 3), the conversion price shall be equal to the lower of (i) the product equal to 80% times the lowest per unit purchase price of the equity securities issued for cash in the Qualified Financing or Smaller Financing (representing a 20% discount), or (ii) $1.00. F3 · derivative.underlying_shares: A Qualified Financing represents a single transaction or series or transactions whereby the Company receives aggregate gross proceeds of at least $5 million from the sale of equity securities following the issuance date of the Convertible Note (excluding proceeds from the issuance of any future Convertible Notes). A Smaller Financing represents any sale of equity securities whereby the aggregate gross proceeds are less than $5 million (excluding proceeds from the issuance of any future Convertible Notes). F2 · valueOwnedAfter: Upon a Qualified Financing or Smaller Financing (see footnote 3), the conversion price shall be equal to the lower of (i) the product equal to 80% times the lowest per unit purchase price of the equity securities issued for cash in the Qualified Financing or Smaller Financing (representing a 20% discount), or (ii) $1.00. F3 · valueOwnedAfter: A Qualified Financing represents a single transaction or series or transactions whereby the Company receives aggregate gross proceeds of at least $5 million from the sale of equity securities following the issuance date of the Convertible Note (excluding proceeds from the issuance of any future Convertible Notes). A Smaller Financing represents any sale of equity securities whereby the aggregate gross proceeds are less than $5 million (excluding proceeds from the issuance of any future Convertible Notes). Read SEC document |
| September 03, 2021 Filed Sep 8, 2021 21:00 UTC | Oncotelic Therapeutics, Inc. OTLC · Entity 7822 | GrantStock Options · Derivative | 500,000 | $0.00 Strike: $0.14 | $0.00 |
DisclosureSEC source: 0001493152-21-022218 · ownership.xml · derivative · entry 1 KING STEVEN W · CIK 0001244106 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 500,000 Underlying: Common Stock · 500,000 shares Expires 2031-09-03 F1 · derivative.exercise_date: Stock options vest as follows: (i) 1/5th on September 30, 2021; (ii) 1/5th on December 31, 2021; (iii) 1/5th on March 31, 2022; (iv) 1/5th on June 30, 2022; and (v) 1/5th on September 30, 2022. Read SEC document |
| July 08, 2021 Filed Jul 16, 2021 21:37 UTC | Oncotelic Therapeutics, Inc. OTLC · Entity 7822 | GrantStock Options · Derivative | 357,412 | $0.00 Strike: $0.16 | $0.00 |
DisclosureSEC source: 0001493152-21-017105 · ownership.xml · derivative · entry 3 KING STEVEN W · CIK 0001244106 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 357,412 Underlying: Common Stock · 357,412 shares Expires 2031-07-08 F2 · shares: Stock options granted pursuant to the Issuer's 2015 Equity Incentive Plan, which vests immediately on the date of grant. Read SEC document |
| March 31, 2021 Filed Jul 16, 2021 21:37 UTC | Oncotelic Therapeutics, Inc. OTLC · Entity 7822 | ConversionSeries A Convertible Preferred Stock · Derivative | 3,292 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001493152-21-017105 · ownership.xml · derivative · entry 2 KING STEVEN W · CIK 0001244106 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Artius Bioconsulting Disclosed balance after: 0 Underlying: Common Stock · 3,291,720 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Pursuant to the Agreement and Plan of Merger dated April 17, 2019, between the Issuer and Oncotelic, Inc., shares of the Issuer's Series A Convertible Preferred Stock ("Series A Preferred") held by the reporting person converted into shares of the Issuer's common stock, following a recapitalization by the Issuer. F1 · price: Pursuant to the Agreement and Plan of Merger dated April 17, 2019, between the Issuer and Oncotelic, Inc., shares of the Issuer's Series A Convertible Preferred Stock ("Series A Preferred") held by the reporting person converted into shares of the Issuer's common stock, following a recapitalization by the Issuer. F1 · derivative.exercise_date: Pursuant to the Agreement and Plan of Merger dated April 17, 2019, between the Issuer and Oncotelic, Inc., shares of the Issuer's Series A Convertible Preferred Stock ("Series A Preferred") held by the reporting person converted into shares of the Issuer's common stock, following a recapitalization by the Issuer. F3 · derivative.expiration_date: Shares of the Series A Convertible Preferred Stock does not expire. Read SEC document |
| March 31, 2021 Filed Jul 16, 2021 21:37 UTC | Oncotelic Therapeutics, Inc. OTLC · Entity 7822 | ConversionCommon Stock | 3,291,720 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001493152-21-017105 · ownership.xml · nonDerivative · entry 1 KING STEVEN W · CIK 0001244106 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Artius Bioconsulting Disclosed balance after: 3,330,647 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Pursuant to the Agreement and Plan of Merger dated April 17, 2019, between the Issuer and Oncotelic, Inc., shares of the Issuer's Series A Convertible Preferred Stock ("Series A Preferred") held by the reporting person converted into shares of the Issuer's common stock, following a recapitalization by the Issuer. Read SEC document |
| January 29, 2021 Filed Jan 29, 2021 22:31 UTC | Mosaic ImmunoEngineering Inc. CPMV · Entity 8636 | ConversionSeries A Convertible Voting Preferred Stock · Derivative | 161,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001683168-21-000321 · ownership.xml · derivative · entry 2 KING STEVEN W · CIK 0001244106 · Director · President and CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,641,252 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 Series A Convertible Voting Preferred Stock automatically converted for no additional consideration into 10.194106 shares of common stock on January 29, 2021, the date that both of the following criteria were met: (i) upon the Registrant having a sufficient number of authorized and unissued shares of common stock so as to permit the conversion of all outstanding shares of the Series A Convertible Voting Preferred Stock into common stock, which occurred on December 2, 2020 in conjunction with the reverse stock split; and (ii) the effectiveness of any registration statement registering the resale of the underlying shares of common stock of the Registrant, which occurred on January 29, 2021. F2 · derivative.exercise_price: The Series A Convertible Voting Preferred Stock has no expiration date. F1 · price: Each share of the Series A Convertible Voting Preferred Stock automatically converted for no additional consideration into 10.194106 shares of common stock on January 29, 2021, the date that both of the following criteria were met: (i) upon the Registrant having a sufficient number of authorized and unissued shares of common stock so as to permit the conversion of all outstanding shares of the Series A Convertible Voting Preferred Stock into common stock, which occurred on December 2, 2020 in conjunction with the reverse stock split; and (ii) the effectiveness of any registration statement registering the resale of the underlying shares of common stock of the Registrant, which occurred on January 29, 2021. F1 · derivative.exercise_date: Each share of the Series A Convertible Voting Preferred Stock automatically converted for no additional consideration into 10.194106 shares of common stock on January 29, 2021, the date that both of the following criteria were met: (i) upon the Registrant having a sufficient number of authorized and unissued shares of common stock so as to permit the conversion of all outstanding shares of the Series A Convertible Voting Preferred Stock into common stock, which occurred on December 2, 2020 in conjunction with the reverse stock split; and (ii) the effectiveness of any registration statement registering the resale of the underlying shares of common stock of the Registrant, which occurred on January 29, 2021. F2 · derivative.expiration_date: The Series A Convertible Voting Preferred Stock has no expiration date. Read SEC document |
| January 29, 2021 Filed Jan 29, 2021 22:31 UTC | Mosaic ImmunoEngineering Inc. CPMV · Entity 8636 | ConversionCommon Stock | 1,641,252 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001683168-21-000321 · ownership.xml · nonDerivative · entry 1 KING STEVEN W · CIK 0001244106 · Director · President and CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,641,252 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 Series A Convertible Voting Preferred Stock automatically converted for no additional consideration into 10.194106 shares of common stock on January 29, 2021, the date that both of the following criteria were met: (i) upon the Registrant having a sufficient number of authorized and unissued shares of common stock so as to permit the conversion of all outstanding shares of the Series A Convertible Voting Preferred Stock into common stock, which occurred on December 2, 2020 in conjunction with the reverse stock split; and (ii) the effectiveness of any registration statement registering the resale of the underlying shares of common stock of the Registrant, which occurred on January 29, 2021. Read SEC document |
| December 16, 2020 Filed Dec 17, 2020 01:18 UTC | Mosaic ImmunoEngineering Inc. PTSCD · Entity 8636 | GrantRestricted Stock Units · Derivative | 43,479 | $3.30 | $143,480.70 |
DisclosureSEC source: 0001683168-20-004323 · ownership.xml · derivative · entry 2 KING STEVEN W · CIK 0001244106 · Director · President and CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 108,697 Underlying: Common Stock · 43,479 shares Expires not disclosed F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents the contingent right to receive, upon vesting, one share of the Issuer's Common Stock. F3 · derivative.expiration_date: RSU's granted under the Mosaic ImmunoEngineering Inc. 2020 Omnibus Incentive Plan as a long-term incentive grant equal to 25% of reporting person's annual base salary. RSUs will vest 100% on August 31, 2022, subject to the reporting person's continuous service to the Issuer on such vesting date. Read SEC document |
| December 16, 2020 Filed Dec 17, 2020 01:18 UTC | Mosaic ImmunoEngineering Inc. PTSCD · Entity 8636 | GrantRestricted Stock Units · Derivative | 65,218 | $3.30 | $215,219.40 |
DisclosureSEC source: 0001683168-20-004323 · ownership.xml · derivative · entry 1 KING STEVEN W · CIK 0001244106 · Director · President and CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,218 Underlying: Common Stock · 65,218 shares Expires not disclosed F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents the contingent right to receive, upon vesting, one share of the Issuer's Common Stock. F2 · derivative.expiration_date: RSU's granted under the Mosaic ImmunoEngineering Inc. 2020 Omnibus Incentive Plan as part of the reporting person's annual base salary. RSUs will vest 100% on August 31, 2021, subject to the reporting person's continuous service to the Issuer on such vesting date. Read SEC document |
| October 31, 2017 Filed Nov 1, 2017 15:12 UTC | Avid Bioservices, Inc. PPHM · Entity 83494 | OtherCommon Stock | 1,398 | $3.87 | $5,406.77 |
DisclosureSEC source: 0001683168-17-002784 · king_frm4.xml · nonDerivative · entry 1 KING STEVEN W · CIK 0001244106 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,646 F1 · kind: Shares acquired under the issuer's employee stock purchase plan on October 31, 2017. Read SEC document |
| April 28, 2017 Filed Apr 28, 2017 18:56 UTC | Avid Bioservices, Inc. PPHM · Entity 83494 | OtherCommon Stock | 19,941 | $0.27 | $5,408.00 |
DisclosureSEC source: 0001683168-17-001048 · king_f4.xml · nonDerivative · entry 1 KING STEVEN W · CIK 0001244106 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 232,730 F1 · kind: Shares acquired under the issuer's employee stock purchase plan on April 28, 2017 Read SEC document |
| October 31, 2016 Filed Nov 1, 2016 20:02 UTC | Avid Bioservices, Inc. PPHM · Entity 83494 | OtherCommon Stock | 18,826 | $0.29 | $5,391.77 |
DisclosureSEC source: 0001683168-16-000445 · king_f4.xml · nonDerivative · entry 1 KING STEVEN W · CIK 0001244106 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 212,789 F1 · kind: Shares acquired under the issuer's employee stock purchase plan on October 31, 2016. 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.