Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Akoustis Technologies, Inc.AKTS · Entity 88229 | 10% owner | December 27, 2017 | December 29, 2017 |
| Amesite Inc.NONE · Entity 149985 | 10% owner | September 06, 2018 | September 06, 2018 |
| Augmedix, Inc.NONE · Entity 86996 | Former Director and 10% Owner | October 05, 2020 | October 07, 2020 |
| Compass Therapeutics, Inc.NONE · Entity 5614 | Director · 10% owner | July 29, 2018 | July 30, 2018 |
| Margaree Acquisition Corp.NONE · Entity 29500 | Director · 10% owner | July 17, 2026 | July 20, 2026 |
| Orielle Acquisition Corp.NONE · Entity 75992 | Director · 10% owner | August 26, 2025 | August 28, 2025 |
| Primus Acquisition Inc.NONE · Entity 68795 | Director · 10% owner | January 26, 2026 | January 27, 2026 |
| Range Acquisition Corp.NONE · Entity 72416 | Director · 10% owner | December 01, 2025 | December 02, 2025 |
| Var Acquisition Corp.NONE · Entity 74862 | Director · 10% owner | September 30, 2025 | September 30, 2025 |
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.
Akoustis Technologies, Inc.
Report date December 27, 2017 · Filed December 29, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 2,174,160 |
Ending reported balance
After 2017-12-28 transaction · row 6
6 source rows · reconciled sequenceRow 1 · 2017-12-27 · Sale · Disposed 5,000 · Balance 2,199,741 Row 2 · 2017-12-27 · Sale · Disposed 5,000 · Balance 2,194,741 Row 3 · 2017-12-27 · Sale · Disposed 5,000 · Balance 2,189,741 Row 4 · 2017-12-27 · Sale · Disposed 581 · Balance 2,189,160 Row 5 · 2017-12-28 · Sale · Disposed 5,000 · Balance 2,184,160 Row 6 · 2017-12-28 · Sale · Disposed 10,000 · Balance 2,174,160 |
Amesite Inc.
Report date September 06, 2018 · Filed September 06, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.0001 per shareSEC Table I · non-derivative | Direct | 2,900,668 |
Reported balance
After 2018-09-06 transaction · row 1
1 source rowRow 1 · 2018-09-06 · Sale · Disposed 50,000 · Balance 2,900,668 |
Augmedix, Inc.
Report date October 05, 2020 · Filed October 07, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common stock, par value $0.0001 per shareSEC Table I · non-derivative | Direct | 1,990,000 |
Ending reported balance
After 2020-10-05 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2020-10-05 · Other · Disposed 16,667 · Balance 4,733,333 F1: The reporting person transferred an aggregate of 16,667 shares of the Issuer's common stock as consideration for services rendered to an affiliate of the reporting person by the recipients. Row 2 · 2020-10-05 · Other · Disposed 2,743,333 · Balance 1,990,000 F2: Pursuant to the terms of an Agreement and Plan of Merger and Reorganization, dated as of October 5, 2020, by and among the Issuer, August Acquisition Corp. ("Acquisition Sub"), and Augmedix Operating Company (f/k/a Augmedix, Inc.) ("Augmedix"), on October 5, 2020, Acquisition Sub merged with and into Augmedix, with Augmedix continuing as the surviving entity (the "Merger") and as the Issuer's wholly-owned subsidiary. As a condition to the Merger, pursuant to the terms of a stock cancellation agreement, the reporting person voluntarily surrendered and canceled 2,743,333 shares of the Issuer's common stock prior to the consummation of the Merger. The reporting person resigned as a director of the Issuer upon consummation of the Merger. |
Filing footnotes · ownership attribution and instrument terms
F1: The reporting person transferred an aggregate of 16,667 shares of the Issuer's common stock as consideration for services rendered to an affiliate of the reporting person by the recipients.
F2: Pursuant to the terms of an Agreement and Plan of Merger and Reorganization, dated as of October 5, 2020, by and among the Issuer, August Acquisition Corp. ("Acquisition Sub"), and Augmedix Operating Company (f/k/a Augmedix, Inc.) ("Augmedix"), on October 5, 2020, Acquisition Sub merged with and into Augmedix, with Augmedix continuing as the surviving entity (the "Merger") and as the Issuer's wholly-owned subsidiary. As a condition to the Merger, pursuant to the terms of a stock cancellation agreement, the reporting person voluntarily surrendered and canceled 2,743,333 shares of the Issuer's common stock prior to the consummation of the Merger. The reporting person resigned as a director of the Issuer upon consummation of the Merger.
Compass Therapeutics, Inc.
Report date July 29, 2018 · Filed July 30, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.0001SEC Table I · non-derivative | Direct | 4,750,000 |
Reported balance
Holding disclosure · report date 2018-07-29 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 4,750,000 |
Margaree Acquisition Corp.
Report date July 17, 2026 · Filed July 20, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 7,500,000 |
Reported balance
Holding disclosure · report date 2026-07-17 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 7,500,000 |
Orielle Acquisition Corp.
Report date August 26, 2025 · Filed August 28, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 4,700,000 |
Reported balance
After 2025-08-26 transaction · row 1
1 source rowRow 1 · 2025-08-26 · Sale · Disposed 50,000 · Balance 4,700,000 |
Primus Acquisition Inc.
Report date January 26, 2026 · Filed January 27, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 7,500,000 |
Reported balance
Holding disclosure · report date 2026-01-26 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 7,500,000 |
Range Acquisition Corp.
Report date December 01, 2025 · Filed December 02, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 7,500,000 |
Reported balance
Holding disclosure · report date 2025-12-01 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 7,500,000 |
Var Acquisition Corp.
Report date September 30, 2025 · Filed September 30, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 7,500,000 |
Reported balance
Holding disclosure · report date 2025-09-30 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 7,500,000 |
Past disclosures · reporting ended (11)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Aeluma, Inc.
Report date February 04, 2026 · Filed February 06, 2026
Section 16 reporting ended · disclosed 2026-02-06. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 1,790,488 |
Ending reported balance
After 2026-02-04 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2026-02-04 · Sale · Disposed 28,544 · Balance 1,796,444 F1: The price reported in Column 4 represents a weighted average sales price. These shares were sold in multiple transactions at prices ranging from $13.94 to $14.91, inclusive. Row 2 · 2026-02-04 · Sale · Disposed 5,956 · Balance 1,790,488 F2: The price reported in Column 4 represents a weighted average sales price. These shares were sold in multiple transactions at prices ranging from $14.94 to $15.50, inclusive. |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported in Column 4 represents a weighted average sales price. These shares were sold in multiple transactions at prices ranging from $13.94 to $14.91, inclusive.
F2: The price reported in Column 4 represents a weighted average sales price. These shares were sold in multiple transactions at prices ranging from $14.94 to $15.50, inclusive.
Amesite Inc.
Report date May 28, 2021 · Filed June 03, 2021
Section 16 reporting ended · disclosed 2021-06-03. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.0001 per shareSEC Table I · non-derivative | Direct | 2,043,103 |
Ending reported balance
After 2021-06-01 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2021-05-28 · Sale · Disposed 17,494 · Balance 2,078,925 F1: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.41 to $2.59 inclusive. The Reporting Person undertakes to provide Amesite Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Row 2 · 2021-06-01 · Sale · Disposed 35,822 · Balance 2,043,103 F2: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.35 to $2.415, inclusive. The Reporting Person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. |
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 $2.41 to $2.59 inclusive. The Reporting Person undertakes to provide Amesite Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F2: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.35 to $2.415, inclusive. The Reporting Person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
DEEP FISSION, INC.
Report date September 05, 2025 · Filed September 08, 2025
Section 16 reporting ended · disclosed 2025-09-08. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 1,891,667 |
Reported balance
After 2025-09-05 transaction · row 1
1 source rowRow 1 · 2025-09-05 · Other · Disposed 2,833,333 · Balance 1,891,667 F1: As a condition under the terms of an Agreement and Plan of Merger and Reorganization, dated as of September 5, 2025, and pursuant to the terms of a stock cancellation agreement, the reporting person voluntarily surrendered and cancelled for no consideration 2,833,333 shares of Issuer's common stock prior to the consummation of the Merger on September 5, 2025. The reporting person resigned as a director of the Issuer upon consummation of the Merger. |
Filing footnotes · ownership attribution and instrument terms
F1: As a condition under the terms of an Agreement and Plan of Merger and Reorganization, dated as of September 5, 2025, and pursuant to the terms of a stock cancellation agreement, the reporting person voluntarily surrendered and cancelled for no consideration 2,833,333 shares of Issuer's common stock prior to the consummation of the Merger on September 5, 2025. The reporting person resigned as a director of the Issuer upon consummation of the Merger.
Deep Isolation Nuclear, Inc.
Report date July 23, 2025 · Filed July 26, 2025
Section 16 reporting ended · disclosed 2025-07-26. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 1,891,667 |
Reported balance
After 2025-07-23 transaction · row 1
1 source rowRow 1 · 2025-07-23 · Other · Disposed 2,833,333 · Balance 1,891,667 F1: As a condition under the terms of an Agreement and Plan of Merger and Reorganization, dated as of July 23, 2025, and pursuant to the terms of a stock cancellation agreement, the reporting person voluntarily surrendered and cancelled for no consideration 2,833,333 shares of Issuer's common stock prior to the consummation of the Merger on July 23, 2025. The reporting person resigned as a director of the Issuer upon consummation of the Merger. |
Filing footnotes · ownership attribution and instrument terms
F1: As a condition under the terms of an Agreement and Plan of Merger and Reorganization, dated as of July 23, 2025, and pursuant to the terms of a stock cancellation agreement, the reporting person voluntarily surrendered and cancelled for no consideration 2,833,333 shares of Issuer's common stock prior to the consummation of the Merger on July 23, 2025. The reporting person resigned as a director of the Issuer upon consummation of the Merger.
EXICURE, INC.
Report date September 26, 2017 · Filed September 28, 2017
Section 16 reporting ended · disclosed 2017-09-28. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 1,825,667 |
Reported balance
After 2017-09-26 transaction · row 1
1 source rowRow 1 · 2017-09-26 · Purchase · Acquired 166,667 · Balance 1,825,667 |
| Common StockSEC Table I · non-derivative | IndirectBy Montrose Capital Partners Limited | 108,160 |
Reported balance
Holding disclosure · report date 2017-09-26 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 108,160 F1: The reporting person is a principal of Montrose Capital Partners Limited ("Montrose Capital") and has sole voting and investment control over the securities of the issuer owned by Montrose Capital. |
Filing footnotes · ownership attribution and instrument terms
F1: The reporting person is a principal of Montrose Capital Partners Limited ("Montrose Capital") and has sole voting and investment control over the securities of the issuer owned by Montrose Capital.
Guerrilla RF, Inc.
Report date November 12, 2021 · Filed November 16, 2021
Section 16 reporting ended · disclosed 2021-10-26. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common stock, par value $0.0001 per shareSEC Table I · non-derivative | Direct | 2,700,000 |
Reported balance
After 2021-11-12 transaction · row 1
1 source rowRow 1 · 2021-11-12 · Purchase · Disposed 250,000 · Balance 2,700,000 F1: These shares were purchased by the reporting person form the Issuer in a private placement offering. |
Filing footnotes · ownership attribution and instrument terms
F1: These shares were purchased by the reporting person form the Issuer in a private placement offering.
Lomond Therapeutics Holdings, Inc.
Report date November 01, 2024 · Filed November 05, 2024
Section 16 reporting ended · disclosed 2024-11-05. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 1,200,000 |
Reported balance
After 2024-11-01 transaction · row 1
1 source rowRow 1 · 2024-11-01 · Other · Disposed 3,550,000 · Balance 1,200,000 F1: As a condition under the terms of an Agreement and Plan of Merger and Reorganization, dated as of November 1, 2024, and pursuant to the terms of a stock cancellation agreement, the reporting person voluntarily surrendered and cancelled for no consideration 3,550,000 shares of Issuer's common stock prior to the consummation of the Merger on November 1, 2024. The reporting person resigned as a director of the Issuer upon consummation of the Merger. |
Filing footnotes · ownership attribution and instrument terms
F1: As a condition under the terms of an Agreement and Plan of Merger and Reorganization, dated as of November 1, 2024, and pursuant to the terms of a stock cancellation agreement, the reporting person voluntarily surrendered and cancelled for no consideration 3,550,000 shares of Issuer's common stock prior to the consummation of the Merger on November 1, 2024. The reporting person resigned as a director of the Issuer upon consummation of the Merger.
Matternet, Inc.
Report date May 22, 2026 · Filed May 28, 2026
Section 16 reporting ended · disclosed 2026-05-28. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 2,375,000 |
Reported balance
After 2026-05-22 transaction · row 1
1 source rowRow 1 · 2026-05-22 · Other · Disposed 5,125,000 · Balance 2,375,000 F1: As a condition under the terms of an Agreement and Plan of Merger and Reorganization, dated May 22, 2026 (the merger contemplated under such agreement, "Merger"), and pursuant to the terms of a stock cancellation agreement, the reporting person voluntarily surrendered and cancelled, for no consideration, 5,125,000 shares of the Issuer's common stock prior to the consummation of the Merger on May 22, 2026. The reporting person resigned as a director of the Issuer upon consummation of the Merger. |
Filing footnotes · ownership attribution and instrument terms
F1: As a condition under the terms of an Agreement and Plan of Merger and Reorganization, dated May 22, 2026 (the merger contemplated under such agreement, "Merger"), and pursuant to the terms of a stock cancellation agreement, the reporting person voluntarily surrendered and cancelled, for no consideration, 5,125,000 shares of the Issuer's common stock prior to the consummation of the Merger on May 22, 2026. The reporting person resigned as a director of the Issuer upon consummation of the Merger.
Serve Robotics Inc. /DE/
Report date July 31, 2023 · Filed August 03, 2023
Section 16 reporting ended · disclosed 2023-08-03. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 1,687,500 |
Ending reported balance
After 2023-07-31 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2023-07-31 · Conversion · Acquired 312,500 · Balance 5,062,500 F1: Upon closing of the reverse triangular merger of the Issuer's subsidiary (the "Merger") with Serve Robotics Inc. ("Legacy Serve"), $1,000,000 principal amount of Legacy Serve's 10% Senior Subordinated Secured Convertible Notes, purchased by the reporting person under a Securities Purchase Agreement, dated April 21, 2023 (the "Bridge SPA"), with Legacy Serve, converted by their terms into shares of common stock of the Issuer at a conversion price of $3.20 per share. Row 2 · 2023-07-31 · Other · Disposed 3,375,000 · Balance 1,687,500 F2: As a condition under the terms of an Agreement and Plan of Merger and Reorganization, dated as of July 31, 2023, and pursuant to the terms of a stock cancellation agreement, the reporting person voluntarily surrendered and cancelled for no consideration 3,375,000 shares of Issuer's common stock prior to the consummation of the Merger. The reporting person resigned as a director of the Issuer upon consummation of the Merger. |
| Warrants (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.20 · Expires 2026-07-31 | Direct | 156,250 |
Reported balance
After 2023-07-31 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2023-07-31 · Grant · Acquired 156,250 · Balance 156,250 F3: Immediately exercisable. Received upon closing of the Merger in accordance with the terms of the Bridge SPA. Pursuant to the terms of the Bridge SPA, each holder of a Legacy Serve 10% Senior Subordinated Secured Convertible Note was entitled to receive warrants to purchase 50% of the number of shares of common stock into which the 10% Senior Subordinated Secured Convertible Note converted. |
Filing footnotes · ownership attribution and instrument terms
F1: Upon closing of the reverse triangular merger of the Issuer's subsidiary (the "Merger") with Serve Robotics Inc. ("Legacy Serve"), $1,000,000 principal amount of Legacy Serve's 10% Senior Subordinated Secured Convertible Notes, purchased by the reporting person under a Securities Purchase Agreement, dated April 21, 2023 (the "Bridge SPA"), with Legacy Serve, converted by their terms into shares of common stock of the Issuer at a conversion price of $3.20 per share.
F2: As a condition under the terms of an Agreement and Plan of Merger and Reorganization, dated as of July 31, 2023, and pursuant to the terms of a stock cancellation agreement, the reporting person voluntarily surrendered and cancelled for no consideration 3,375,000 shares of Issuer's common stock prior to the consummation of the Merger. The reporting person resigned as a director of the Issuer upon consummation of the Merger.
F3: Immediately exercisable. Received upon closing of the Merger in accordance with the terms of the Bridge SPA. Pursuant to the terms of the Bridge SPA, each holder of a Legacy Serve 10% Senior Subordinated Secured Convertible Note was entitled to receive warrants to purchase 50% of the number of shares of common stock into which the 10% Senior Subordinated Secured Convertible Note converted.
SmartKem, Inc.
Report date February 23, 2021 · Filed February 26, 2021
Section 16 reporting ended · disclosed 2021-02-26. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.0001SEC Table I · non-derivative | Direct | 2,300,000 |
Reported balance
After 2021-02-23 transaction · row 1
1 source rowRow 1 · 2021-02-23 · Other · Disposed 2,450,000 · Balance 2,300,000 F1: Pursuant to the terms of a Share Exchange Agreement, dated as of February 23, 2021, by and among the Issuer, SmartKem, Inc. (f/k/a SmartKem Limited) ("SmartKem"), and the former shareholders of SmartKem, on February 23, 2021, all of the equity interests in SmartKem, except certain "deferred shares," were exchanged for shares of Issuer's common stock, with SmartKem continuing as the Issuer's wholly owned subsidiary (the "Exchange"). As a condition to the Exchange, pursuant to the terms of a stock cancellation agreement, the reporting person voluntarily surrendered and canceled 2,450,000 shares of the Issuer's common stock prior to the consummation of the Exchange. The reporting person resigned as a director and officer of the Issuer upon consummation of the Exchange. |
Filing footnotes · ownership attribution and instrument terms
F1: Pursuant to the terms of a Share Exchange Agreement, dated as of February 23, 2021, by and among the Issuer, SmartKem, Inc. (f/k/a SmartKem Limited) ("SmartKem"), and the former shareholders of SmartKem, on February 23, 2021, all of the equity interests in SmartKem, except certain "deferred shares," were exchanged for shares of Issuer's common stock, with SmartKem continuing as the Issuer's wholly owned subsidiary (the "Exchange"). As a condition to the Exchange, pursuant to the terms of a stock cancellation agreement, the reporting person voluntarily surrendered and canceled 2,450,000 shares of the Issuer's common stock prior to the consummation of the Exchange. The reporting person resigned as a director and officer of the Issuer upon consummation of the Exchange.
Transphorm, Inc.
Report date February 12, 2020 · Filed February 14, 2020
Section 16 reporting ended · disclosed 2020-02-14. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.0001SEC Table I · non-derivative | Direct | 1,525,000 |
Ending reported balance
After 2020-02-12 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2020-02-12 · Other · Disposed 657,699 · Balance 1,500,000 F1: Pursuant to the terms and conditions of that certain Agreement and Plan of Merger and Reorganization, dated as of February 12, 2020, by and among Transphorm, Inc., f/k/a Peninsula Acquisition Corporation (the "Issuer"), Peninsula Acquisition Sub, Inc. ("Acquisition Sub"), and Transphorm Technology, Inc., f/k/a Transphorm, Inc. ("Transphorm"), on February 12, 2020, Acquisition Sub merged with and into Transphorm, with Transphorm continuing as the surviving entity (the "Merger") and as the Issuer's wholly-owned subsidiary. Pursuant to the terms of a stock forfeiture letter, the reporting person forfeited and canceled 657,699 shares of the Issuer's common stock immediately prior to the consummation of the Merger. Row 2 · 2020-02-12 · Purchase · Acquired 25,000 · Balance 1,525,000 F2: These shares were purchased in the initial closing of the Issuer's private placement offering held on February 12, 2020. |
Filing footnotes · ownership attribution and instrument terms
F1: Pursuant to the terms and conditions of that certain Agreement and Plan of Merger and Reorganization, dated as of February 12, 2020, by and among Transphorm, Inc., f/k/a Peninsula Acquisition Corporation (the "Issuer"), Peninsula Acquisition Sub, Inc. ("Acquisition Sub"), and Transphorm Technology, Inc., f/k/a Transphorm, Inc. ("Transphorm"), on February 12, 2020, Acquisition Sub merged with and into Transphorm, with Transphorm continuing as the surviving entity (the "Merger") and as the Issuer's wholly-owned subsidiary. Pursuant to the terms of a stock forfeiture letter, the reporting person forfeited and canceled 657,699 shares of the Issuer's common stock immediately prior to the consummation of the Merger.
F2: These shares were purchased in the initial closing of the Issuer's private placement offering held on February 12, 2020.
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 |
|---|---|---|---|---|---|---|
| October 08, 2025 Filed Oct 10, 2025 01:30 UTC | Aeluma, Inc. ALMU · Entity 6202 | SaleCommon Stock | 34,300 | $17.46 | $598,878.00 |
DisclosureSEC source: 0001213900-25-097904 · ownership.xml · nonDerivative · entry 4 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,607,282 F4 · price: The price reported in Column 4 represents a weighted average sales price of $17.46. These shares were sold in multiple transactions at prices ranging from $16.90 to $17.86, inclusive. Read SEC document |
| October 07, 2025 Filed Oct 10, 2025 01:30 UTC | Aeluma, Inc. ALMU · Entity 6202 | SaleCommon Stock | 400 | $19.16 | $7,664.00 |
DisclosureSEC source: 0001213900-25-097904 · ownership.xml · nonDerivative · entry 3 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,641,582 F3 · price: The price reported in Column 4 represents a weighted average sales price of $19.16. These shares were sold in multiple transactions at prices ranging from $19.15 to $19.17, inclusive. Read SEC document |
| October 07, 2025 Filed Oct 10, 2025 01:30 UTC | Aeluma, Inc. ALMU · Entity 6202 | SaleCommon Stock | 7,907 | $18.66 | $147,544.62 |
DisclosureSEC source: 0001213900-25-097904 · ownership.xml · nonDerivative · entry 2 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,641,982 F2 · price: The price reported in Column 4 represents a weighted average sales price of $18.66. These shares were sold in multiple transactions at prices ranging from $18.15 to $19.13, inclusive. Read SEC document |
| October 07, 2025 Filed Oct 10, 2025 01:30 UTC | Aeluma, Inc. ALMU · Entity 6202 | SaleCommon Stock | 26,693 | $17.46 | $466,059.78 |
DisclosureSEC source: 0001213900-25-097904 · ownership.xml · nonDerivative · entry 1 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,649,889 F1 · price: The price reported in Column 4 represents a weighted average sales price of $17.46. These shares were sold in multiple transactions at prices ranging from $17.10 to $17.96, inclusive. Read SEC document |
| October 06, 2025 Filed Oct 7, 2025 01:24 UTC | Aeluma, Inc. ALMU · Entity 6202 | SaleCommon Stock | 63,604 | $18.70 | $1,189,394.80 |
DisclosureSEC source: 0001213900-25-096784 · ownership.xml · nonDerivative · entry 5 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,676,582 F4 · price: The price reported in Column 4 represents a weighted average sales price of $18.70. These shares were sold in multiple transactions at prices ranging from $18.25 to $19.00, inclusive. Read SEC document |
| October 03, 2025 Filed Oct 7, 2025 01:24 UTC | Aeluma, Inc. ALMU · Entity 6202 | SaleCommon Stock | 12,958 | $17.94 | $232,466.52 |
DisclosureSEC source: 0001213900-25-096784 · ownership.xml · nonDerivative · entry 4 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,740,186 F3 · price: The price reported in Column 4 represents a weighted average sales price of $17.94. These shares were sold in multiple transactions at prices ranging from $17.65 to $18.20, inclusive. Read SEC document |
| October 03, 2025 Filed Oct 7, 2025 01:24 UTC | Aeluma, Inc. ALMU · Entity 6202 | SaleCommon Stock | 18,189 | $17.30 | $314,669.70 |
DisclosureSEC source: 0001213900-25-096784 · ownership.xml · nonDerivative · entry 3 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,753,144 F2 · price: The price reported in Column 4 represents a weighted average sales price of $17.30. These shares were sold in multiple transactions at prices ranging from $16.65 to $17.64, inclusive. Read SEC document |
| October 02, 2025 Filed Oct 7, 2025 01:24 UTC | Aeluma, Inc. ALMU · Entity 6202 | SaleCommon Stock | 120 | $17.58 | $2,109.60 |
DisclosureSEC source: 0001213900-25-096784 · ownership.xml · nonDerivative · entry 2 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,771,333 Read SEC document |
| October 02, 2025 Filed Oct 7, 2025 01:24 UTC | Aeluma, Inc. ALMU · Entity 6202 | SaleCommon Stock | 34,880 | $17.10 | $596,448.00 |
DisclosureSEC source: 0001213900-25-096784 · ownership.xml · nonDerivative · entry 1 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,771,453 F1 · price: The price reported in Column 4 represents a weighted average sales price of $17.10. These shares were sold in multiple transactions at prices ranging from $16.49 to $17.48, inclusive. Read SEC document |
| October 01, 2025 Filed Oct 2, 2025 10:12 UTC | Aeluma, Inc. ALMU · Entity 6202 | SaleCommon Stock | 41,367 | $16.97 | $701,997.99 |
DisclosureSEC source: 0001213900-25-094948 · ownership.xml · nonDerivative · entry 6 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,806,333 F5 · price: The price reported in Column 4 represents a weighted average sales price of $16.97. These shares were sold in multiple transactions at prices ranging from $16.77 to $17.20, inclusive. Read SEC document |
| October 01, 2025 Filed Oct 2, 2025 10:12 UTC | Aeluma, Inc. ALMU · Entity 6202 | SaleCommon Stock | 9,133 | $16.39 | $149,689.87 |
DisclosureSEC source: 0001213900-25-094948 · ownership.xml · nonDerivative · entry 5 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,847,700 F4 · price: The price reported in Column 4 represents a weighted average sales price of $16.39. These shares were sold in multiple transactions at prices ranging from $15.77 to $16.76, inclusive. Read SEC document |
| September 30, 2025 Filed Oct 2, 2025 10:12 UTC | Aeluma, Inc. ALMU · Entity 6202 | SaleCommon Stock | 200 | $17.54 | $3,508.00 |
DisclosureSEC source: 0001213900-25-094948 · ownership.xml · nonDerivative · entry 4 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,856,833 Read SEC document |
| September 30, 2025 Filed Oct 2, 2025 10:12 UTC | Aeluma, Inc. ALMU · Entity 6202 | SaleCommon Stock | 33,380 | $16.18 | $540,088.40 |
DisclosureSEC source: 0001213900-25-094948 · ownership.xml · nonDerivative · entry 3 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,857,033 F3 · price: The price reported in Column 4 represents a weighted average sales price of $16.18. These shares were sold in multiple transactions at prices ranging from $15.86 to $16.75, inclusive. Read SEC document |
| September 30, 2025 Filed Oct 7, 2025 01:23 UTC Amendment | Aeluma, Inc. ALMU · Entity 6202 | SaleCommon Stock | 33,800 | $16.18 | $546,884.00 |
DisclosureSEC source: 0001213900-25-096783 · ownership.xml · nonDerivative · entry 1 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,857,033 F1 · shares: On October 2, 2025, the Reporting Person filed a Form 4 (the "Original Report") which incorrectly stated the total shares sold in the reported transaction in Table I - Column 4 of the Original Report.. The Reporting Person is filing this Form 4/A to amend and correct the discrepancy. F2 · price: The price reported in Column 4 represents a weighted average sales price of $16.18. These shares were sold in multiple transactions at prices ranging from $15.86 to $16.75, inclusive. Read SEC document |
| September 29, 2025 Filed Oct 2, 2025 10:12 UTC | Aeluma, Inc. ALMU · Entity 6202 | SaleCommon Stock | 1,618 | $18.36 | $29,706.48 |
DisclosureSEC source: 0001213900-25-094948 · ownership.xml · nonDerivative · entry 2 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,890,833 F2 · price: The price reported in Column 4 represents a weighted average sales price of $18.36. These shares were sold in multiple transactions at prices ranging from $18.02 to $18.64, inclusive. Read SEC document |
| September 29, 2025 Filed Oct 2, 2025 10:12 UTC | Aeluma, Inc. ALMU · Entity 6202 | SaleCommon Stock | 23,382 | $17.52 | $409,652.64 |
DisclosureSEC source: 0001213900-25-094948 · ownership.xml · nonDerivative · entry 1 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,892,451 F1 · price: The price reported in Column 4 represents a weighted average sales price of $17.52. These shares were sold in multiple transactions at prices ranging from $17.00 to $17.98, inclusive. Read SEC document |
| September 05, 2025 Filed Sep 8, 2025 16:47 UTC | DEEP FISSION, INC. NONE · Entity 5748 | OtherCommon Stock | 2,833,333 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-25-085417 · ownership.xml · nonDerivative · entry 1 Tompkins Mark N. · CIK 0001455971 · See Remarks 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,891,667 F1 · kind: As a condition under the terms of an Agreement and Plan of Merger and Reorganization, dated as of September 5, 2025, and pursuant to the terms of a stock cancellation agreement, the reporting person voluntarily surrendered and cancelled for no consideration 2,833,333 shares of Issuer's common stock prior to the consummation of the Merger on September 5, 2025. The reporting person resigned as a director of the Issuer upon consummation of the Merger. F1 · price: As a condition under the terms of an Agreement and Plan of Merger and Reorganization, dated as of September 5, 2025, and pursuant to the terms of a stock cancellation agreement, the reporting person voluntarily surrendered and cancelled for no consideration 2,833,333 shares of Issuer's common stock prior to the consummation of the Merger on September 5, 2025. The reporting person resigned as a director of the Issuer upon consummation of the Merger. Read SEC document |
| August 26, 2025 Filed Aug 28, 2025 23:03 UTC | Orielle Acquisition Corp. NONE · Entity 75992 | SaleCommon Stock | 50,000 | $0.00 | $5.00 |
DisclosureSEC source: 0001213900-25-081959 · ownership.xml · nonDerivative · entry 1 Tompkins Mark N. · CIK 0001455971 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 4,700,000 Read SEC document |
| August 26, 2025 Filed Aug 28, 2025 23:01 UTC | DEEP FISSION, INC. NONE · Entity 5748 | SaleCommon Stock | 25,000 | $0.00 | $2.50 |
DisclosureSEC source: 0001213900-25-081957 · ownership.xml · nonDerivative · entry 1 Tompkins Mark N. · CIK 0001455971 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 4,725,000 Read SEC document |
| July 23, 2025 Filed Jul 26, 2025 01:00 UTC | Deep Isolation Nuclear, Inc. NONE · Entity 9903 | OtherCommon Stock | 2,833,333 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-25-067847 · ownership.xml · nonDerivative · entry 1 Tompkins Mark N. · CIK 0001455971 · See Remarks 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,891,667 F1 · kind: As a condition under the terms of an Agreement and Plan of Merger and Reorganization, dated as of July 23, 2025, and pursuant to the terms of a stock cancellation agreement, the reporting person voluntarily surrendered and cancelled for no consideration 2,833,333 shares of Issuer's common stock prior to the consummation of the Merger on July 23, 2025. The reporting person resigned as a director of the Issuer upon consummation of the Merger. F1 · price: As a condition under the terms of an Agreement and Plan of Merger and Reorganization, dated as of July 23, 2025, and pursuant to the terms of a stock cancellation agreement, the reporting person voluntarily surrendered and cancelled for no consideration 2,833,333 shares of Issuer's common stock prior to the consummation of the Merger on July 23, 2025. The reporting person resigned as a director of the Issuer upon consummation of the Merger. Read SEC document |
| July 16, 2025 Filed Jul 18, 2025 22:08 UTC | Deep Isolation Nuclear, Inc. NONE · Entity 9903 | SaleCommon Stock | 25,000 | $0.00 | $2.50 |
DisclosureSEC source: 0001213900-25-065806 · ownership.xml · nonDerivative · entry 1 Tompkins Mark N. · CIK 0001455971 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 4,725,000 Read SEC document |
| March 27, 2025 Filed Mar 31, 2025 23:07 UTC | Aeluma, Inc. ALMU · Entity 6202 | ConversionConvertible Promissory Note · Derivative | Not disclosed | $3.50 Strike: $3.50 | $700,000.00 |
DisclosureSEC source: 0001213900-25-026517 · ownership.xml · derivative · entry 2 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 200,000 shares Expires 2025-03-27 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: On August 5 and August 27, 2024, the Reporting Person purchased from the Issuer, in a private placement exempt from registration under the Securities Act, $500,000 and $200,000, respectively, principal amount ($700,000 in the aggregate) of the Issuer's 0% convertible promissory notes with a maturity date of June 30, 2026. The form of the notes was filed with the Securities and Exchange Commission by the Issuer on August 6, 2024, as an exhibit to a Current Report on Form 8-K: https://www.sec.gov/Archives/edgar/data/1828805/000121390024065747/ea021072201ex10-2_aeluma.htm. The notes were convertible into shares of the Issuer's common stock only upon the occurrence of certain specified future events and at a price that was to be determined at the time of conversion(2) F2 · derivative.exercise_price: The conversion events included: (a) upon an equity financing resulting in gross proceeds to the Issuer of at least $5,000,000, the notes would convert at a price per share equal to 85% of the per share price paid by the investors in the financing; and (b) upon the Issuer's stock being accepted for listing on a national securities exchange or market, the notes would convert at a price per share equal to 85% of the volume weighted average price of the common stock for the five trading days immediately prior to the listing; provided that the conversion price would not be lower than a specified floor price nor higher than $3.50 per share. On March 27, 2025, as a result of the Issuer's public offering of shares of common stock at $5.25 per share for gross proceeds exceeding $5,000,000 and the listing of the common stock on the Nasdaq Capital Market, the notes converted in full at $3.50 per share into 200,000 shares of common stock. F1 · kind: On August 5 and August 27, 2024, the Reporting Person purchased from the Issuer, in a private placement exempt from registration under the Securities Act, $500,000 and $200,000, respectively, principal amount ($700,000 in the aggregate) of the Issuer's 0% convertible promissory notes with a maturity date of June 30, 2026. The form of the notes was filed with the Securities and Exchange Commission by the Issuer on August 6, 2024, as an exhibit to a Current Report on Form 8-K: https://www.sec.gov/Archives/edgar/data/1828805/000121390024065747/ea021072201ex10-2_aeluma.htm. The notes were convertible into shares of the Issuer's common stock only upon the occurrence of certain specified future events and at a price that was to be determined at the time of conversion(2) F2 · kind: The conversion events included: (a) upon an equity financing resulting in gross proceeds to the Issuer of at least $5,000,000, the notes would convert at a price per share equal to 85% of the per share price paid by the investors in the financing; and (b) upon the Issuer's stock being accepted for listing on a national securities exchange or market, the notes would convert at a price per share equal to 85% of the volume weighted average price of the common stock for the five trading days immediately prior to the listing; provided that the conversion price would not be lower than a specified floor price nor higher than $3.50 per share. On March 27, 2025, as a result of the Issuer's public offering of shares of common stock at $5.25 per share for gross proceeds exceeding $5,000,000 and the listing of the common stock on the Nasdaq Capital Market, the notes converted in full at $3.50 per share into 200,000 shares of common stock. F1 · price: On August 5 and August 27, 2024, the Reporting Person purchased from the Issuer, in a private placement exempt from registration under the Securities Act, $500,000 and $200,000, respectively, principal amount ($700,000 in the aggregate) of the Issuer's 0% convertible promissory notes with a maturity date of June 30, 2026. The form of the notes was filed with the Securities and Exchange Commission by the Issuer on August 6, 2024, as an exhibit to a Current Report on Form 8-K: https://www.sec.gov/Archives/edgar/data/1828805/000121390024065747/ea021072201ex10-2_aeluma.htm. The notes were convertible into shares of the Issuer's common stock only upon the occurrence of certain specified future events and at a price that was to be determined at the time of conversion(2) F2 · price: The conversion events included: (a) upon an equity financing resulting in gross proceeds to the Issuer of at least $5,000,000, the notes would convert at a price per share equal to 85% of the per share price paid by the investors in the financing; and (b) upon the Issuer's stock being accepted for listing on a national securities exchange or market, the notes would convert at a price per share equal to 85% of the volume weighted average price of the common stock for the five trading days immediately prior to the listing; provided that the conversion price would not be lower than a specified floor price nor higher than $3.50 per share. On March 27, 2025, as a result of the Issuer's public offering of shares of common stock at $5.25 per share for gross proceeds exceeding $5,000,000 and the listing of the common stock on the Nasdaq Capital Market, the notes converted in full at $3.50 per share into 200,000 shares of common stock. Read SEC document |
| March 27, 2025 Filed Mar 31, 2025 23:07 UTC | Aeluma, Inc. ALMU · Entity 6202 | ConversionCommon Stock | 200,000 | $3.50 | $700,000.00 |
DisclosureSEC source: 0001213900-25-026517 · ownership.xml · nonDerivative · entry 1 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,915,833 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: On August 5 and August 27, 2024, the Reporting Person purchased from the Issuer, in a private placement exempt from registration under the Securities Act, $500,000 and $200,000, respectively, principal amount ($700,000 in the aggregate) of the Issuer's 0% convertible promissory notes with a maturity date of June 30, 2026. The form of the notes was filed with the Securities and Exchange Commission by the Issuer on August 6, 2024, as an exhibit to a Current Report on Form 8-K: https://www.sec.gov/Archives/edgar/data/1828805/000121390024065747/ea021072201ex10-2_aeluma.htm. The notes were convertible into shares of the Issuer's common stock only upon the occurrence of certain specified future events and at a price that was to be determined at the time of conversion(2) F2 · kind: The conversion events included: (a) upon an equity financing resulting in gross proceeds to the Issuer of at least $5,000,000, the notes would convert at a price per share equal to 85% of the per share price paid by the investors in the financing; and (b) upon the Issuer's stock being accepted for listing on a national securities exchange or market, the notes would convert at a price per share equal to 85% of the volume weighted average price of the common stock for the five trading days immediately prior to the listing; provided that the conversion price would not be lower than a specified floor price nor higher than $3.50 per share. On March 27, 2025, as a result of the Issuer's public offering of shares of common stock at $5.25 per share for gross proceeds exceeding $5,000,000 and the listing of the common stock on the Nasdaq Capital Market, the notes converted in full at $3.50 per share into 200,000 shares of common stock. F1 · price: On August 5 and August 27, 2024, the Reporting Person purchased from the Issuer, in a private placement exempt from registration under the Securities Act, $500,000 and $200,000, respectively, principal amount ($700,000 in the aggregate) of the Issuer's 0% convertible promissory notes with a maturity date of June 30, 2026. The form of the notes was filed with the Securities and Exchange Commission by the Issuer on August 6, 2024, as an exhibit to a Current Report on Form 8-K: https://www.sec.gov/Archives/edgar/data/1828805/000121390024065747/ea021072201ex10-2_aeluma.htm. The notes were convertible into shares of the Issuer's common stock only upon the occurrence of certain specified future events and at a price that was to be determined at the time of conversion(2) F2 · price: The conversion events included: (a) upon an equity financing resulting in gross proceeds to the Issuer of at least $5,000,000, the notes would convert at a price per share equal to 85% of the per share price paid by the investors in the financing; and (b) upon the Issuer's stock being accepted for listing on a national securities exchange or market, the notes would convert at a price per share equal to 85% of the volume weighted average price of the common stock for the five trading days immediately prior to the listing; provided that the conversion price would not be lower than a specified floor price nor higher than $3.50 per share. On March 27, 2025, as a result of the Issuer's public offering of shares of common stock at $5.25 per share for gross proceeds exceeding $5,000,000 and the listing of the common stock on the Nasdaq Capital Market, the notes converted in full at $3.50 per share into 200,000 shares of common stock. Read SEC document |
| November 01, 2024 Filed Nov 5, 2024 23:35 UTC | Lomond Therapeutics Holdings, Inc. NONE · Entity 86303 | OtherCommon Stock | 3,550,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-24-094682 · ownership.xml · nonDerivative · entry 1 Tompkins Mark N. · CIK 0001455971 · Former Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,200,000 F1 · kind: As a condition under the terms of an Agreement and Plan of Merger and Reorganization, dated as of November 1, 2024, and pursuant to the terms of a stock cancellation agreement, the reporting person voluntarily surrendered and cancelled for no consideration 3,550,000 shares of Issuer's common stock prior to the consummation of the Merger on November 1, 2024. The reporting person resigned as a director of the Issuer upon consummation of the Merger. F1 · price: As a condition under the terms of an Agreement and Plan of Merger and Reorganization, dated as of November 1, 2024, and pursuant to the terms of a stock cancellation agreement, the reporting person voluntarily surrendered and cancelled for no consideration 3,550,000 shares of Issuer's common stock prior to the consummation of the Merger on November 1, 2024. The reporting person resigned as a director of the Issuer upon consummation of the Merger. Read SEC document |
| July 31, 2023 Filed Aug 3, 2023 01:59 UTC | Serve Robotics Inc. /DE/ NONE · Entity 5633 | GrantWarrants (Right to Buy) · Derivative | 156,250 | Not disclosed Strike: $3.20 | Not disclosed |
DisclosureSEC source: 0001213900-23-062762 · ownership.xml · derivative · entry 3 Tompkins Mark N. · CIK 0001455971 · Former Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 156,250 Underlying: Common stock · 156,250 shares Expires 2026-07-31 F3 · price: Immediately exercisable. Received upon closing of the Merger in accordance with the terms of the Bridge SPA. Pursuant to the terms of the Bridge SPA, each holder of a Legacy Serve 10% Senior Subordinated Secured Convertible Note was entitled to receive warrants to purchase 50% of the number of shares of common stock into which the 10% Senior Subordinated Secured Convertible Note converted. F3 · derivative.exercise_date: Immediately exercisable. Received upon closing of the Merger in accordance with the terms of the Bridge SPA. Pursuant to the terms of the Bridge SPA, each holder of a Legacy Serve 10% Senior Subordinated Secured Convertible Note was entitled to receive warrants to purchase 50% of the number of shares of common stock into which the 10% Senior Subordinated Secured Convertible Note converted. Read SEC document |
| July 31, 2023 Filed Aug 3, 2023 01:59 UTC | Serve Robotics Inc. /DE/ NONE · Entity 5633 | OtherCommon Stock | 3,375,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-23-062762 · ownership.xml · nonDerivative · entry 2 Tompkins Mark N. · CIK 0001455971 · Former Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,687,500 F2 · kind: As a condition under the terms of an Agreement and Plan of Merger and Reorganization, dated as of July 31, 2023, and pursuant to the terms of a stock cancellation agreement, the reporting person voluntarily surrendered and cancelled for no consideration 3,375,000 shares of Issuer's common stock prior to the consummation of the Merger. The reporting person resigned as a director of the Issuer upon consummation of the Merger. F2 · price: As a condition under the terms of an Agreement and Plan of Merger and Reorganization, dated as of July 31, 2023, and pursuant to the terms of a stock cancellation agreement, the reporting person voluntarily surrendered and cancelled for no consideration 3,375,000 shares of Issuer's common stock prior to the consummation of the Merger. The reporting person resigned as a director of the Issuer upon consummation of the Merger. Read SEC document |
| July 31, 2023 Filed Aug 3, 2023 01:59 UTC | Serve Robotics Inc. /DE/ NONE · Entity 5633 | ConversionCommon Stock | 312,500 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001213900-23-062762 · ownership.xml · nonDerivative · entry 1 Tompkins Mark N. · CIK 0001455971 · Former Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 5,062,500 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: Upon closing of the reverse triangular merger of the Issuer's subsidiary (the "Merger") with Serve Robotics Inc. ("Legacy Serve"), $1,000,000 principal amount of Legacy Serve's 10% Senior Subordinated Secured Convertible Notes, purchased by the reporting person under a Securities Purchase Agreement, dated April 21, 2023 (the "Bridge SPA"), with Legacy Serve, converted by their terms into shares of common stock of the Issuer at a conversion price of $3.20 per share. Read SEC document |
| December 22, 2022 Filed Jan 13, 2023 21:38 UTC | Aeluma, Inc. ALMU · Entity 6202 | PurchaseCommon stock, par value $0.0001 per share | 83,333 | $3.00 | $249,999.00 |
DisclosureSEC source: 0001213900-23-002815 · ownership.xml · nonDerivative · entry 1 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,715,833 F1 · kind: These shares were purchased in the closing of the Issuer's private placement offering held on December 22, 2022. F1 · price: These shares were purchased in the closing of the Issuer's private placement offering held on December 22, 2022. Read SEC document |
| November 12, 2021 Filed Nov 16, 2021 13:00 UTC | Guerrilla RF, Inc. N/A · Entity 7285 | PurchaseCommon stock, par value $0.0001 per share | 250,000 | $2.00 | $500,000.00 |
DisclosureSEC source: 0001213900-21-059769 · ownership.xml · nonDerivative · entry 1 Tompkins Mark N. · CIK 0001455971 · Former Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,700,000 F1 · kind: These shares were purchased by the reporting person form the Issuer in a private placement offering. F1 · price: These shares were purchased by the reporting person form the Issuer in a private placement offering. Read SEC document |
| October 22, 2021 Filed Oct 26, 2021 01:30 UTC | Guerrilla RF, Inc. N/A · Entity 7285 | OtherCommon stock, par value $0.0001 per share | 2,025,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-21-054513 · ownership.xml · nonDerivative · entry 2 Tompkins Mark N. · CIK 0001455971 · Former Director and 10% Owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,450,000 F2 · kind: Pursuant to the terms of a stock cancellation agreement, the reporting person voluntarily surrendered and canceled 2,025,000 shares of the Issuer's common stock on October 22, 2021. The reporting person also resigned as a director of the Issuer on October 22, 2021. F2 · price: Pursuant to the terms of a stock cancellation agreement, the reporting person voluntarily surrendered and canceled 2,025,000 shares of the Issuer's common stock on October 22, 2021. The reporting person also resigned as a director of the Issuer on October 22, 2021. Read SEC document |
| October 21, 2021 Filed Oct 26, 2021 01:30 UTC | Guerrilla RF, Inc. N/A · Entity 7285 | OtherCommon stock, par value $0.0001 per share | 275,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-21-054513 · ownership.xml · nonDerivative · entry 1 Tompkins Mark N. · CIK 0001455971 · Former Director and 10% Owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,475,000 F1 · kind: The reporting person transferred an aggregate of 275,000 shares of the Issuer's common stock as consideration for services rendered to an affiliate of the reporting person by the recipients. F1 · price: The reporting person transferred an aggregate of 275,000 shares of the Issuer's common stock as consideration for services rendered to an affiliate of the reporting person by the recipients. Read SEC document |
| June 25, 2021 Filed Jun 30, 2021 01:30 UTC | Aeluma, Inc. NONE · Entity 6202 | PurchaseCommon stock, par value $0.0001 per share | 107,500 | $2.00 | $215,000.00 |
DisclosureSEC source: 0001213900-21-034883 · ownership.xml · nonDerivative · entry 2 Tompkins Mark N. · CIK 0001455971 · 10% owner · Former Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,632,500 F2 · kind: These shares were purchased in a second closing of the Issuer's private placement offering held on June 25, 2021. F2 · price: These shares were purchased in a second closing of the Issuer's private placement offering held on June 25, 2021. Read SEC document |
| June 22, 2021 Filed Jun 24, 2021 01:51 UTC | Aeluma, Inc. N/A · Entity 6202 | OtherCommon stock, par value $0.0001 per share | 2,450,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-21-033881 · ownership.xml · nonDerivative · entry 2 Tompkins Mark N. · CIK 0001455971 · 10% owner · Former Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,275,000 F2 · kind: Pursuant to the terms of an Agreement and Plan of Merger and Reorganization, dated as of June 22, 2021, by and among the Issuer, Aeluma Operating Co. ("Acquisition Sub"), and Biond Photonics, Inc. (d.b.a. "Aeluma") ("Biond"), on June 22, 2021, Biond merged with and into Acquisition Sub, with Acquisition Sub continuing as the surviving entity (the "Merger") and as the Issuer's wholly-owned subsidiary. As a condition to the Merger, pursuant to the terms of a stock cancellation agreement, the reporting person voluntarily surrendered and canceled 2,450,000 shares of the Issuer's common stock prior to the consummation of the Merger. The reporting person resigned as a director of the Issuer upon consummation of the Merger. F2 · price: Pursuant to the terms of an Agreement and Plan of Merger and Reorganization, dated as of June 22, 2021, by and among the Issuer, Aeluma Operating Co. ("Acquisition Sub"), and Biond Photonics, Inc. (d.b.a. "Aeluma") ("Biond"), on June 22, 2021, Biond merged with and into Acquisition Sub, with Acquisition Sub continuing as the surviving entity (the "Merger") and as the Issuer's wholly-owned subsidiary. As a condition to the Merger, pursuant to the terms of a stock cancellation agreement, the reporting person voluntarily surrendered and canceled 2,450,000 shares of the Issuer's common stock prior to the consummation of the Merger. The reporting person resigned as a director of the Issuer upon consummation of the Merger. Read SEC document |
| June 22, 2021 Filed Jun 30, 2021 01:30 UTC | Aeluma, Inc. NONE · Entity 6202 | PurchaseCommon stock, par value $0.0001 per share | 250,000 | $2.00 | $500,000.00 |
DisclosureSEC source: 0001213900-21-034883 · ownership.xml · nonDerivative · entry 1 Tompkins Mark N. · CIK 0001455971 · 10% owner · Former Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,525,000 F1 · kind: These shares were purchased in the initial closing of the Issuer's private placement offering held on June 22, 2021. F1 · price: These shares were purchased in the initial closing of the Issuer's private placement offering held on June 22, 2021. Read SEC document |
| June 21, 2021 Filed Jun 24, 2021 01:51 UTC | Aeluma, Inc. N/A · Entity 6202 | OtherCommon stock, par value $0.0001 per share | 25,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-21-033881 · ownership.xml · nonDerivative · entry 1 Tompkins Mark N. · CIK 0001455971 · 10% owner · Former Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,725,000 F1 · kind: The reporting person transferred an aggregate of 25,000 shares of the Issuer's common stock as consideration for services rendered to an affiliate of the reporting person by the recipients. F1 · price: The reporting person transferred an aggregate of 25,000 shares of the Issuer's common stock as consideration for services rendered to an affiliate of the reporting person by the recipients. Read SEC document |
| June 01, 2021 Filed Jun 3, 2021 01:31 UTC | Amesite Inc. AMST · Entity 8151 | SaleCommon Stock, par value $0.0001 per share | 35,822 | $2.50 | $89,483.36 |
DisclosureSEC source: 0001213900-21-030664 · ownership.xml · nonDerivative · entry 2 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,043,103 F2 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.35 to $2.415, inclusive. The Reporting Person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| May 28, 2021 Filed Jun 3, 2021 01:31 UTC | Amesite Inc. AMST · Entity 8151 | SaleCommon Stock, par value $0.0001 per share | 17,494 | $2.39 | $41,740.68 |
DisclosureSEC source: 0001213900-21-030664 · ownership.xml · nonDerivative · entry 1 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,078,925 F1 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.41 to $2.59 inclusive. The Reporting Person undertakes to provide Amesite Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| May 27, 2021 Filed May 28, 2021 01:30 UTC | Amesite Inc. AMST · Entity 8151 | SaleCommon Stock, par value $0.0001 per share | 13,600 | $2.39 | $32,436.00 |
DisclosureSEC source: 0001213900-21-029786 · ownership.xml · nonDerivative · entry 3 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,096,419 F3 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.30 to $2.48, inclusive. The Reporting Person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| May 26, 2021 Filed May 28, 2021 01:30 UTC | Amesite Inc. AMST · Entity 8151 | SaleCommon Stock, par value $0.0001 per share | 22,444 | $2.27 | $51,037.66 |
DisclosureSEC source: 0001213900-21-029786 · ownership.xml · nonDerivative · entry 2 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,110,019 F2 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.20 to $2.37, inclusive. The Reporting Person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| May 25, 2021 Filed May 28, 2021 01:30 UTC | Amesite Inc. AMST · Entity 8151 | SaleCommon Stock, par value $0.0001 per share | 11,453 | $2.24 | $25,620.36 |
DisclosureSEC source: 0001213900-21-029786 · ownership.xml · nonDerivative · entry 1 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,132,463 F1 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.20 to $2.30, inclusive. The Reporting Person undertakes to provide Amesite Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| May 24, 2021 Filed May 25, 2021 01:30 UTC | Amesite Inc. AMST · Entity 8151 | SaleCommon Stock, par value $0.0001 per share | 10,243 | $2.25 | $23,042.65 |
DisclosureSEC source: 0001213900-21-028911 · ownership.xml · nonDerivative · entry 3 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,143,916 F3 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.23 to $2.25, inclusive. The Reporting Person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| May 21, 2021 Filed May 25, 2021 01:30 UTC | Amesite Inc. AMST · Entity 8151 | SaleCommon Stock, par value $0.0001 per share | 3,191 | $2.20 | $7,023.39 |
DisclosureSEC source: 0001213900-21-028911 · ownership.xml · nonDerivative · entry 2 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,154,159 F2 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.20 to $2.21, inclusive. The Reporting Person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| May 20, 2021 Filed May 25, 2021 01:30 UTC | Amesite Inc. AMST · Entity 8151 | SaleCommon Stock, par value $0.0001 per share | 56,437 | $2.21 | $124,725.77 |
DisclosureSEC source: 0001213900-21-028911 · ownership.xml · nonDerivative · entry 1 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,157,350 F1 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.20 to $2.23, inclusive. The Reporting Person undertakes to provide Amesite Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| May 19, 2021 Filed May 20, 2021 01:30 UTC | Amesite Inc. AMST · Entity 8151 | SaleCommon Stock, par value $0.0001 per share | 44,400 | $2.23 | $98,967.60 |
DisclosureSEC source: 0001213900-21-028033 · ownership.xml · nonDerivative · entry 3 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,213,786 F3 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.18 to $2.30, inclusive. The Reporting Person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| May 18, 2021 Filed May 20, 2021 01:30 UTC | Amesite Inc. AMST · Entity 8151 | SaleCommon Stock, par value $0.0001 per share | 16,430 | $2.19 | $35,998.13 |
DisclosureSEC source: 0001213900-21-028033 · ownership.xml · nonDerivative · entry 2 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,258,186 F2 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.18 to $2.20, inclusive. The Reporting Person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| May 17, 2021 Filed May 20, 2021 01:30 UTC | Amesite Inc. AMST · Entity 8151 | SaleCommon Stock, par value $0.0001 per share | 7,395 | $2.22 | $16,431.69 |
DisclosureSEC source: 0001213900-21-028033 · ownership.xml · nonDerivative · entry 1 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,274.616 F1 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.20 to $2.31, inclusive. The Reporting Person undertakes to provide Amesite Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| May 14, 2021 Filed May 15, 2021 01:38 UTC | Amesite Inc. AMST · Entity 8151 | SaleCommon stock, par value $0.0001 per share | 40,109 | $2.36 | $94,456.70 |
DisclosureSEC source: 0001213900-21-026621 · ownership.xml · nonDerivative · entry 3 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,282,012 F3 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.23 to $2.45, inclusive. The Reporting Person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| May 13, 2021 Filed May 15, 2021 01:38 UTC | Amesite Inc. AMST · Entity 8151 | SaleCommon stock, par value $0.0001 per share | 53,610 | $2.30 | $123,410.22 |
DisclosureSEC source: 0001213900-21-026621 · ownership.xml · nonDerivative · entry 2 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,322,121 F2 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.15 to $2.62, inclusive. The Reporting Person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| May 12, 2021 Filed May 15, 2021 01:38 UTC | Amesite Inc. AMST · Entity 8151 | SaleCommon stock, par value $0.0001 per share | 13,705 | $2.22 | $30,383.99 |
DisclosureSEC source: 0001213900-21-026621 · ownership.xml · nonDerivative · entry 1 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,375,731 F1 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.10 to $2.40, inclusive. The Reporting Person undertakes to provide Amesite Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| May 11, 2021 Filed May 12, 2021 01:30 UTC | Amesite Inc. AMST · Entity 8151 | SaleCommon stock, par value $0.0001 per share | 11,311 | $2.31 | $26,094.48 |
DisclosureSEC source: 0001213900-21-025676 · ownership.xml · nonDerivative · entry 3 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,389,436 F3 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.30 to $2.35, inclusive. The Reporting Person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. 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.