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 |
|---|---|---|---|---|---|---|
| May 10, 2021 Filed May 12, 2021 01:30 UTC | Amesite Inc. AMST · Entity 8151 | SaleCommon stock, par value $0.0001 per share | 12,600 | $2.50 | $31,525.20 |
DisclosureSEC source: 0001213900-21-025676 · ownership.xml · nonDerivative · entry 2 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,400,747 F2 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.50 to $2.53, 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 07, 2021 Filed May 12, 2021 01:30 UTC | Amesite Inc. AMST · Entity 8151 | SaleCommon stock, par value $0.0001 per share | 12,711 | $2.69 | $34,218.01 |
DisclosureSEC source: 0001213900-21-025676 · ownership.xml · nonDerivative · entry 1 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,413,347 F1 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.68 to $2.71, 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 06, 2021 Filed May 7, 2021 01:30 UTC | Amesite Inc. AMST · Entity 8151 | SaleCommon stock, par value $0.0001 per share | 13,777 | $2.67 | $36,715.71 |
DisclosureSEC source: 0001213900-21-024970 · ownership.xml · nonDerivative · entry 3 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,426,058 F3 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.60 to $2.74, 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 05, 2021 Filed May 7, 2021 01:30 UTC | Amesite Inc. AMST · Entity 8151 | SaleCommon stock, par value $0.0001 per share | 10,385 | $2.61 | $27,063.31 |
DisclosureSEC source: 0001213900-21-024970 · ownership.xml · nonDerivative · entry 2 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,439,835 F2 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.55 to $2.67, 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 04, 2021 Filed May 7, 2021 01:30 UTC | Amesite Inc. AMST · Entity 8151 | SaleCommon stock, par value $0.0001 per share | 51,971 | $2.96 | $154,042.04 |
DisclosureSEC source: 0001213900-21-024970 · ownership.xml · nonDerivative · entry 1 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,450,220 F1 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.73 to $3.33, 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 03, 2021 Filed May 4, 2021 01:30 UTC | Amesite Inc. AMST · Entity 8151 | SaleCommon stock, par value $0.0001 per share | 16,234 | $2.90 | $47,127.30 |
DisclosureSEC source: 0001213900-21-024360 · ownership.xml · nonDerivative · entry 3 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: Not disclosed F3 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.88 to $2.955, 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 |
| April 30, 2021 Filed May 4, 2021 01:30 UTC | Amesite Inc. AMST · Entity 8151 | SaleCommon stock, par value $0.0001 per share | 28,655 | $2.72 | $78,056.22 |
DisclosureSEC source: 0001213900-21-024360 · ownership.xml · nonDerivative · entry 2 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: Not disclosed F2 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.61 to $2.83, 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 |
| April 29, 2021 Filed May 4, 2021 01:30 UTC | Amesite Inc. AMST · Entity 8151 | SaleCommon stock, par value $0.0001 per share | 16,169 | $2.61 | $42,265.77 |
DisclosureSEC source: 0001213900-21-024360 · ownership.xml · nonDerivative · entry 1 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: Not disclosed F1 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.56 to $2.75, 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 |
| April 28, 2021 Filed Apr 29, 2021 01:30 UTC | Amesite Inc. AMST · Entity 8151 | SaleCommon stock, par value $0.0001 per share | 3,400 | $2.86 | $9,737.60 |
DisclosureSEC source: 0001213900-21-023373 · ownership.xml · nonDerivative · entry 3 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,563,249 F3 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.85 to $2.89, 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 |
| April 27, 2021 Filed Apr 29, 2021 01:30 UTC | Amesite Inc. AMST · Entity 8151 | SaleCommon stock, par value $0.0001 per share | 11,519 | $2.95 | $34,015.61 |
DisclosureSEC source: 0001213900-21-023373 · ownership.xml · nonDerivative · entry 2 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,566,649 F2 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.90 to $3.10, 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 |
| April 26, 2021 Filed Apr 29, 2021 01:30 UTC | Amesite Inc. AMST · Entity 8151 | SaleCommon stock, par value $0.0001 per share | 13,500 | $2.97 | $40,081.50 |
DisclosureSEC source: 0001213900-21-023373 · ownership.xml · nonDerivative · entry 1 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,578,168 F1 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.95 to $3.00, 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 |
| April 16, 2021 Filed Apr 20, 2021 10:17 UTC | Amesite Inc. AMST · Entity 8151 | SaleCommon stock, par value $0.0001 per share | 10,627 | $2.79 | $29,659.96 |
DisclosureSEC source: 0001213900-21-022202 · ownership.xml · nonDerivative · entry 2 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,591,668 F2 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.68 to $2.95, 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 |
| April 15, 2021 Filed Apr 20, 2021 10:17 UTC | Amesite Inc. AMST · Entity 8151 | SaleCommon stock, par value $0.0001 per share | 25,000 | $3.23 | $80,850.00 |
DisclosureSEC source: 0001213900-21-022202 · ownership.xml · nonDerivative · entry 1 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,602,295 F1 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.20 to $3.33, 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 |
| April 14, 2021 Filed Apr 15, 2021 01:30 UTC | Amesite Inc. AMST · Entity 8151 | SaleCommon stock, par value $0.0001 per share | 12,050 | $3.25 | $39,174.55 |
DisclosureSEC source: 0001213900-21-021607 · ownership.xml · nonDerivative · entry 3 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,627,795 F3 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.20 to $3.30, 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 |
| April 13, 2021 Filed Apr 15, 2021 01:30 UTC | Amesite Inc. AMST · Entity 8151 | SaleCommon stock, par value $0.0001 per share | 26,494 | $3.26 | $86,370.44 |
DisclosureSEC source: 0001213900-21-021607 · ownership.xml · nonDerivative · entry 2 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,639,845 F2 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.20 to $3.30, 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 |
| April 12, 2021 Filed Apr 15, 2021 01:30 UTC | Amesite Inc. AMST · Entity 8151 | SaleCommon stock, par value $0.0001 per share | 15,539 | $3.43 | $53,314.31 |
DisclosureSEC source: 0001213900-21-021607 · ownership.xml · nonDerivative · entry 1 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,666,339 F1 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.25 to $3.58, 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 |
| April 09, 2021 Filed Apr 10, 2021 01:50 UTC | Amesite Inc. AMST · Entity 8151 | SaleCommon stock, par value $0.0001 per share | 11,000 | $3.52 | $38,720.00 |
DisclosureSEC source: 0001213900-21-021105 · ownership.xml · nonDerivative · entry 2 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,681,878 F2 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.50 to $3.58, 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 |
| April 08, 2021 Filed Apr 10, 2021 01:50 UTC | Amesite Inc. AMST · Entity 8151 | SaleCommon stock, par value $0.0001 per share | 43,450 | $3.58 | $155,464.10 |
DisclosureSEC source: 0001213900-21-021105 · ownership.xml · nonDerivative · entry 1 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,692,878 F1 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.42 to $3.80, 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 |
| April 06, 2021 Filed Apr 8, 2021 01:39 UTC | Amesite Inc. AMST · Entity 8151 | SaleCommon stock, par value $0.0001 per share | 67,904 | $4.19 | $284,517.76 |
DisclosureSEC source: 0001213900-21-020716 · ownership.xml · nonDerivative · entry 2 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,736,328 F2 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.00 to $4.65, 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 |
| April 05, 2021 Filed Apr 8, 2021 01:39 UTC | Amesite Inc. AMST · Entity 8151 | SaleCommon stock, par value $0.0001 per share | 9,924 | $4.21 | $41,770.12 |
DisclosureSEC source: 0001213900-21-020716 · ownership.xml · nonDerivative · entry 1 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,804,232 F1 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.20 to $4.25, 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 |
| April 01, 2021 Filed Apr 2, 2021 01:30 UTC | Amesite Inc. AMST · Entity 8151 | SaleCommon stock, par value $0.0001 per share | 29,427 | $4.12 | $121,298.09 |
DisclosureSEC source: 0001213900-21-019796 · ownership.xml · nonDerivative · entry 3 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,814,156 F3 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.05 to $4.21, 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 |
| March 31, 2021 Filed Apr 2, 2021 01:30 UTC | Amesite Inc. AMST · Entity 8151 | SaleCommon stock, par value $0.0001 per share | 11,250 | $4.26 | $47,868.75 |
DisclosureSEC source: 0001213900-21-019796 · ownership.xml · nonDerivative · entry 2 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,843,583 F2 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.05 to $4.36, 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 |
| March 30, 2021 Filed Apr 2, 2021 01:30 UTC | Amesite Inc. AMST · Entity 8151 | SaleCommon stock, par value $0.0001 per share | 45,834 | $4.26 | $195,252.84 |
DisclosureSEC source: 0001213900-21-019796 · ownership.xml · nonDerivative · entry 1 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,854,833 F1 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.183 to $4.326, 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 |
| March 05, 2021 Filed Mar 6, 2021 02:31 UTC | Amesite Inc. AMST · Entity 8151 | SaleCommon stock, par value $0.0001 per share | 3,449 | $6.02 | $20,762.98 |
DisclosureSEC source: 0001213900-21-013838 · ownership.xml · nonDerivative · entry 2 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,900,667 Read SEC document |
| March 04, 2021 Filed Mar 6, 2021 02:31 UTC | Amesite Inc. AMST · Entity 8151 | SaleCommon stock, par value $0.0001 per share | 16,551 | $5.54 | $91,692.54 |
DisclosureSEC source: 0001213900-21-013838 · ownership.xml · nonDerivative · entry 1 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,904,116 F1 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.20 to $5.84, 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 |
| February 23, 2021 Filed Feb 26, 2021 02:45 UTC | SmartKem, Inc. NONE · Entity 8554 | OtherCommon Stock, par value $0.0001 | 2,450,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-028487 · tm217635-2_4seq1.xml · nonDerivative · entry 1 Tompkins Mark N. · CIK 0001455971 · Former Director and 10% Owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,300,000 F1 · kind: 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. F1 · price: 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. Read SEC document |
| October 05, 2020 Filed Oct 7, 2020 21:54 UTC | Augmedix, Inc. NONE · Entity 86996 | OtherCommon stock, par value $0.0001 per share | 2,743,333 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-20-030538 · 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: 1,990,000 F2 · kind: 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. F2 · price: 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. Read SEC document |
| October 05, 2020 Filed Oct 7, 2020 21:54 UTC | Augmedix, Inc. NONE · Entity 86996 | OtherCommon stock, par value $0.0001 per share | 16,667 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-20-030538 · 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: 4,733,333 F1 · kind: 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. F1 · price: 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. Read SEC document |
| September 29, 2020 Filed Sep 29, 2020 23:59 UTC | Amesite Inc. AMST · Entity 8151 | PurchaseCommon stock, par value $0.0001 per share | 20,000 | $5.00 | $100,000.00 |
DisclosureSEC source: 0001213900-20-028996 · ownership.xml · nonDerivative · entry 1 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,920,667 F1 · kind: In connection with the Issuer's initial public offering (the "IPO"), which closed on July 29, 2019, the Reporting Person purchased 20,000 shares of common stock at the IPO price of $5.00 per share. Read SEC document |
| February 12, 2020 Filed Feb 14, 2020 19:31 UTC | Transphorm, Inc. NONE · Entity 15192 | PurchaseCommon Stock, par value $0.0001 | 25,000 | $4.00 | $100,000.00 |
DisclosureSEC source: 0001213900-20-004044 · 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: 1,525,000 F2 · shares: These shares were purchased in the initial closing of the Issuer's private placement offering held on February 12, 2020. Read SEC document |
| February 12, 2020 Filed Feb 14, 2020 19:31 UTC | Transphorm, Inc. NONE · Entity 15192 | OtherCommon Stock, par value $0.0001 | 657,699 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-20-004044 · 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: 1,500,000 F1 · kind: 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. F1 · price: 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. Read SEC document |
| September 06, 2018 Filed Sep 6, 2018 17:08 UTC | Amesite Inc. NONE · Entity 149985 | SaleCommon Stock, par value $0.0001 per share | 50,000 | $0.08 | $4,000.00 |
DisclosureSEC source: 0001213900-18-012219 · ownership.xml · nonDerivative · entry 1 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,900,668 Read SEC document |
| April 27, 2018 Filed May 1, 2018 18:02 UTC | Amesite Inc. NONE · Entity 149985 | GrantCommon Stock, par value $0.0001 per share | 83,334 | $1.20 | $100,000.80 |
DisclosureSEC source: 0001213900-18-005364 · f4042718tompkins_amesite.xml · nonDerivative · entry 1 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,950,668 Read SEC document |
| December 28, 2017 Filed Dec 29, 2017 22:02 UTC | Akoustis Technologies, Inc. AKTS · Entity 88229 | SaleCommon Stock | 10,000 | $6.25 | $62,500.00 |
DisclosureSEC source: 0001615774-17-007698 · s108581_form4.xml · nonDerivative · entry 6 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,174,160 Read SEC document |
| December 28, 2017 Filed Dec 29, 2017 22:02 UTC | Akoustis Technologies, Inc. AKTS · Entity 88229 | SaleCommon Stock | 5,000 | $6.23 | $31,150.00 |
DisclosureSEC source: 0001615774-17-007698 · s108581_form4.xml · nonDerivative · entry 5 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,184,160 Read SEC document |
| December 27, 2017 Filed Dec 29, 2017 22:02 UTC | Akoustis Technologies, Inc. AKTS · Entity 88229 | SaleCommon Stock | 581 | $6.10 | $3,543.87 |
DisclosureSEC source: 0001615774-17-007698 · s108581_form4.xml · nonDerivative · entry 4 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,189,160 Read SEC document |
| December 27, 2017 Filed Dec 29, 2017 22:02 UTC | Akoustis Technologies, Inc. AKTS · Entity 88229 | SaleCommon Stock | 5,000 | $6.04 | $30,204.00 |
DisclosureSEC source: 0001615774-17-007698 · s108581_form4.xml · nonDerivative · entry 3 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,189,741 Read SEC document |
| December 27, 2017 Filed Dec 29, 2017 22:02 UTC | Akoustis Technologies, Inc. AKTS · Entity 88229 | SaleCommon Stock | 5,000 | $6.00 | $30,018.00 |
DisclosureSEC source: 0001615774-17-007698 · s108581_form4.xml · nonDerivative · entry 2 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,194,741 Read SEC document |
| December 27, 2017 Filed Dec 29, 2017 22:02 UTC | Akoustis Technologies, Inc. AKTS · Entity 88229 | SaleCommon Stock | 5,000 | $6.04 | $30,213.00 |
DisclosureSEC source: 0001615774-17-007698 · s108581_form4.xml · nonDerivative · entry 1 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,199,741 Read SEC document |
| December 22, 2017 Filed Dec 27, 2017 22:00 UTC | Akoustis Technologies, Inc. AKTS · Entity 88229 | SaleCommon Stock | 12,500 | $6.28 | $78,500.00 |
DisclosureSEC source: 0001615774-17-007629 · s108556_form4.xml · nonDerivative · entry 1 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,204,741 Read SEC document |
| December 21, 2017 Filed Dec 22, 2017 22:08 UTC | Akoustis Technologies, Inc. AKTS · Entity 88229 | SaleCommon Stock | 10,000 | $6.27 | $62,700.00 |
DisclosureSEC source: 0001615774-17-007576 · s108532_form4.xml · nonDerivative · entry 1 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,217,241 Read SEC document |
| December 20, 2017 Filed Dec 21, 2017 22:01 UTC | Akoustis Technologies, Inc. AKTS · Entity 88229 | SaleCommon Stock | 10,000 | $6.00 | $59,978.00 |
DisclosureSEC source: 0001615774-17-007533 · s108509_form4.xml · nonDerivative · entry 4 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,227,241 Read SEC document |
| December 19, 2017 Filed Dec 21, 2017 22:01 UTC | Akoustis Technologies, Inc. AKTS · Entity 88229 | SaleCommon Stock | 6,000 | $6.27 | $37,645.80 |
DisclosureSEC source: 0001615774-17-007533 · s108509_form4.xml · nonDerivative · entry 3 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,237,241 Read SEC document |
| December 19, 2017 Filed Dec 21, 2017 22:01 UTC | Akoustis Technologies, Inc. AKTS · Entity 88229 | SaleCommon Stock | 3,288 | $6.25 | $20,537.18 |
DisclosureSEC source: 0001615774-17-007533 · s108509_form4.xml · nonDerivative · entry 2 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,243,241 Read SEC document |
| December 19, 2017 Filed Dec 21, 2017 22:01 UTC | Akoustis Technologies, Inc. AKTS · Entity 88229 | SaleCommon Stock | 5,225 | $6.76 | $35,326.23 |
DisclosureSEC source: 0001615774-17-007533 · s108509_form4.xml · nonDerivative · entry 1 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,246,529 Read SEC document |
| September 28, 2017 Filed Sep 29, 2017 20:45 UTC | Akoustis Technologies, Inc. AKTS · Entity 88229 | SaleCommon Stock | 22,955 | $6.84 | $156,904.31 |
DisclosureSEC source: 0001615774-17-005478 · s107654_form4.xml · nonDerivative · entry 1 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,251,754 Read SEC document |
| September 26, 2017 Filed Sep 28, 2017 17:14 UTC | EXICURE, INC. NONE · Entity 8068 | PurchaseCommon Stock | 166,667 | $3.00 | $500,001.00 |
DisclosureSEC source: 0001213900-17-010071 · f4092617tompkins_max1acqu.xml · nonDerivative · entry 1 Tompkins Mark N. · CIK 0001455971 · Former Director and 10% Owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,825,667 Read SEC document |
| September 22, 2017 Filed Sep 26, 2017 22:04 UTC | EXICURE, INC. NONE · Entity 8068 | GrantCommon Stock | 43,160 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001213900-17-010013 · f4092217tompkins_max1acq.xml · nonDerivative · entry 2 Tompkins Mark N. · CIK 0001455971 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Montrose Capital Partners Limited Disclosed balance after: 108,160 F2 · shares: 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. F1 · price: These shares were received for services rendered in connection with a proposed merger among the issuer, Exicure, Inc., and Max-1 Acquisition Sub, Inc., a wholly owned subsidiary of the issuer. Read SEC document |
| September 22, 2017 Filed Sep 26, 2017 22:04 UTC | EXICURE, INC. NONE · Entity 8068 | GrantCommon Stock | 659,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001213900-17-010013 · f4092217tompkins_max1acq.xml · nonDerivative · entry 1 Tompkins Mark N. · CIK 0001455971 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,659,000 F1 · price: These shares were received for services rendered in connection with a proposed merger among the issuer, Exicure, Inc., and Max-1 Acquisition Sub, Inc., a wholly owned subsidiary of the issuer. Read SEC document |
| September 21, 2017 Filed Sep 22, 2017 20:48 UTC | Akoustis Technologies, Inc. AKTS · Entity 88229 | SaleCommon Stock | 2,846 | $7.20 | $20,491.20 |
DisclosureSEC source: 0001615774-17-005302 · s107590_form4.xml · nonDerivative · entry 4 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,274,709 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.