person · Reporting owner

BREITMEYER JAMES B

Disclosed activity across 4 companies

Tapewire entity: 29984
SEC CIK: 0001244823

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
OTONOMY, INC.OTIC · Entity 116495	Director	June 21, 2022	June 23, 2022
Oncternal Therapeutics, Inc.ONCT · Entity 89585	Director · Chief Executive Officer	February 14, 2024	February 15, 2024
Vaxart, Inc.VXRT · Entity 6654	Director	July 16, 2026	July 18, 2026

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

OTONOMY, INC.

Report date June 21, 2022 · Filed June 23, 2022

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.95 · Expires 2032-06-20	Direct	27,500	Reported balance After 2022-06-21 transaction · row 1 Instrument identity requires review; Table II rows are not merged. 1 source row Row 1 · 2022-06-21 · Grant · Acquired 27,500 · Balance 27,500 F1: 100% of the shares subject to the option shall vest upon the earlier of (i) the one year anniversary of the grant date, and (ii) the date of the Issuer's next annual meeting of stockholders occurring after the grant date, provided that the Reporting Person remains a service provider through such date.

Filing footnotes · ownership attribution and instrument terms

F1: 100% of the shares subject to the option shall vest upon the earlier of (i) the one year anniversary of the grant date, and (ii) the date of the Issuer's next annual meeting of stockholders occurring after the grant date, provided that the Reporting Person remains a service provider through such date.

Oncternal Therapeutics, Inc.

Report date February 14, 2024 · Filed February 15, 2024

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $9.18 · Expires 2034-02-14	Direct	28,400	Reported balance After 2024-02-14 transaction · row 1 Instrument identity requires review; Table II rows are not merged. 1 source row Row 1 · 2024-02-14 · Grant · Acquired 28,400 · Balance 28,400 F1: 25% of the shares subject to the stock option vest on first anniversary of the date of grant, and the remaining shares subject to the option vest in 36 equal monthly installments, subject to the recipient's continued employment or service with the Issuer on each such date.
Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $9.18 · Expires 2034-02-14	IndirectBy Spouse	6,200	Reported balance After 2024-02-14 transaction · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · 2024-02-14 · Grant · Acquired 6,200 · Balance 6,200 F1: 25% of the shares subject to the stock option vest on first anniversary of the date of grant, and the remaining shares subject to the option vest in 36 equal monthly installments, subject to the recipient's continued employment or service with the Issuer on each such date.

Filing footnotes · ownership attribution and instrument terms

F1: 25% of the shares subject to the stock option vest on first anniversary of the date of grant, and the remaining shares subject to the option vest in 36 equal monthly installments, subject to the recipient's continued employment or service with the Issuer on each such date.

Vaxart, Inc.

Report date July 16, 2026 · Filed July 18, 2026

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	87,115	Reported balance After 2026-07-16 transaction · row 1 1 source row Row 1 · 2026-07-16 · Grant · Acquired 8,315 · Balance 87,115 F1: Grant of shares upon vesting of restricted stock units. The shares underlying the award shall vest on the earlier of the date immediately prior of the 2027 annual meeting of stockholders of the Issuer and July 16, 2027, the first anniversary date of the grant.
Stock Options (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.51 · Expires 2036-07-16	Direct	16,610	Reported balance After 2026-07-16 transaction · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · 2026-07-16 · Grant · Acquired 16,610 · Balance 16,610 F2: The shares subject to this option shall vest on the earlier of the date immediately prior of the 2027 annual meeting of stockholders of the Issuer and July 16, 2027, the first anniversary of the date of the grant.

Filing footnotes · ownership attribution and instrument terms

F1: Grant of shares upon vesting of restricted stock units. The shares underlying the award shall vest on the earlier of the date immediately prior of the 2027 annual meeting of stockholders of the Issuer and July 16, 2027, the first anniversary date of the grant.

F2: The shares subject to this option shall vest on the earlier of the date immediately prior of the 2027 annual meeting of stockholders of the Issuer and July 16, 2027, the first anniversary of the date of the grant.

Past disclosures · reporting ended (1)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

ZOGENIX, INC.

Report date March 07, 2022 · Filed March 09, 2022

Section 16 reporting ended · disclosed 2022-03-09. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosure context
Common StockSEC Table I · non-derivative	Direct	Reported balance After 2022-03-07 transaction · row 1 1 source row Row 1 · 2022-03-07 · Other · Disposed 1,250 · Balance 0 F1: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger, dated January 18, 2022, (the "Merger Agreement"), among UCB S.A., a societe anonyme formed under the laws of Belgium ("Parent"), Zinc Merger Sub, Inc., a Delaware corporation and an indirect wholly owned subsidiary of Parent ("Purchaser") and the Issuer, pursuant to which Purchaser completed a tender offer for shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer (the "Merger") effective as of March 7, 2022 (the "Effective Time"). At the Effective Time, each issued and outstanding Share was canceled and converted into the right to receive $26.00 in cash (the "Cash Amount") plus a contingent value right ("CVR"), which CVR represents the right to receive a contingent payment of $2.00 which amount will become payable, if at all, if a specified milestone is achieved on or prior to December 31, 2023.
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $24.56 · Expires 2024-03-24	Direct	Reported balance After 2022-03-07 transaction · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · 2022-03-07 · Disposition to issuer · Disposed 9,375 · Balance 0 F2: Upon the terms and subject to the conditions set forth in the Merger Agreement, (a) each outstanding option to purchase Shares (each, a "Company Option") with an exercise price less than $26.00 (each, an "In the Money Option"), was canceled and converted into the right to receive an amount in cash equal to, subject to applicable tax withholding, the product of (i) the excess, if any of the Cash Amount over the exercise price per Share underlying such In the Money Option, multiplied by (ii) the total number of Shares subject to such In the Money Options and one CVR; (b) each Company Option with an exercise price equal to or greater than $26.00 but less than $28.00 (each, an "Out of the Money Option"), F3: (Continued from Footnote 2) was canceled and converted into the right to receive, subject to the terms of the Merger Agreement, if and when (and only if and when) payments in respect of CVRs are required to be made, $28.00 in cash (less the applicable exercise price per Share subject to such Out of the Money Option); (c) each Company Option with an exercise price equal to or greater than $28.00, was canceled for no consideration.
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $15.52 · Expires 2024-05-20	Direct	Reported balance After 2022-03-07 transaction · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · 2022-03-07 · Disposition to issuer · Disposed 6,250 · Balance 0 F2: Upon the terms and subject to the conditions set forth in the Merger Agreement, (a) each outstanding option to purchase Shares (each, a "Company Option") with an exercise price less than $26.00 (each, an "In the Money Option"), was canceled and converted into the right to receive an amount in cash equal to, subject to applicable tax withholding, the product of (i) the excess, if any of the Cash Amount over the exercise price per Share underlying such In the Money Option, multiplied by (ii) the total number of Shares subject to such In the Money Options and one CVR; (b) each Company Option with an exercise price equal to or greater than $26.00 but less than $28.00 (each, an "Out of the Money Option"), F3: (Continued from Footnote 2) was canceled and converted into the right to receive, subject to the terms of the Merger Agreement, if and when (and only if and when) payments in respect of CVRs are required to be made, $28.00 in cash (less the applicable exercise price per Share subject to such Out of the Money Option); (c) each Company Option with an exercise price equal to or greater than $28.00, was canceled for no consideration.
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $12.80 · Expires 2025-06-17	Direct	Reported balance After 2022-03-07 transaction · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · 2022-03-07 · Disposition to issuer · Disposed 9,000 · Balance 0 F2: Upon the terms and subject to the conditions set forth in the Merger Agreement, (a) each outstanding option to purchase Shares (each, a "Company Option") with an exercise price less than $26.00 (each, an "In the Money Option"), was canceled and converted into the right to receive an amount in cash equal to, subject to applicable tax withholding, the product of (i) the excess, if any of the Cash Amount over the exercise price per Share underlying such In the Money Option, multiplied by (ii) the total number of Shares subject to such In the Money Options and one CVR; (b) each Company Option with an exercise price equal to or greater than $26.00 but less than $28.00 (each, an "Out of the Money Option"), F3: (Continued from Footnote 2) was canceled and converted into the right to receive, subject to the terms of the Merger Agreement, if and when (and only if and when) payments in respect of CVRs are required to be made, $28.00 in cash (less the applicable exercise price per Share subject to such Out of the Money Option); (c) each Company Option with an exercise price equal to or greater than $28.00, was canceled for no consideration.
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $8.99 · Expires 2026-07-12	Direct	Reported balance After 2022-03-07 transaction · row 5 Instrument identity requires review; Table II rows are not merged. 1 source row Row 5 · 2022-03-07 · Disposition to issuer · Disposed 10,000 · Balance 0 F2: Upon the terms and subject to the conditions set forth in the Merger Agreement, (a) each outstanding option to purchase Shares (each, a "Company Option") with an exercise price less than $26.00 (each, an "In the Money Option"), was canceled and converted into the right to receive an amount in cash equal to, subject to applicable tax withholding, the product of (i) the excess, if any of the Cash Amount over the exercise price per Share underlying such In the Money Option, multiplied by (ii) the total number of Shares subject to such In the Money Options and one CVR; (b) each Company Option with an exercise price equal to or greater than $26.00 but less than $28.00 (each, an "Out of the Money Option"), F3: (Continued from Footnote 2) was canceled and converted into the right to receive, subject to the terms of the Merger Agreement, if and when (and only if and when) payments in respect of CVRs are required to be made, $28.00 in cash (less the applicable exercise price per Share subject to such Out of the Money Option); (c) each Company Option with an exercise price equal to or greater than $28.00, was canceled for no consideration.
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $12.75 · Expires 2027-05-22	Direct	Reported balance After 2022-03-07 transaction · row 6 Instrument identity requires review; Table II rows are not merged. 1 source row Row 6 · 2022-03-07 · Disposition to issuer · Disposed 20,000 · Balance 0 F2: Upon the terms and subject to the conditions set forth in the Merger Agreement, (a) each outstanding option to purchase Shares (each, a "Company Option") with an exercise price less than $26.00 (each, an "In the Money Option"), was canceled and converted into the right to receive an amount in cash equal to, subject to applicable tax withholding, the product of (i) the excess, if any of the Cash Amount over the exercise price per Share underlying such In the Money Option, multiplied by (ii) the total number of Shares subject to such In the Money Options and one CVR; (b) each Company Option with an exercise price equal to or greater than $26.00 but less than $28.00 (each, an "Out of the Money Option"), F3: (Continued from Footnote 2) was canceled and converted into the right to receive, subject to the terms of the Merger Agreement, if and when (and only if and when) payments in respect of CVRs are required to be made, $28.00 in cash (less the applicable exercise price per Share subject to such Out of the Money Option); (c) each Company Option with an exercise price equal to or greater than $28.00, was canceled for no consideration.
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $17.83 · Expires 2031-05-26	Direct	Reported balance After 2022-03-07 transaction · row 7 Instrument identity requires review; Table II rows are not merged. 1 source row Row 7 · 2022-03-07 · Disposition to issuer · Disposed 22,000 · Balance 0 F2: Upon the terms and subject to the conditions set forth in the Merger Agreement, (a) each outstanding option to purchase Shares (each, a "Company Option") with an exercise price less than $26.00 (each, an "In the Money Option"), was canceled and converted into the right to receive an amount in cash equal to, subject to applicable tax withholding, the product of (i) the excess, if any of the Cash Amount over the exercise price per Share underlying such In the Money Option, multiplied by (ii) the total number of Shares subject to such In the Money Options and one CVR; (b) each Company Option with an exercise price equal to or greater than $26.00 but less than $28.00 (each, an "Out of the Money Option"), F3: (Continued from Footnote 2) was canceled and converted into the right to receive, subject to the terms of the Merger Agreement, if and when (and only if and when) payments in respect of CVRs are required to be made, $28.00 in cash (less the applicable exercise price per Share subject to such Out of the Money Option); (c) each Company Option with an exercise price equal to or greater than $28.00, was canceled for no consideration.

Filing footnotes · ownership attribution and instrument terms

F1: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger, dated January 18, 2022, (the "Merger Agreement"), among UCB S.A., a societe anonyme formed under the laws of Belgium ("Parent"), Zinc Merger Sub, Inc., a Delaware corporation and an indirect wholly owned subsidiary of Parent ("Purchaser") and the Issuer, pursuant to which Purchaser completed a tender offer for shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer (the "Merger") effective as of March 7, 2022 (the "Effective Time"). At the Effective Time, each issued and outstanding Share was canceled and converted into the right to receive $26.00 in cash (the "Cash Amount") plus a contingent value right ("CVR"), which CVR represents the right to receive a contingent payment of $2.00 which amount will become payable, if at all, if a specified milestone is achieved on or prior to December 31, 2023.

F2: Upon the terms and subject to the conditions set forth in the Merger Agreement, (a) each outstanding option to purchase Shares (each, a "Company Option") with an exercise price less than $26.00 (each, an "In the Money Option"), was canceled and converted into the right to receive an amount in cash equal to, subject to applicable tax withholding, the product of (i) the excess, if any of the Cash Amount over the exercise price per Share underlying such In the Money Option, multiplied by (ii) the total number of Shares subject to such In the Money Options and one CVR; (b) each Company Option with an exercise price equal to or greater than $26.00 but less than $28.00 (each, an "Out of the Money Option"),

F3: (Continued from Footnote 2) was canceled and converted into the right to receive, subject to the terms of the Merger Agreement, if and when (and only if and when) payments in respect of CVRs are required to be made, $28.00 in cash (less the applicable exercise price per Share subject to such Out of the Money Option); (c) each Company Option with an exercise price equal to or greater than $28.00, was canceled for no consideration.

Transaction history

JSON API

Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction date	Company	Activity / security	Shares / units	Reported price	Reported value	Details
July 16, 2026 Filed Jul 18, 2026 01:50 UTC	Vaxart, Inc. VXRT · Entity 6654	GrantStock Options (right to buy) · Derivative	16,610	$0.00 Strike: $0.51	$0.00	Disclosure SEC source: 0001437749-26-023810 · rdgdoc.xml · derivative · entry 2 BREITMEYER JAMES B · CIK 0001244823 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 16,610 Underlying: Common Stock · 16,610 shares Expires 2036-07-16 F2 · derivative.exercise_date: The shares subject to this option shall vest on the earlier of the date immediately prior of the 2027 annual meeting of stockholders of the Issuer and July 16, 2027, the first anniversary of the date of the grant. Read SEC document
July 16, 2026 Filed Jul 18, 2026 01:50 UTC	Vaxart, Inc. VXRT · Entity 6654	GrantCommon Stock	8,315	$0.00	$0.00	Disclosure SEC source: 0001437749-26-023810 · rdgdoc.xml · nonDerivative · entry 1 BREITMEYER JAMES B · CIK 0001244823 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 87,115 F1 · shares: Grant of shares upon vesting of restricted stock units. The shares underlying the award shall vest on the earlier of the date immediately prior of the 2027 annual meeting of stockholders of the Issuer and July 16, 2027, the first anniversary date of the grant. Read SEC document
April 23, 2026 Filed May 2, 2026 00:55 UTC	Vaxart, Inc. VXRT · Entity 6654	GrantStock Option (right to buy) · Derivative	157,400	$0.00 Strike: $0.74	$0.00	Disclosure SEC source: 0001437749-26-014528 · rdgdoc.xml · derivative · entry 2 BREITMEYER JAMES B · CIK 0001244823 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 157,400 Underlying: Common Stock · 157,400 shares Expires 2036-04-23 F2 · derivative.exercise_date: The shares subject to this option shall vest in equal installments on each of the first three anniversaries of the grant date, subject to the reporting person's continuing service on the Board. Read SEC document
April 23, 2026 Filed May 2, 2026 00:55 UTC	Vaxart, Inc. VXRT · Entity 6654	GrantCommon Stock	78,800	$0.00	$0.00	Disclosure SEC source: 0001437749-26-014528 · rdgdoc.xml · nonDerivative · entry 1 BREITMEYER JAMES B · CIK 0001244823 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 78,800 F1 · shares: Grant of shares upon vesting of restricted stock units. The shares underlying the award shall vest in equal installments on each of the first three anniversaries of the grant date, subject to the reporting person's continuing service on the Board of Directors (the "Board"). Read SEC document
February 14, 2024 Filed Feb 15, 2024 18:00 UTC	Oncternal Therapeutics, Inc. ONCT · Entity 89585	GrantStock Option · Derivative	6,200	$0.00 Strike: $9.18	$0.00	Disclosure SEC source: 0001209191-24-003413 · doc4.xml · derivative · entry 2 BREITMEYER JAMES B · CIK 0001244823 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Indirect · By Spouse Disclosed balance after: 6,200 Underlying: Common Stock · 6,200 shares Expires 2034-02-14 F1 · derivative.exercise_date: 25% of the shares subject to the stock option vest on first anniversary of the date of grant, and the remaining shares subject to the option vest in 36 equal monthly installments, subject to the recipient's continued employment or service with the Issuer on each such date. Read SEC document
February 14, 2024 Filed Feb 15, 2024 18:00 UTC	Oncternal Therapeutics, Inc. ONCT · Entity 89585	GrantStock Option · Derivative	28,400	$0.00 Strike: $9.18	$0.00	Disclosure SEC source: 0001209191-24-003413 · doc4.xml · derivative · entry 1 BREITMEYER JAMES B · CIK 0001244823 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 28,400 Underlying: Common Stock · 28,400 shares Expires 2034-02-14 F1 · derivative.exercise_date: 25% of the shares subject to the stock option vest on first anniversary of the date of grant, and the remaining shares subject to the option vest in 36 equal monthly installments, subject to the recipient's continued employment or service with the Issuer on each such date. Read SEC document
January 03, 2024 Filed Jan 5, 2024 16:00 UTC	Oncternal Therapeutics, Inc. ONCT · Entity 89585	Tax withholdingCommon Stock	4,485	$0.50	$2,225.01	Disclosure SEC source: 0001209191-24-000970 · doc4.xml · nonDerivative · entry 2 BREITMEYER JAMES B · CIK 0001244823 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Indirect · By Spouse Disclosed balance after: 15,426 F1 · shares: Shares withheld by the Issuer to satisfy statutory tax withholding requirements on vesting of restricted stock units. Read SEC document
January 03, 2024 Filed Jan 5, 2024 16:00 UTC	Oncternal Therapeutics, Inc. ONCT · Entity 89585	Tax withholdingCommon Stock	50,955	$0.50	$25,278.78	Disclosure SEC source: 0001209191-24-000970 · doc4.xml · nonDerivative · entry 1 BREITMEYER JAMES B · CIK 0001244823 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 443,034 F1 · shares: Shares withheld by the Issuer to satisfy statutory tax withholding requirements on vesting of restricted stock units. Read SEC document
October 02, 2023 Filed Oct 4, 2023 17:00 UTC	Oncternal Therapeutics, Inc. ONCT · Entity 89585	GrantStock Option · Derivative	65,000	Not disclosed Strike: $0.31	Not disclosed	Disclosure SEC source: 0001209191-23-052019 · doc4.xml · derivative · entry 24 BREITMEYER JAMES B · CIK 0001244823 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Indirect · By Spouse Disclosed balance after: 65,000 Underlying: Common Stock · 65,000 shares Expires 2033-02-21 F8 · derivative.exercise_price: The exercise price of the option is $0.31 per share, representing the fair market value per share of the common stock on the grant date; provided that the exercise price will be increased to the original exercise price before repricing if, prior to April 2, 2025: (i) recipient's employment or service terminates, other than due to a Qualifying Termination; or (ii) the option is exercised. F2 · price: On October 2, 2023, the Issuer repriced the option. Except as described further in footnotes 7 and 8, all other terms of the option remain unchanged. F6 · derivative.exercise_date: 25% of the Option Shares vest on February 21, 2024, and the remaining Option Shares vest in 36 equal monthly installments thereafter, subject to the recipient's continued service. Read SEC document
October 02, 2023 Filed Oct 4, 2023 17:00 UTC	Oncternal Therapeutics, Inc. ONCT · Entity 89585	GrantStock Option · Derivative	12,500	Not disclosed Strike: $0.31	Not disclosed	Disclosure SEC source: 0001209191-23-052019 · doc4.xml · derivative · entry 23 BREITMEYER JAMES B · CIK 0001244823 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Indirect · By Spouse Disclosed balance after: 12,500 Underlying: Common Stock · 12,500 shares Expires 2023-07-28 F8 · derivative.exercise_price: The exercise price of the option is $0.31 per share, representing the fair market value per share of the common stock on the grant date; provided that the exercise price will be increased to the original exercise price before repricing if, prior to April 2, 2025: (i) recipient's employment or service terminates, other than due to a Qualifying Termination; or (ii) the option is exercised. F2 · price: On October 2, 2023, the Issuer repriced the option. Except as described further in footnotes 7 and 8, all other terms of the option remain unchanged. F5 · derivative.exercise_date: 50% of the Option Shares vested on July 3, 2023, and 50% of the Option Shares vest on January 3, 2024, subject to the recipient's continued service. All of the Option Shares vest in the event of a Change in Control (as defined in the Issuer's 2019 Incentive Award Plan). Read SEC document
October 02, 2023 Filed Oct 4, 2023 17:00 UTC	Oncternal Therapeutics, Inc. ONCT · Entity 89585	GrantStock Option · Derivative	165,000	Not disclosed Strike: $0.31	Not disclosed	Disclosure SEC source: 0001209191-23-052019 · doc4.xml · derivative · entry 22 BREITMEYER JAMES B · CIK 0001244823 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Indirect · By Spouse Disclosed balance after: 165,000 Underlying: Common Stock · 165,000 shares Expires 2032-01-20 F8 · derivative.exercise_price: The exercise price of the option is $0.31 per share, representing the fair market value per share of the common stock on the grant date; provided that the exercise price will be increased to the original exercise price before repricing if, prior to April 2, 2025: (i) recipient's employment or service terminates, other than due to a Qualifying Termination; or (ii) the option is exercised. F2 · price: On October 2, 2023, the Issuer repriced the option. Except as described further in footnotes 7 and 8, all other terms of the option remain unchanged. F4 · derivative.exercise_date: 25% of the Option Shares vested on January 20, 2023, and the remaining Option Shares vest in 36 equal monthly installments thereafter, subject to the recipient's continued service. Read SEC document
October 02, 2023 Filed Oct 4, 2023 17:00 UTC	Oncternal Therapeutics, Inc. ONCT · Entity 89585	GrantStock Option · Derivative	2,000	Not disclosed Strike: $0.31	Not disclosed	Disclosure SEC source: 0001209191-23-052019 · doc4.xml · derivative · entry 21 BREITMEYER JAMES B · CIK 0001244823 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Indirect · By Spouse Disclosed balance after: 2,000 Underlying: Common Stock · 2,000 shares Expires 2031-02-21 F7 · derivative.exercise_price: The exercise price of the option is $0.31 per share, representing the fair market value per share of the common stock on the grant date; provided that the exercise price will be increased to the original exercise price before repricing if, prior to October 2, 2024: (i) recipient's employment or service terminates, other than due to death, disability, or circumstances giving rise to severance under the recipient's employment agreement (a "Qualifying Termination"); or (ii) the option is exercised. F2 · price: On October 2, 2023, the Issuer repriced the option. Except as described further in footnotes 7 and 8, all other terms of the option remain unchanged. F10 · derivative.exercise_date: 25% of the Option Shares vested on February 21, 2022, and the remaining Option Shares vest in 36 equal monthly installments thereafter, subject to the recipient's continued service. Read SEC document
October 02, 2023 Filed Oct 4, 2023 17:00 UTC	Oncternal Therapeutics, Inc. ONCT · Entity 89585	GrantStock Option · Derivative	7,000	Not disclosed Strike: $0.31	Not disclosed	Disclosure SEC source: 0001209191-23-052019 · doc4.xml · derivative · entry 20 BREITMEYER JAMES B · CIK 0001244823 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Indirect · By Spouse Disclosed balance after: 7,000 Underlying: Common Stock · 7,000 shares Expires 2031-01-27 F7 · derivative.exercise_price: The exercise price of the option is $0.31 per share, representing the fair market value per share of the common stock on the grant date; provided that the exercise price will be increased to the original exercise price before repricing if, prior to October 2, 2024: (i) recipient's employment or service terminates, other than due to death, disability, or circumstances giving rise to severance under the recipient's employment agreement (a "Qualifying Termination"); or (ii) the option is exercised. F2 · price: On October 2, 2023, the Issuer repriced the option. Except as described further in footnotes 7 and 8, all other terms of the option remain unchanged. F9 · derivative.exercise_date: 25% of the Option Shares vested on January 27, 2022, and the remaining Option Shares vest in 36 equal monthly installments thereafter, subject to the recipient's continued service. Read SEC document
October 02, 2023 Filed Oct 4, 2023 17:00 UTC	Oncternal Therapeutics, Inc. ONCT · Entity 89585	GrantStock Option · Derivative	22,000	Not disclosed Strike: $0.31	Not disclosed	Disclosure SEC source: 0001209191-23-052019 · doc4.xml · derivative · entry 19 BREITMEYER JAMES B · CIK 0001244823 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Indirect · By Spouse Disclosed balance after: 12,240 Underlying: Common Stock · 12,240 shares Expires 2030-01-07 F7 · derivative.exercise_price: The exercise price of the option is $0.31 per share, representing the fair market value per share of the common stock on the grant date; provided that the exercise price will be increased to the original exercise price before repricing if, prior to October 2, 2024: (i) recipient's employment or service terminates, other than due to death, disability, or circumstances giving rise to severance under the recipient's employment agreement (a "Qualifying Termination"); or (ii) the option is exercised. F2 · price: On October 2, 2023, the Issuer repriced the option. Except as described further in footnotes 7 and 8, all other terms of the option remain unchanged. F1 · derivative.exercise_date: The shares subject to the option (the "Option Shares") are fully vested. Read SEC document
October 02, 2023 Filed Oct 4, 2023 17:00 UTC	Oncternal Therapeutics, Inc. ONCT · Entity 89585	Disposition to issuerStock Option · Derivative	65,000	Not disclosed Strike: $0.96	Not disclosed	Disclosure SEC source: 0001209191-23-052019 · doc4.xml · derivative · entry 18 BREITMEYER JAMES B · CIK 0001244823 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Indirect · By Spouse Disclosed balance after: 0 Underlying: Common Stock · 65,000 shares Expires 2033-02-21 F2 · price: On October 2, 2023, the Issuer repriced the option. Except as described further in footnotes 7 and 8, all other terms of the option remain unchanged. F6 · derivative.exercise_date: 25% of the Option Shares vest on February 21, 2024, and the remaining Option Shares vest in 36 equal monthly installments thereafter, subject to the recipient's continued service. Read SEC document
October 02, 2023 Filed Oct 4, 2023 17:00 UTC	Oncternal Therapeutics, Inc. ONCT · Entity 89585	Disposition to issuerStock Option · Derivative	12,500	Not disclosed Strike: $1.04	Not disclosed	Disclosure SEC source: 0001209191-23-052019 · doc4.xml · derivative · entry 17 BREITMEYER JAMES B · CIK 0001244823 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Indirect · By Spouse Disclosed balance after: 0 Underlying: Common Stock · 22,000 shares Expires 2023-07-28 F2 · price: On October 2, 2023, the Issuer repriced the option. Except as described further in footnotes 7 and 8, all other terms of the option remain unchanged. F5 · derivative.exercise_date: 50% of the Option Shares vested on July 3, 2023, and 50% of the Option Shares vest on January 3, 2024, subject to the recipient's continued service. All of the Option Shares vest in the event of a Change in Control (as defined in the Issuer's 2019 Incentive Award Plan). Read SEC document
October 02, 2023 Filed Oct 4, 2023 17:00 UTC	Oncternal Therapeutics, Inc. ONCT · Entity 89585	Disposition to issuerStock Option · Derivative	165,000	Not disclosed Strike: $1.94	Not disclosed	Disclosure SEC source: 0001209191-23-052019 · doc4.xml · derivative · entry 16 BREITMEYER JAMES B · CIK 0001244823 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Indirect · By Spouse Disclosed balance after: 0 Underlying: Common Stock · 165,000 shares Expires 2032-01-20 F2 · price: On October 2, 2023, the Issuer repriced the option. Except as described further in footnotes 7 and 8, all other terms of the option remain unchanged. F4 · derivative.exercise_date: 25% of the Option Shares vested on January 20, 2023, and the remaining Option Shares vest in 36 equal monthly installments thereafter, subject to the recipient's continued service. Read SEC document
October 02, 2023 Filed Oct 4, 2023 17:00 UTC	Oncternal Therapeutics, Inc. ONCT · Entity 89585	Disposition to issuerStock Option · Derivative	2,000	Not disclosed Strike: $7.48	Not disclosed	Disclosure SEC source: 0001209191-23-052019 · doc4.xml · derivative · entry 15 BREITMEYER JAMES B · CIK 0001244823 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Indirect · By Spouse Disclosed balance after: 0 Underlying: Common Stock · 2,000 shares Expires 2031-02-21 F2 · price: On October 2, 2023, the Issuer repriced the option. Except as described further in footnotes 7 and 8, all other terms of the option remain unchanged. F10 · derivative.exercise_date: 25% of the Option Shares vested on February 21, 2022, and the remaining Option Shares vest in 36 equal monthly installments thereafter, subject to the recipient's continued service. Read SEC document
October 02, 2023 Filed Oct 4, 2023 17:00 UTC	Oncternal Therapeutics, Inc. ONCT · Entity 89585	Disposition to issuerStock Option · Derivative	7,000	Not disclosed Strike: $5.33	Not disclosed	Disclosure SEC source: 0001209191-23-052019 · doc4.xml · derivative · entry 14 BREITMEYER JAMES B · CIK 0001244823 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Indirect · By Spouse Disclosed balance after: 0 Underlying: Common Stock · 7,000 shares Expires 2031-01-27 F2 · price: On October 2, 2023, the Issuer repriced the option. Except as described further in footnotes 7 and 8, all other terms of the option remain unchanged. F9 · derivative.exercise_date: 25% of the Option Shares vested on January 27, 2022, and the remaining Option Shares vest in 36 equal monthly installments thereafter, subject to the recipient's continued service. Read SEC document
October 02, 2023 Filed Oct 4, 2023 17:00 UTC	Oncternal Therapeutics, Inc. ONCT · Entity 89585	Disposition to issuerStock Option · Derivative	22,000	Not disclosed Strike: $4.13	Not disclosed	Disclosure SEC source: 0001209191-23-052019 · doc4.xml · derivative · entry 13 BREITMEYER JAMES B · CIK 0001244823 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Indirect · By Spouse Disclosed balance after: 0 Underlying: Common Stock · 22,000 shares Expires 2030-01-07 F2 · price: On October 2, 2023, the Issuer repriced the option. Except as described further in footnotes 7 and 8, all other terms of the option remain unchanged. F1 · derivative.exercise_date: The shares subject to the option (the "Option Shares") are fully vested. Read SEC document
October 02, 2023 Filed Oct 4, 2023 17:00 UTC	Oncternal Therapeutics, Inc. ONCT · Entity 89585	GrantStock Option · Derivative	650,000	Not disclosed Strike: $0.31	Not disclosed	Disclosure SEC source: 0001209191-23-052019 · doc4.xml · derivative · entry 12 BREITMEYER JAMES B · CIK 0001244823 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 650,000 Underlying: Common Stock · 650,000 shares Expires 2033-02-21 F8 · derivative.exercise_price: The exercise price of the option is $0.31 per share, representing the fair market value per share of the common stock on the grant date; provided that the exercise price will be increased to the original exercise price before repricing if, prior to April 2, 2025: (i) recipient's employment or service terminates, other than due to a Qualifying Termination; or (ii) the option is exercised. F2 · price: On October 2, 2023, the Issuer repriced the option. Except as described further in footnotes 7 and 8, all other terms of the option remain unchanged. F6 · derivative.exercise_date: 25% of the Option Shares vest on February 21, 2024, and the remaining Option Shares vest in 36 equal monthly installments thereafter, subject to the recipient's continued service. Read SEC document
October 02, 2023 Filed Oct 4, 2023 17:00 UTC	Oncternal Therapeutics, Inc. ONCT · Entity 89585	GrantStock Option · Derivative	123,750	Not disclosed Strike: $0.31	Not disclosed	Disclosure SEC source: 0001209191-23-052019 · doc4.xml · derivative · entry 11 BREITMEYER JAMES B · CIK 0001244823 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 123,750 Underlying: Common Stock · 123,750 shares Expires 2032-07-28 F8 · derivative.exercise_price: The exercise price of the option is $0.31 per share, representing the fair market value per share of the common stock on the grant date; provided that the exercise price will be increased to the original exercise price before repricing if, prior to April 2, 2025: (i) recipient's employment or service terminates, other than due to a Qualifying Termination; or (ii) the option is exercised. F2 · price: On October 2, 2023, the Issuer repriced the option. Except as described further in footnotes 7 and 8, all other terms of the option remain unchanged. F5 · derivative.exercise_date: 50% of the Option Shares vested on July 3, 2023, and 50% of the Option Shares vest on January 3, 2024, subject to the recipient's continued service. All of the Option Shares vest in the event of a Change in Control (as defined in the Issuer's 2019 Incentive Award Plan). Read SEC document
October 02, 2023 Filed Oct 4, 2023 17:00 UTC	Oncternal Therapeutics, Inc. ONCT · Entity 89585	GrantStock Option · Derivative	637,000	Not disclosed Strike: $0.31	Not disclosed	Disclosure SEC source: 0001209191-23-052019 · doc4.xml · derivative · entry 10 BREITMEYER JAMES B · CIK 0001244823 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 637,000 Underlying: Common Stock · 637,000 shares Expires 2032-01-20 F8 · derivative.exercise_price: The exercise price of the option is $0.31 per share, representing the fair market value per share of the common stock on the grant date; provided that the exercise price will be increased to the original exercise price before repricing if, prior to April 2, 2025: (i) recipient's employment or service terminates, other than due to a Qualifying Termination; or (ii) the option is exercised. F2 · price: On October 2, 2023, the Issuer repriced the option. Except as described further in footnotes 7 and 8, all other terms of the option remain unchanged. F4 · derivative.exercise_date: 25% of the Option Shares vested on January 20, 2023, and the remaining Option Shares vest in 36 equal monthly installments thereafter, subject to the recipient's continued service. Read SEC document
October 02, 2023 Filed Oct 4, 2023 17:00 UTC	Oncternal Therapeutics, Inc. ONCT · Entity 89585	GrantStock Option · Derivative	750,000	Not disclosed Strike: $0.31	Not disclosed	Disclosure SEC source: 0001209191-23-052019 · doc4.xml · derivative · entry 9 BREITMEYER JAMES B · CIK 0001244823 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 750,000 Underlying: Common Stock · 750,000 shares Expires 2031-02-11 F7 · derivative.exercise_price: The exercise price of the option is $0.31 per share, representing the fair market value per share of the common stock on the grant date; provided that the exercise price will be increased to the original exercise price before repricing if, prior to October 2, 2024: (i) recipient's employment or service terminates, other than due to death, disability, or circumstances giving rise to severance under the recipient's employment agreement (a "Qualifying Termination"); or (ii) the option is exercised. F2 · price: On October 2, 2023, the Issuer repriced the option. Except as described further in footnotes 7 and 8, all other terms of the option remain unchanged. F3 · derivative.exercise_date: 25% of the Option Shares vested on February 11, 2022, and the remaining Option Shares vest in 36 equal monthly installments thereafter, subject to the recipient's continued service. Read SEC document
October 02, 2023 Filed Oct 4, 2023 17:00 UTC	Oncternal Therapeutics, Inc. ONCT · Entity 89585	GrantStock Option · Derivative	66,890	Not disclosed Strike: $0.31	Not disclosed	Disclosure SEC source: 0001209191-23-052019 · doc4.xml · derivative · entry 8 BREITMEYER JAMES B · CIK 0001244823 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 66,890 Underlying: Common Stock · 66,890 shares Expires 2030-03-17 F7 · derivative.exercise_price: The exercise price of the option is $0.31 per share, representing the fair market value per share of the common stock on the grant date; provided that the exercise price will be increased to the original exercise price before repricing if, prior to October 2, 2024: (i) recipient's employment or service terminates, other than due to death, disability, or circumstances giving rise to severance under the recipient's employment agreement (a "Qualifying Termination"); or (ii) the option is exercised. F2 · price: On October 2, 2023, the Issuer repriced the option. Except as described further in footnotes 7 and 8, all other terms of the option remain unchanged. F1 · derivative.exercise_date: The shares subject to the option (the "Option Shares") are fully vested. Read SEC document
October 02, 2023 Filed Oct 4, 2023 17:00 UTC	Oncternal Therapeutics, Inc. ONCT · Entity 89585	GrantStock Option · Derivative	100,000	Not disclosed Strike: $0.31	Not disclosed	Disclosure SEC source: 0001209191-23-052019 · doc4.xml · derivative · entry 7 BREITMEYER JAMES B · CIK 0001244823 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock · 100,000 shares Expires 2029-09-12 F7 · derivative.exercise_price: The exercise price of the option is $0.31 per share, representing the fair market value per share of the common stock on the grant date; provided that the exercise price will be increased to the original exercise price before repricing if, prior to October 2, 2024: (i) recipient's employment or service terminates, other than due to death, disability, or circumstances giving rise to severance under the recipient's employment agreement (a "Qualifying Termination"); or (ii) the option is exercised. F2 · price: On October 2, 2023, the Issuer repriced the option. Except as described further in footnotes 7 and 8, all other terms of the option remain unchanged. F1 · derivative.exercise_date: The shares subject to the option (the "Option Shares") are fully vested. Read SEC document
October 02, 2023 Filed Oct 4, 2023 17:00 UTC	Oncternal Therapeutics, Inc. ONCT · Entity 89585	Disposition to issuerStock Option · Derivative	650,000	Not disclosed Strike: $0.96	Not disclosed	Disclosure SEC source: 0001209191-23-052019 · doc4.xml · derivative · entry 6 BREITMEYER JAMES B · CIK 0001244823 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 650,000 shares Expires 2033-02-21 F2 · price: On October 2, 2023, the Issuer repriced the option. Except as described further in footnotes 7 and 8, all other terms of the option remain unchanged. F6 · derivative.exercise_date: 25% of the Option Shares vest on February 21, 2024, and the remaining Option Shares vest in 36 equal monthly installments thereafter, subject to the recipient's continued service. Read SEC document
October 02, 2023 Filed Oct 4, 2023 17:00 UTC	Oncternal Therapeutics, Inc. ONCT · Entity 89585	Disposition to issuerStock Option · Derivative	123,750	Not disclosed Strike: $1.04	Not disclosed	Disclosure SEC source: 0001209191-23-052019 · doc4.xml · derivative · entry 5 BREITMEYER JAMES B · CIK 0001244823 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 123,750 shares Expires 2032-07-28 F2 · price: On October 2, 2023, the Issuer repriced the option. Except as described further in footnotes 7 and 8, all other terms of the option remain unchanged. F5 · derivative.exercise_date: 50% of the Option Shares vested on July 3, 2023, and 50% of the Option Shares vest on January 3, 2024, subject to the recipient's continued service. All of the Option Shares vest in the event of a Change in Control (as defined in the Issuer's 2019 Incentive Award Plan). Read SEC document
October 02, 2023 Filed Oct 4, 2023 17:00 UTC	Oncternal Therapeutics, Inc. ONCT · Entity 89585	Disposition to issuerStock Option · Derivative	637,000	Not disclosed Strike: $1.94	Not disclosed	Disclosure SEC source: 0001209191-23-052019 · doc4.xml · derivative · entry 4 BREITMEYER JAMES B · CIK 0001244823 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 637,000 shares Expires 2032-01-20 F2 · price: On October 2, 2023, the Issuer repriced the option. Except as described further in footnotes 7 and 8, all other terms of the option remain unchanged. F4 · derivative.exercise_date: 25% of the Option Shares vested on January 20, 2023, and the remaining Option Shares vest in 36 equal monthly installments thereafter, subject to the recipient's continued service. Read SEC document
October 02, 2023 Filed Oct 4, 2023 17:00 UTC	Oncternal Therapeutics, Inc. ONCT · Entity 89585	Disposition to issuerStock Option · Derivative	750,000	Not disclosed Strike: $7.05	Not disclosed	Disclosure SEC source: 0001209191-23-052019 · doc4.xml · derivative · entry 3 BREITMEYER JAMES B · CIK 0001244823 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 750,000 shares Expires 2031-02-11 F2 · price: On October 2, 2023, the Issuer repriced the option. Except as described further in footnotes 7 and 8, all other terms of the option remain unchanged. F3 · derivative.exercise_date: 25% of the Option Shares vested on February 11, 2022, and the remaining Option Shares vest in 36 equal monthly installments thereafter, subject to the recipient's continued service. Read SEC document
October 02, 2023 Filed Oct 4, 2023 17:00 UTC	Oncternal Therapeutics, Inc. ONCT · Entity 89585	Disposition to issuerStock Option · Derivative	66,890	Not disclosed Strike: $3.33	Not disclosed	Disclosure SEC source: 0001209191-23-052019 · doc4.xml · derivative · entry 2 BREITMEYER JAMES B · CIK 0001244823 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 66,890 shares Expires 2030-03-17 F2 · price: On October 2, 2023, the Issuer repriced the option. Except as described further in footnotes 7 and 8, all other terms of the option remain unchanged. F1 · derivative.exercise_date: The shares subject to the option (the "Option Shares") are fully vested. Read SEC document
October 02, 2023 Filed Oct 4, 2023 17:00 UTC	Oncternal Therapeutics, Inc. ONCT · Entity 89585	Disposition to issuerStock Option · Derivative	100,000	Not disclosed Strike: $5.76	Not disclosed	Disclosure SEC source: 0001209191-23-052019 · doc4.xml · derivative · entry 1 BREITMEYER JAMES B · CIK 0001244823 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 100,000 shares Expires 2029-09-12 F2 · price: On October 2, 2023, the Issuer repriced the option. Except as described further in footnotes 7 and 8, all other terms of the option remain unchanged. F1 · derivative.exercise_date: The shares subject to the option (the "Option Shares") are fully vested. Read SEC document
July 03, 2023 Filed Jul 5, 2023 18:59 UTC	Oncternal Therapeutics, Inc. ONCT · Entity 89585	Tax withholdingCommon Stock	4,007	$0.36	$1,442.52	Disclosure SEC source: 0001209191-23-041319 · doc4.xml · nonDerivative · entry 2 BREITMEYER JAMES B · CIK 0001244823 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Indirect · By Spouse Disclosed balance after: 19,911 F1 · shares: Shares withheld by the Issuer to satisfy statutory tax withholding requirements on vesting of restricted stock units. Read SEC document
July 03, 2023 Filed Jul 5, 2023 18:59 UTC	Oncternal Therapeutics, Inc. ONCT · Entity 89585	Tax withholdingCommon Stock	47,992	$0.36	$17,277.12	Disclosure SEC source: 0001209191-23-041319 · doc4.xml · nonDerivative · entry 1 BREITMEYER JAMES B · CIK 0001244823 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 493,989 F1 · shares: Shares withheld by the Issuer to satisfy statutory tax withholding requirements on vesting of restricted stock units. Read SEC document
April 14, 2023 Filed Apr 17, 2023 06:00 UTC	Oncternal Therapeutics, Inc. ONCT · Entity 89585	PurchaseCommon Stock	2,250	$0.29	$652.50	Disclosure SEC source: 0001209191-23-024390 · doc4.xml · nonDerivative · entry 3 BREITMEYER JAMES B · CIK 0001244823 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Indirect · By Family Trust Disclosed balance after: 196,544 Read SEC document
April 14, 2023 Filed Apr 17, 2023 06:00 UTC	Oncternal Therapeutics, Inc. ONCT · Entity 89585	PurchaseCommon Stock	47,750	$0.30	$14,277.25	Disclosure SEC source: 0001209191-23-024390 · doc4.xml · nonDerivative · entry 2 BREITMEYER JAMES B · CIK 0001244823 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Indirect · By Family Trust Disclosed balance after: 194,294 Read SEC document
April 13, 2023 Filed Apr 17, 2023 06:00 UTC	Oncternal Therapeutics, Inc. ONCT · Entity 89585	PurchaseCommon Stock	100,000	$0.29	$29,000.00	Disclosure SEC source: 0001209191-23-024390 · doc4.xml · nonDerivative · entry 1 BREITMEYER JAMES B · CIK 0001244823 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Indirect · By Family Trust Disclosed balance after: 146,544 Read SEC document
February 21, 2023 Filed Feb 24, 2023 16:00 UTC	Oncternal Therapeutics, Inc. ONCT · Entity 89585	GrantStock Option · Derivative	42,196	$0.00 Strike: $0.81	$0.00	Disclosure SEC source: 0001209191-23-012657 · doc4.xml · derivative · entry 3 BREITMEYER JAMES B · CIK 0001244823 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,196 Underlying: Common Stock · 42,196 shares Expires 2028-11-14 F2 · derivative.exercise_date: On November 14, 2018, the recipient received a stock option to purchase 168,787 shares, which vest on the achievement of certain pre-established strategic milestones. The issuer's Compensation Committee determined that two such strategic milestones were achieved, resulting in the vesting of 42,196 shares subject to the stock option effective February 21, 2023. 21,098 shares subject to the option remain unvested. Read SEC document
February 21, 2023 Filed Feb 24, 2023 16:00 UTC	Oncternal Therapeutics, Inc. ONCT · Entity 89585	GrantStock Option · Derivative	65,000	$0.00 Strike: $0.96	$0.00	Disclosure SEC source: 0001209191-23-012657 · doc4.xml · derivative · entry 2 BREITMEYER JAMES B · CIK 0001244823 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 65,000 Underlying: Common Stock · 65,000 shares Expires 2023-02-21 F1 · derivative.exercise_date: 25% of the shares subject to the stock option vest on first anniversary of the date of grant, and the remaining shares subject to the option vest in 36 equal monthly installments, subject to the recipient's continued employment or service with the Issuer on each such date. Read SEC document
February 21, 2023 Filed Feb 24, 2023 16:00 UTC	Oncternal Therapeutics, Inc. ONCT · Entity 89585	GrantStock Option · Derivative	650,000	$0.00 Strike: $0.96	$0.00	Disclosure SEC source: 0001209191-23-012657 · doc4.xml · derivative · entry 1 BREITMEYER JAMES B · CIK 0001244823 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 650,000 Underlying: Common Stock · 650,000 shares Expires 2033-02-21 F1 · derivative.exercise_date: 25% of the shares subject to the stock option vest on first anniversary of the date of grant, and the remaining shares subject to the option vest in 36 equal monthly installments, subject to the recipient's continued employment or service with the Issuer on each such date. Read SEC document
January 03, 2023 Filed Jan 5, 2023 18:00 UTC	Oncternal Therapeutics, Inc. ONCT · Entity 89585	Tax withholdingCommon Stock	1,325	$1.02	$1,351.50	Disclosure SEC source: 0001209191-23-002033 · doc4.xml · nonDerivative · entry 2 BREITMEYER JAMES B · CIK 0001244823 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 23,918 F1 · shares: Shares withheld by the Issuer to satisfy statutory tax withholding requirements on vesting of restricted stock units. Read SEC document
January 03, 2023 Filed Jan 5, 2023 18:00 UTC	Oncternal Therapeutics, Inc. ONCT · Entity 89585	Tax withholdingCommon Stock	27,793	$1.02	$28,348.86	Disclosure SEC source: 0001209191-23-002033 · doc4.xml · nonDerivative · entry 1 BREITMEYER JAMES B · CIK 0001244823 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 541,981 F1 · shares: Shares withheld by the Issuer to satisfy statutory tax withholding requirements on vesting of restricted stock units. Read SEC document
July 28, 2022 Filed Aug 1, 2022 18:18 UTC	Oncternal Therapeutics, Inc. ONCT · Entity 89585	GrantStock Option · Derivative	12,500	$0.00 Strike: $1.04	$0.00	Disclosure SEC source: 0001209191-22-043735 · doc4.xml · derivative · entry 6 BREITMEYER JAMES B · CIK 0001244823 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 12,500 Underlying: Common Stock · 12,500 shares Expires 2032-07-28 F2 · derivative.exercise_date: One half of the shares subject to the stock options vest on July 3, 2023 and one half of the shares subject to the stock options vest on January 3, 2024, subject to the Recipient's continued employment or service with the Issuer on each such date. All of the shares subject to the stock options vest in the event of a Change in Control (as defined in the Issuer's 2019 Incentive Award Plan). Read SEC document
July 28, 2022 Filed Aug 1, 2022 18:18 UTC	Oncternal Therapeutics, Inc. ONCT · Entity 89585	GrantStock Option · Derivative	123,750	$0.00 Strike: $1.04	$0.00	Disclosure SEC source: 0001209191-22-043735 · doc4.xml · derivative · entry 5 BREITMEYER JAMES B · CIK 0001244823 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 123,750 Underlying: Common Stock · 123,750 shares Expires 2032-07-28 F2 · derivative.exercise_date: One half of the shares subject to the stock options vest on July 3, 2023 and one half of the shares subject to the stock options vest on January 3, 2024, subject to the Recipient's continued employment or service with the Issuer on each such date. All of the shares subject to the stock options vest in the event of a Change in Control (as defined in the Issuer's 2019 Incentive Award Plan). Read SEC document
July 28, 2022 Filed Aug 1, 2022 18:18 UTC	Oncternal Therapeutics, Inc. ONCT · Entity 89585	GrantCommon Stock	18,750	$0.00	$0.00	Disclosure SEC source: 0001209191-22-043735 · doc4.xml · nonDerivative · entry 2 BREITMEYER JAMES B · CIK 0001244823 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 25,243 F1 · shares: Represents an award of restricted stock units (RSUs). Each RSU represents the right to receive one share of the Issuer's common stock upon vesting. One half of the RSUs vest on July 3, 2023, and one half of the RSUs vest on January 3, 2024, subject to the Recipient's continued employment or service with the Issuer on each such date. All of the RSUs vest in the event of a Change in Control (as defined in the Issuer's 2019 Incentive Award Plan). Read SEC document
July 28, 2022 Filed Aug 1, 2022 18:18 UTC	Oncternal Therapeutics, Inc. ONCT · Entity 89585	GrantCommon Stock	185,625	$0.00	$0.00	Disclosure SEC source: 0001209191-22-043735 · doc4.xml · nonDerivative · entry 1 BREITMEYER JAMES B · CIK 0001244823 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 569,774 F1 · shares: Represents an award of restricted stock units (RSUs). Each RSU represents the right to receive one share of the Issuer's common stock upon vesting. One half of the RSUs vest on July 3, 2023, and one half of the RSUs vest on January 3, 2024, subject to the Recipient's continued employment or service with the Issuer on each such date. All of the RSUs vest in the event of a Change in Control (as defined in the Issuer's 2019 Incentive Award Plan). Read SEC document
June 21, 2022 Filed Jun 23, 2022 16:30 UTC	OTONOMY, INC. OTIC · Entity 116495	GrantStock Option (right to buy) · Derivative	27,500	$0.00 Strike: $1.95	$0.00	Disclosure SEC source: 0001209191-22-038881 · doc4.xml · derivative · entry 1 BREITMEYER JAMES B · CIK 0001244823 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,500 Underlying: Common Stock · 27,500 shares Expires 2032-06-20 F1 · derivative.exercise_date: 100% of the shares subject to the option shall vest upon the earlier of (i) the one year anniversary of the grant date, and (ii) the date of the Issuer's next annual meeting of stockholders occurring after the grant date, provided that the Reporting Person remains a service provider through such date. Read SEC document
March 07, 2022 Filed Mar 9, 2022 19:16 UTC	ZOGENIX, INC. ZGNX · Entity 129305	Disposition to issuerStock Option (Right to Buy) · Derivative	22,000	Not disclosed Strike: $17.83	Not disclosed	Disclosure SEC source: 0000899243-22-010312 · doc4.xml · derivative · entry 7 BREITMEYER JAMES B · CIK 0001244823 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 22,000 shares Expires 2031-05-26 F2 · price: Upon the terms and subject to the conditions set forth in the Merger Agreement, (a) each outstanding option to purchase Shares (each, a "Company Option") with an exercise price less than $26.00 (each, an "In the Money Option"), was canceled and converted into the right to receive an amount in cash equal to, subject to applicable tax withholding, the product of (i) the excess, if any of the Cash Amount over the exercise price per Share underlying such In the Money Option, multiplied by (ii) the total number of Shares subject to such In the Money Options and one CVR; (b) each Company Option with an exercise price equal to or greater than $26.00 but less than $28.00 (each, an "Out of the Money Option"), F3 · price: (Continued from Footnote 2) was canceled and converted into the right to receive, subject to the terms of the Merger Agreement, if and when (and only if and when) payments in respect of CVRs are required to be made, $28.00 in cash (less the applicable exercise price per Share subject to such Out of the Money Option); (c) each Company Option with an exercise price equal to or greater than $28.00, was canceled for no consideration. F2 · derivative.exercise_date: Upon the terms and subject to the conditions set forth in the Merger Agreement, (a) each outstanding option to purchase Shares (each, a "Company Option") with an exercise price less than $26.00 (each, an "In the Money Option"), was canceled and converted into the right to receive an amount in cash equal to, subject to applicable tax withholding, the product of (i) the excess, if any of the Cash Amount over the exercise price per Share underlying such In the Money Option, multiplied by (ii) the total number of Shares subject to such In the Money Options and one CVR; (b) each Company Option with an exercise price equal to or greater than $26.00 but less than $28.00 (each, an "Out of the Money Option"), F3 · derivative.exercise_date: (Continued from Footnote 2) was canceled and converted into the right to receive, subject to the terms of the Merger Agreement, if and when (and only if and when) payments in respect of CVRs are required to be made, $28.00 in cash (less the applicable exercise price per Share subject to such Out of the Money Option); (c) each Company Option with an exercise price equal to or greater than $28.00, was canceled for no consideration. Read SEC document
March 07, 2022 Filed Mar 9, 2022 19:16 UTC	ZOGENIX, INC. ZGNX · Entity 129305	Disposition to issuerStock Option (Right to Buy) · Derivative	20,000	Not disclosed Strike: $12.75	Not disclosed	Disclosure SEC source: 0000899243-22-010312 · doc4.xml · derivative · entry 6 BREITMEYER JAMES B · CIK 0001244823 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 20,000 shares Expires 2027-05-22 F2 · price: Upon the terms and subject to the conditions set forth in the Merger Agreement, (a) each outstanding option to purchase Shares (each, a "Company Option") with an exercise price less than $26.00 (each, an "In the Money Option"), was canceled and converted into the right to receive an amount in cash equal to, subject to applicable tax withholding, the product of (i) the excess, if any of the Cash Amount over the exercise price per Share underlying such In the Money Option, multiplied by (ii) the total number of Shares subject to such In the Money Options and one CVR; (b) each Company Option with an exercise price equal to or greater than $26.00 but less than $28.00 (each, an "Out of the Money Option"), F3 · price: (Continued from Footnote 2) was canceled and converted into the right to receive, subject to the terms of the Merger Agreement, if and when (and only if and when) payments in respect of CVRs are required to be made, $28.00 in cash (less the applicable exercise price per Share subject to such Out of the Money Option); (c) each Company Option with an exercise price equal to or greater than $28.00, was canceled for no consideration. F2 · derivative.exercise_date: Upon the terms and subject to the conditions set forth in the Merger Agreement, (a) each outstanding option to purchase Shares (each, a "Company Option") with an exercise price less than $26.00 (each, an "In the Money Option"), was canceled and converted into the right to receive an amount in cash equal to, subject to applicable tax withholding, the product of (i) the excess, if any of the Cash Amount over the exercise price per Share underlying such In the Money Option, multiplied by (ii) the total number of Shares subject to such In the Money Options and one CVR; (b) each Company Option with an exercise price equal to or greater than $26.00 but less than $28.00 (each, an "Out of the Money Option"), F3 · derivative.exercise_date: (Continued from Footnote 2) was canceled and converted into the right to receive, subject to the terms of the Merger Agreement, if and when (and only if and when) payments in respect of CVRs are required to be made, $28.00 in cash (less the applicable exercise price per Share subject to such Out of the Money Option); (c) each Company Option with an exercise price equal to or greater than $28.00, was canceled for no consideration. Read SEC document
March 07, 2022 Filed Mar 9, 2022 19:16 UTC	ZOGENIX, INC. ZGNX · Entity 129305	Disposition to issuerStock Option (Right to Buy) · Derivative	10,000	Not disclosed Strike: $8.99	Not disclosed	Disclosure SEC source: 0000899243-22-010312 · doc4.xml · derivative · entry 5 BREITMEYER JAMES B · CIK 0001244823 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 10,000 shares Expires 2026-07-12 F2 · price: Upon the terms and subject to the conditions set forth in the Merger Agreement, (a) each outstanding option to purchase Shares (each, a "Company Option") with an exercise price less than $26.00 (each, an "In the Money Option"), was canceled and converted into the right to receive an amount in cash equal to, subject to applicable tax withholding, the product of (i) the excess, if any of the Cash Amount over the exercise price per Share underlying such In the Money Option, multiplied by (ii) the total number of Shares subject to such In the Money Options and one CVR; (b) each Company Option with an exercise price equal to or greater than $26.00 but less than $28.00 (each, an "Out of the Money Option"), F3 · price: (Continued from Footnote 2) was canceled and converted into the right to receive, subject to the terms of the Merger Agreement, if and when (and only if and when) payments in respect of CVRs are required to be made, $28.00 in cash (less the applicable exercise price per Share subject to such Out of the Money Option); (c) each Company Option with an exercise price equal to or greater than $28.00, was canceled for no consideration. F2 · derivative.exercise_date: Upon the terms and subject to the conditions set forth in the Merger Agreement, (a) each outstanding option to purchase Shares (each, a "Company Option") with an exercise price less than $26.00 (each, an "In the Money Option"), was canceled and converted into the right to receive an amount in cash equal to, subject to applicable tax withholding, the product of (i) the excess, if any of the Cash Amount over the exercise price per Share underlying such In the Money Option, multiplied by (ii) the total number of Shares subject to such In the Money Options and one CVR; (b) each Company Option with an exercise price equal to or greater than $26.00 but less than $28.00 (each, an "Out of the Money Option"), F3 · derivative.exercise_date: (Continued from Footnote 2) was canceled and converted into the right to receive, subject to the terms of the Merger Agreement, if and when (and only if and when) payments in respect of CVRs are required to be made, $28.00 in cash (less the applicable exercise price per Share subject to such Out of the Money Option); (c) each Company Option with an exercise price equal to or greater than $28.00, was canceled for no consideration. 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.