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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2022-03-07 transaction · row 1
1 source rowRow 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 | 0 |
Reported balance
After 2022-03-07 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 | 0 |
Reported balance
After 2022-03-07 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 | 0 |
Reported balance
After 2022-03-07 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 | 0 |
Reported balance
After 2022-03-07 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 | 0 |
Reported balance
After 2022-03-07 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 | 0 |
Reported balance
After 2022-03-07 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 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 |
|---|---|---|---|---|---|---|
| March 07, 2022 Filed Mar 9, 2022 19:16 UTC | ZOGENIX, INC. ZGNX · Entity 129305 | Disposition to issuerStock Option (Right to Buy) · Derivative | 9,000 | Not disclosed Strike: $12.80 | Not disclosed |
DisclosureSEC source: 0000899243-22-010312 · doc4.xml · derivative · entry 4 BREITMEYER JAMES B · CIK 0001244823 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 9,000 shares Expires 2025-06-17 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 | 6,250 | Not disclosed Strike: $15.52 | Not disclosed |
DisclosureSEC source: 0000899243-22-010312 · doc4.xml · derivative · entry 3 BREITMEYER JAMES B · CIK 0001244823 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 6,250 shares Expires 2024-05-20 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 | 9,375 | Not disclosed Strike: $24.56 | Not disclosed |
DisclosureSEC source: 0000899243-22-010312 · doc4.xml · derivative · entry 2 BREITMEYER JAMES B · CIK 0001244823 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 9,375 shares Expires 2024-03-24 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 | OtherCommon Stock | 1,250 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-22-010312 · doc4.xml · nonDerivative · entry 1 BREITMEYER JAMES B · CIK 0001244823 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · kind: 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. F1 · price: 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. Read SEC document |
| January 27, 2022 Filed Jan 31, 2022 16:00 UTC | Oncternal Therapeutics, Inc. ONCT · Entity 89585 | PurchaseCommon Stock | 25,000 | $1.68 | $42,080.00 |
DisclosureSEC source: 0001209191-22-005556 · doc4.xml · nonDerivative · entry 1 BREITMEYER JAMES B · CIK 0001244823 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By Family Trust Disclosed balance after: 46,544 F1 · price: The reported price is a weighted-average price. These shares were purchased in multiple transactions at prices ranging from $1.66 to $1.85. The Reporting Person undertakes to provide the Issuer, any security holder of the Issuer or the SEC Staff, upon request, full information regarding the number of shares purchased at each price within the range set forth above. Read SEC document |
| January 20, 2022 Filed Jan 24, 2022 16:14 UTC | Oncternal Therapeutics, Inc. ONCT · Entity 89585 | GrantStock Option · Derivative | 165,000 | $0.00 Strike: $1.94 | $0.00 |
DisclosureSEC source: 0001209191-22-004594 · 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: 165,000 Underlying: Common Stock · 165,000 shares Expires 2032-01-20 F1 · derivative.exercise_date: One-fourth of the shares subject to the stock options shall vest on first anniversary of the date of grant, and the remaining shares subject to the option shall vest in 36 equal monthly installments over the three-year period thereafter, subject to the Recipient's continued employment or service with the Issuer on each such date. Read SEC document |
| January 20, 2022 Filed Jan 24, 2022 16:14 UTC | Oncternal Therapeutics, Inc. ONCT · Entity 89585 | GrantStock Option · Derivative | 637,000 | $0.00 Strike: $1.94 | $0.00 |
DisclosureSEC source: 0001209191-22-004594 · doc4.xml · derivative · entry 1 BREITMEYER JAMES B · CIK 0001244823 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 637,000 Underlying: Common Stock · 637,000 shares Expires 2032-01-20 F1 · derivative.exercise_date: One-fourth of the shares subject to the stock options shall vest on first anniversary of the date of grant, and the remaining shares subject to the option shall vest in 36 equal monthly installments over the three-year period thereafter, subject to the Recipient's continued employment or service with the Issuer on each such date. Read SEC document |
| January 03, 2022 Filed Jan 5, 2022 19:00 UTC | Oncternal Therapeutics, Inc. ONCT · Entity 89585 | GrantCommon Stock | 6,793 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-001974 · 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: 6,793 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 January 3, 2023, one quarter of the RSUs vest on July 3, 2023, and one quarter 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 |
| January 03, 2022 Filed Jan 5, 2022 19:00 UTC | Oncternal Therapeutics, Inc. ONCT · Entity 89585 | GrantCommon Stock | 128,557 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-001974 · doc4.xml · nonDerivative · entry 1 BREITMEYER JAMES B · CIK 0001244823 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 384,149 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 January 3, 2023, one quarter of the RSUs vest on July 3, 2023, and one quarter 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 22, 2021 Filed Jun 24, 2021 17:00 UTC | OTONOMY, INC. OTIC · Entity 116495 | GrantStock Option (right to buy) · Derivative | 17,500 | $0.00 Strike: $2.18 | $0.00 |
DisclosureSEC source: 0001209191-21-043069 · doc4.xml · derivative · entry 1 BREITMEYER JAMES B · CIK 0001244823 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,500 Underlying: Common Stock · 17,500 shares Expires 2031-06-21 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 |
| May 27, 2021 Filed May 28, 2021 20:03 UTC | ZOGENIX, INC. ZGNX · Entity 129305 | GrantStock Option (Right to Buy) · Derivative | 22,000 | $0.00 Strike: $17.83 | $0.00 |
DisclosureSEC source: 0001375151-21-000066 · wf-form4_162224658464064.xml · derivative · entry 1 BREITMEYER JAMES B · CIK 0001244823 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,000 Underlying: Common Stock · 22,000 shares Expires 2031-05-27 F1 · derivative.exercise_date: The option was granted on May 27, 2021, the date of the Issuer's 2021 Annual Meeting of Stockholders, and shall become exercisable with respect to the underlying shares of common stock in a series of twelve (12) successive, equal monthly installments on each monthly anniversary of the grant date, such that the option shall be fully vested twelve months following the date of grant, subject to the Reporting Person's continuing service on the Board of the Issuer through such dates. Read SEC document |
| March 18, 2021 Filed Mar 22, 2021 16:00 UTC | Oncternal Therapeutics, Inc. ONCT · Entity 89585 | GrantStock Options · Derivative | 63,295 | $0.00 Strike: $0.81 | $0.00 |
DisclosureSEC source: 0001209191-21-022309 · doc4.xml · derivative · entry 1 BREITMEYER JAMES B · CIK 0001244823 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 105,492 Underlying: Common Stock · 63,295 shares Expires 2028-11-14 F1 · derivative.exercise_date: On November 14, 2018, the reporting person was granted an award of stock options that vest upon the achievement of certain pre-established strategic milestones. On March 18, 2021, the Compensation Committee of the Issuers board of directors determined that certain of the strategic milestones have been achieved, resulting in the vesting of options to purchase 63,295 shares of the Issuers common stock. Read SEC document |
| February 21, 2021 Filed Feb 23, 2021 20:12 UTC | Oncternal Therapeutics, Inc. ONCT · Entity 89585 | GrantStock Option · Derivative | 2,000 | $0.00 Strike: $7.48 | $0.00 |
DisclosureSEC source: 0001209191-21-013507 · 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: 2,000 Underlying: Common Stock · 2,000 shares Expires 2031-02-21 F1 · derivative.exercise_date: The options generally vest as follows: 25% of the total number of shares subject to the options shall vest on the first anniversary of the vesting commencement date and 1/48th of the total number of shares subject to the options shall vest on each monthly anniversary of the vesting commencement date thereafter, subject to the option recipient's continuous service to the Corporation on each such vesting date, so that the options shall be fully vested on the fourth anniversary of the vesting commencement date. F3 · ownership.nature: 2,000 Stock Options granted to Mary Breitmeyer with a February 21, 2021 transaction date. Read SEC document |
| February 11, 2021 Filed Feb 16, 2021 18:00 UTC | Oncternal Therapeutics, Inc. ONCT · Entity 89585 | GrantStock Option · Derivative | 750,000 | $0.00 Strike: $7.05 | $0.00 |
DisclosureSEC source: 0001209191-21-010906 · doc4.xml · derivative · entry 1 BREITMEYER JAMES B · CIK 0001244823 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 750,000 Underlying: Common Stock · 750,000 shares Expires 2031-02-11 F1 · derivative.exercise_date: One-fourth (1/4th) of the shares subject to the stock options shall vest on first anniversary of the date of grant, and the remaining shares subject to the option shall vest in thirty-six (36) equal monthly installments over the three-year period thereafter, subject to the Reporting Persons continued employment or service with the Issuer on each such date. Read SEC document |
| January 27, 2021 Filed Feb 23, 2021 20:12 UTC | Oncternal Therapeutics, Inc. ONCT · Entity 89585 | GrantStock Option · Derivative | 7,000 | $0.00 Strike: $5.33 | $0.00 |
DisclosureSEC source: 0001209191-21-013507 · doc4.xml · derivative · entry 1 BREITMEYER JAMES B · CIK 0001244823 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 7,000 Underlying: Common Stock · 7,000 shares Expires 2031-01-27 F1 · derivative.exercise_date: The options generally vest as follows: 25% of the total number of shares subject to the options shall vest on the first anniversary of the vesting commencement date and 1/48th of the total number of shares subject to the options shall vest on each monthly anniversary of the vesting commencement date thereafter, subject to the option recipient's continuous service to the Corporation on each such vesting date, so that the options shall be fully vested on the fourth anniversary of the vesting commencement date. F2 · ownership.nature: 7,000 Stock Options granted to Mary Breitmeyer with a January 27, 2021 transaction date. Read SEC document |
| June 23, 2020 Filed Jun 25, 2020 17:07 UTC | OTONOMY, INC. OTIC · Entity 116495 | GrantStock Option (right to buy) · Derivative | 17,500 | $0.00 Strike: $3.56 | $0.00 |
DisclosureSEC source: 0001209191-20-038945 · doc4.xml · derivative · entry 1 BREITMEYER JAMES B · CIK 0001244823 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,500 Underlying: Common Stock · 17,500 shares Expires 2030-06-22 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 |
| May 29, 2020 Filed Jun 29, 2020 21:12 UTC | ZOGENIX, INC. ZGNX · Entity 129305 | GrantStock Option (Right to Buy) · Derivative | 13,000 | $0.00 Strike: $29.13 | $0.00 |
DisclosureSEC source: 0001375151-20-000111 · wf-form4_159347952805219.xml · derivative · entry 1 BREITMEYER JAMES B · CIK 0001244823 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,000 Underlying: Common Stock · 13,000 shares Expires 2030-05-29 F1 · derivative.exercise_date: The option was granted on May 29, 2020, the date of the Company's 2020 Annual Meeting of Stockholders, and vests in twelve (12) equal monthly installments from the grant date, such that the option is fully vested on the one-year anniversary of the date of grant, subject to the Reporting Person's continued service to the Company on each vesting date. Read SEC document |
| March 17, 2020 Filed Mar 18, 2020 18:52 UTC | Oncternal Therapeutics, Inc. ONCT · Entity 89585 | GrantStock Option · Derivative | 66,890 | $0.00 Strike: $3.33 | $0.00 |
DisclosureSEC source: 0001209191-20-020095 · doc4.xml · derivative · entry 1 BREITMEYER JAMES B · CIK 0001244823 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,890 Underlying: Common Stock · 66,890 shares Expires 2030-03-17 F1 · derivative.exercise_date: Fully vested on grant date. Read SEC document |
| March 17, 2020 Filed Jul 31, 2020 21:05 UTC Amendment | Oncternal Therapeutics, Inc. ONCT · Entity 89585 | GrantStock Option · Derivative | 66,890 | $0.00 Strike: $3.33 | $0.00 |
DisclosureSEC source: 0001209191-20-044362 · doc4a.xml · derivative · entry 1 BREITMEYER JAMES B · CIK 0001244823 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,890 Underlying: Common Stock · 66,890 shares Expires 2030-03-17 F1 · shares: The original Form 4 reported the acquisition of the Stock Options in the "D" column of Column 5. This amendment is being filed to correctly report the acquisition of the Stock Options in the "A" column of Column 5. F2 · derivative.exercise_date: Fully vested on grant date. Read SEC document |
| January 07, 2020 Filed Jan 9, 2020 16:00 UTC | Oncternal Therapeutics, Inc. ONCT · Entity 89585 | GrantStock Option · Derivative | 22,000 | $0.00 Strike: $4.13 | $0.00 |
DisclosureSEC source: 0001209191-20-002701 · doc4.xml · derivative · entry 1 BREITMEYER JAMES B · CIK 0001244823 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 22,000 Underlying: Common Stock · 22,000 shares Expires 2030-01-07 F1 · derivative.exercise_date: The options generally vest as follows: 25% of the total number of shares subject to the options shall vest on the first anniversary of the vesting commencement date and 1/48th of the total number of shares subject to the options shall vest on each monthly anniversary of the vesting commencement date thereafter, subject to the option recipient's continuous service to the Corporation on each such vesting date, so that the options shall be fully vested on the fourth anniversary of the vesting commencement date. F2 · ownership.nature: 22,000 Stock Options granted to Mary Breitmeyer with a January 7, 2020 transaction date. Read SEC document |
| January 07, 2020 Filed Jul 31, 2020 21:05 UTC Amendment | Oncternal Therapeutics, Inc. ONCT · Entity 89585 | GrantStock Option · Derivative | 22,000 | $0.00 Strike: $22,000.00 | $0.00 |
DisclosureSEC source: 0001209191-20-044360 · doc4a.xml · derivative · entry 1 BREITMEYER JAMES B · CIK 0001244823 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 22,000 Underlying: Common Stock · 22,000 shares Expires 2030-01-07 F1 · shares: The original Form 4 reported the acquisition of the Stock Options in the "D" column of Column 5. This amendment is being filed to correctly report the acquisition of the Stock Options in the "A" column of Column 5. F2 · derivative.exercise_date: The options generally vest as follows: 25% of the total number of shares subject to the options shall vest on the first anniversary of the vesting commencement date and 1/48th of the total number of shares subject to the options shall vest on each monthly anniversary of the vesting commencement date thereafter, subject to the option recipient's continuous service to the Corporation on each such vesting date, so that the options shall be fully vested on the forth anniversary of the vesting commencement date. F3 · ownership.nature: 22,000 Stock Options granted to Mary Breitmeyer with a January 7,2020 transaction date . Read SEC document |
| December 16, 2019 Filed Dec 18, 2019 16:07 UTC | ZOGENIX, INC. ZGNX · Entity 129305 | Exercise / conversionStock Option (Right to Buy) · Derivative | 5,000 | $0.00 Strike: $8.99 | $0.00 |
DisclosureSEC source: 0001375151-19-000134 · wf-form4_157670322671332.xml · derivative · entry 3 BREITMEYER JAMES B · CIK 0001244823 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Underlying: Common Stock · 5,000 shares Expires 2026-07-12 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The exercise and sale transactions reported in this Form 4 are made pursuant to a Rule 10b5-1 trading plan. F2 · derivative.exercise_date: The option was granted on July 13, 2016 and vests in a series of twelve (12) successive, equal monthly installments beginning on August 1, 2016, subject to the Reporting Person's continued service to the Company on each vesting date. Read SEC document |
| December 16, 2019 Filed Dec 18, 2019 16:07 UTC | ZOGENIX, INC. ZGNX · Entity 129305 | SaleCommon Stock | 5,000 | $50.00 | $250,000.00 |
DisclosureSEC source: 0001375151-19-000134 · wf-form4_157670322671332.xml · nonDerivative · entry 2 BREITMEYER JAMES B · CIK 0001244823 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,250 F1 · kind: The exercise and sale transactions reported in this Form 4 are made pursuant to a Rule 10b5-1 trading plan. Read SEC document |
| December 16, 2019 Filed Dec 18, 2019 16:07 UTC | ZOGENIX, INC. ZGNX · Entity 129305 | Exercise / conversionCommon Stock | 5,000 | $8.99 | $44,950.00 |
DisclosureSEC source: 0001375151-19-000134 · wf-form4_157670322671332.xml · nonDerivative · entry 1 BREITMEYER JAMES B · CIK 0001244823 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,250 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The exercise and sale transactions reported in this Form 4 are made pursuant to a Rule 10b5-1 trading plan. Read SEC document |
| November 25, 2019 Filed Nov 27, 2019 16:13 UTC | ZOGENIX, INC. ZGNX · Entity 129305 | Exercise / conversionStock Option (Right to Buy) · Derivative | 5,000 | $0.00 Strike: $8.99 | $0.00 |
DisclosureSEC source: 0001375151-19-000129 · wf-form4_157488919988967.xml · derivative · entry 3 BREITMEYER JAMES B · CIK 0001244823 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 5,000 shares Expires 2026-07-12 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The exercise and sale transactions reported in this Form 4 are made pursuant to a Rule 10b5-1 trading plan. F2 · derivative.exercise_date: The option was granted on July 13, 2016 and vests in a series of twelve (12) successive, equal monthly installments beginning on August 1, 2016, subject to the Reporting Person's continued service to the Company on each vesting date. Read SEC document |
| November 25, 2019 Filed Nov 27, 2019 16:13 UTC | ZOGENIX, INC. ZGNX · Entity 129305 | SaleCommon Stock | 5,000 | $50.00 | $250,000.00 |
DisclosureSEC source: 0001375151-19-000129 · wf-form4_157488919988967.xml · nonDerivative · entry 2 BREITMEYER JAMES B · CIK 0001244823 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,250 F1 · kind: The exercise and sale transactions reported in this Form 4 are made pursuant to a Rule 10b5-1 trading plan. Read SEC document |
| November 25, 2019 Filed Nov 27, 2019 16:13 UTC | ZOGENIX, INC. ZGNX · Entity 129305 | Exercise / conversionCommon Stock | 5,000 | $8.99 | $44,950.00 |
DisclosureSEC source: 0001375151-19-000129 · wf-form4_157488919988967.xml · nonDerivative · entry 1 BREITMEYER JAMES B · CIK 0001244823 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,250 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The exercise and sale transactions reported in this Form 4 are made pursuant to a Rule 10b5-1 trading plan. Read SEC document |
| September 12, 2019 Filed Sep 16, 2019 17:37 UTC | Oncternal Therapeutics, Inc. ONCT · Entity 89585 | GrantStock Option · Derivative | 100,000 | $0.00 Strike: $5.76 | $0.00 |
DisclosureSEC source: 0001209191-19-049688 · doc4.xml · derivative · entry 1 BREITMEYER JAMES B · CIK 0001244823 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock · 100,000 shares Expires 2029-09-12 F1 · derivative.exercise_date: One-fourth (1/4th) of the shares subject to the stock options shall vest on first anniversary of the date of grant, and the remaining shares subject to the option shall vest in thirty-six (36) equal monthly installments over the three-year period thereafter, subject to the Reporting Persons continued employment or service with the Issuer on each such date. Read SEC document |
| September 12, 2019 Filed Jul 31, 2020 21:05 UTC Amendment | Oncternal Therapeutics, Inc. ONCT · Entity 89585 | GrantStock Option · Derivative | 100,000 | $0.00 Strike: $5.76 | $0.00 |
DisclosureSEC source: 0001209191-20-044374 · doc4a.xml · derivative · entry 1 BREITMEYER JAMES B · CIK 0001244823 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock · 100,000 shares Expires 2029-09-12 F1 · shares: The original Form 4 reported the acquisition of the Stock Options in the "D" column of Column 5. This amendment is being filed to correctly report the acquisition of the Stock Options in the "A" column of Column 5. F2 · derivative.exercise_date: One-fourth (1/4th) of the shares subject to the stock options shall vest on first anniversary of the date of grant, and the remaining shares subject to the option shall vest in thirty-six (36) equal monthly installments over the three-year period thereafter, subject to the Reporting Persons continued employment or service with the Issuer on each such date. Read SEC document |
| June 18, 2019 Filed Jun 20, 2019 16:34 UTC | Oncternal Therapeutics, Inc. ONCT · Entity 89585 | GrantStock Options · Derivative | 42,196 | $0.00 Strike: $0.81 | $0.00 |
DisclosureSEC source: 0000899243-19-017661 · doc4.xml · derivative · entry 1 BREITMEYER JAMES B · CIK 0001244823 · Director · President, CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,196 Underlying: Common Stock · 42,196 shares Expires 2028-11-14 F1 · derivative.exercise_date: On November 14, 2018, the reporting person was granted an award of stock options that vest upon the achievement of certain pre-established strategic milestones. On June 18, 2019, the Compensation Committee of the Issuer's board of directors determined that one such strategic milestone had been achieved, resulting in the vesting of options to purchase 42,196 shares of the Issuer's common stock. Read SEC document |
| June 11, 2019 Filed Jun 13, 2019 17:03 UTC | OTONOMY, INC. OTIC · Entity 116495 | GrantStock Option (right to buy) · Derivative | 17,500 | $0.00 Strike: $2.35 | $0.00 |
DisclosureSEC source: 0001209191-19-036836 · doc4.xml · derivative · entry 1 BREITMEYER JAMES B · CIK 0001244823 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,500 Underlying: Common Stock · 17,500 shares Expires 2029-06-10 F1 · derivative.exercise_date: 100% of the shares subject to the option shall vest upon 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 |
| June 07, 2019 Filed Jun 11, 2019 18:31 UTC | Oncternal Therapeutics, Inc. ONCT · Entity 89585 | GrantWarrants · Derivative | 733 | Not disclosed Strike: $6.13 | Not disclosed |
DisclosureSEC source: 0000899243-19-016474 · doc4.xml · derivative · entry 6 BREITMEYER JAMES B · CIK 0001244823 · Director · President, CEO 10b5-1 filing: Not disclosed Ownership: Indirect · By family trust. Disclosed balance after: 733 Underlying: Common Stock · 733 shares Expires 2022-09-12 F1 · price: Pursuant to the Agreement and Plan of Merger dated as of April 30, 2019 (the "Merger Agreement"), by and among Oncternal Therapeutics, Inc. ("Old Oncternal"), GTx, Inc. ("GTx") and certain of their subsidiaries, on June 7, 2019 (the "Effective Time"), GTx was merged with and into Old Oncternal, with GTx surviving as the continuing entity. At the Effective Time, each share of Old Oncternal common stock issued and outstanding immediately prior to such time was converted into the right to receive 0.073386 shares of the Issuer's common stock. On the trading day immediately prior to the effective time, the closing price of the Issuer's common stock was $1.20 per share. F4 · derivative.exercise_date: The warrants are currently exercisable. Read SEC document |
| June 07, 2019 Filed Jun 11, 2019 18:31 UTC | Oncternal Therapeutics, Inc. ONCT · Entity 89585 | GrantStock Options · Derivative | 1,467 | Not disclosed Strike: $0.68 | Not disclosed |
DisclosureSEC source: 0000899243-19-016474 · doc4.xml · derivative · entry 5 BREITMEYER JAMES B · CIK 0001244823 · Director · President, CEO 10b5-1 filing: Not disclosed Ownership: Indirect · By spouse. Disclosed balance after: 1,467 Underlying: Common Stock · 1,467 shares Expires 2027-04-12 F1 · price: Pursuant to the Agreement and Plan of Merger dated as of April 30, 2019 (the "Merger Agreement"), by and among Oncternal Therapeutics, Inc. ("Old Oncternal"), GTx, Inc. ("GTx") and certain of their subsidiaries, on June 7, 2019 (the "Effective Time"), GTx was merged with and into Old Oncternal, with GTx surviving as the continuing entity. At the Effective Time, each share of Old Oncternal common stock issued and outstanding immediately prior to such time was converted into the right to receive 0.073386 shares of the Issuer's common stock. On the trading day immediately prior to the effective time, the closing price of the Issuer's common stock was $1.20 per share. F3 · derivative.exercise_date: The option is currently vested with respect to 826 shares. The remaining shares subject to the option will vest in equal monthly installments until February 1, 2021. Read SEC document |
| June 07, 2019 Filed Jun 11, 2019 18:31 UTC | Oncternal Therapeutics, Inc. ONCT · Entity 89585 | GrantStock Options · Derivative | 117,417 | Not disclosed Strike: $0.68 | Not disclosed |
DisclosureSEC source: 0000899243-19-016474 · doc4.xml · derivative · entry 4 BREITMEYER JAMES B · CIK 0001244823 · Director · President, CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 117,417 Underlying: Common Stock · 117,417 shares Expires 2025-08-30 F1 · price: Pursuant to the Agreement and Plan of Merger dated as of April 30, 2019 (the "Merger Agreement"), by and among Oncternal Therapeutics, Inc. ("Old Oncternal"), GTx, Inc. ("GTx") and certain of their subsidiaries, on June 7, 2019 (the "Effective Time"), GTx was merged with and into Old Oncternal, with GTx surviving as the continuing entity. At the Effective Time, each share of Old Oncternal common stock issued and outstanding immediately prior to such time was converted into the right to receive 0.073386 shares of the Issuer's common stock. On the trading day immediately prior to the effective time, the closing price of the Issuer's common stock was $1.20 per share. F2 · derivative.exercise_date: The option is currently vested with respect to 110,079 shares. The remaining shares subject to the option will vest in three equal monthly installments beginning on June 30, 2019. Read SEC document |
| June 07, 2019 Filed Jun 11, 2019 18:31 UTC | Oncternal Therapeutics, Inc. ONCT · Entity 89585 | GrantCommon Stock | 21,544 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-19-016474 · doc4.xml · nonDerivative · entry 3 BREITMEYER JAMES B · CIK 0001244823 · Director · President, CEO 10b5-1 filing: Not disclosed Ownership: Indirect · By family trust. Disclosed balance after: 21,544 F1 · price: Pursuant to the Agreement and Plan of Merger dated as of April 30, 2019 (the "Merger Agreement"), by and among Oncternal Therapeutics, Inc. ("Old Oncternal"), GTx, Inc. ("GTx") and certain of their subsidiaries, on June 7, 2019 (the "Effective Time"), GTx was merged with and into Old Oncternal, with GTx surviving as the continuing entity. At the Effective Time, each share of Old Oncternal common stock issued and outstanding immediately prior to such time was converted into the right to receive 0.073386 shares of the Issuer's common stock. On the trading day immediately prior to the effective time, the closing price of the Issuer's common stock was $1.20 per share. Read SEC document |
| June 07, 2019 Filed Jun 11, 2019 18:31 UTC | Oncternal Therapeutics, Inc. ONCT · Entity 89585 | GrantCommon Stock | 733 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-19-016474 · doc4.xml · nonDerivative · entry 2 BREITMEYER JAMES B · CIK 0001244823 · Director · President, CEO 10b5-1 filing: Not disclosed Ownership: Indirect · By child. Disclosed balance after: 733 F1 · price: Pursuant to the Agreement and Plan of Merger dated as of April 30, 2019 (the "Merger Agreement"), by and among Oncternal Therapeutics, Inc. ("Old Oncternal"), GTx, Inc. ("GTx") and certain of their subsidiaries, on June 7, 2019 (the "Effective Time"), GTx was merged with and into Old Oncternal, with GTx surviving as the continuing entity. At the Effective Time, each share of Old Oncternal common stock issued and outstanding immediately prior to such time was converted into the right to receive 0.073386 shares of the Issuer's common stock. On the trading day immediately prior to the effective time, the closing price of the Issuer's common stock was $1.20 per share. Read SEC document |
| June 07, 2019 Filed Jun 11, 2019 18:31 UTC | Oncternal Therapeutics, Inc. ONCT · Entity 89585 | GrantCommon Stock | 255,591 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-19-016474 · doc4.xml · nonDerivative · entry 1 BREITMEYER JAMES B · CIK 0001244823 · Director · President, CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 255,591 F1 · price: Pursuant to the Agreement and Plan of Merger dated as of April 30, 2019 (the "Merger Agreement"), by and among Oncternal Therapeutics, Inc. ("Old Oncternal"), GTx, Inc. ("GTx") and certain of their subsidiaries, on June 7, 2019 (the "Effective Time"), GTx was merged with and into Old Oncternal, with GTx surviving as the continuing entity. At the Effective Time, each share of Old Oncternal common stock issued and outstanding immediately prior to such time was converted into the right to receive 0.073386 shares of the Issuer's common stock. On the trading day immediately prior to the effective time, the closing price of the Issuer's common stock was $1.20 per share. Read SEC document |
| May 22, 2019 Filed May 28, 2019 16:05 UTC | ZOGENIX, INC. ZGNX · Entity 129305 | GrantStock Option (Right to Buy) · Derivative | 13,000 | $0.00 Strike: $39.02 | $0.00 |
DisclosureSEC source: 0001375151-19-000078 · wf-form4_155907393362190.xml · derivative · entry 1 BREITMEYER JAMES B · CIK 0001244823 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,000 Underlying: Common Stock · 13,000 shares Expires 2029-05-22 F1 · derivative.exercise_date: The option was granted on May 22, 2019, the date of the Company's 2019 Annual Meeting of Stockholders, and vests in twelve (12) equal monthly installments from the grant date, such that the option is fully vested on the one-year anniversary of the date of grant, subject to the Reporting Person's continued service to the Company on each vesting date. Read SEC document |
| June 19, 2018 Filed Jun 20, 2018 19:40 UTC | OTONOMY, INC. OTIC · Entity 116495 | GrantStock Option (right to buy) · Derivative | 35,000 | $0.00 Strike: $4.45 | $0.00 |
DisclosureSEC source: 0001209191-18-038879 · doc4.xml · derivative · entry 1 BREITMEYER JAMES B · CIK 0001244823 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,000 Underlying: Common Stock · 35,000 shares Expires 2028-06-18 F1 · derivative.exercise_date: One-third of the shares subject to the option shall vest on each anniversary of the date of grant, provided that the Reporting Person remains a service provider through each such date. Read SEC document |
| May 23, 2018 Filed May 24, 2018 18:10 UTC | ZOGENIX, INC. ZGNX · Entity 129305 | GrantStock Option (Right to Buy) · Derivative | 15,000 | $0.00 Strike: $41.68 | $0.00 |
DisclosureSEC source: 0001375151-18-000043 · wf-form4_152719978199127.xml · derivative · entry 1 BREITMEYER JAMES B · CIK 0001244823 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2028-05-22 F1 · kind: Annual director stock option grant under the issuer's incentive compensation plan. F2 · derivative.exercise_date: The option was granted on May 23, 2018, the date of the Company's Annual Meeting of Stockholders, and vests in twelve (12) equal monthly installments from the grant date such that the option is fully vested on the one-year anniversary of the date of grant, subject to the reporting person's continued service to the Company on each vesting date. Read SEC document |
| May 23, 2017 Filed May 23, 2017 19:02 UTC | ZOGENIX, INC. ZGNX · Entity 129305 | GrantStock Option (Right to Buy) · Derivative | 20,000 | $0.00 Strike: $12.75 | $0.00 |
DisclosureSEC source: 0001375151-17-000036 · wf-form4_149558052599583.xml · derivative · entry 1 BREITMEYER JAMES B · CIK 0001244823 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2027-05-22 F1 · kind: Annual director stock option grant under the issuer's incentive compensation plan. F2 · derivative.exercise_date: The option was granted on May 23, 2017, the date of the Company's Annual Meeting of Stockholders, and vests in a series of twelve (12) successive, equal monthly installments beginning on June 23, 2017, subject to the reporting person's continued service to the Company on each vesting date. 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.