Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ALPINE IMMUNE SCIENCES, INC.ALPN · Entity 90802 | Director · 10% owner | July 15, 2022 | July 19, 2022 |
| EXICURE, INC.XCUR · Entity 8068 | Director | July 06, 2020 | July 08, 2020 |
| Elicio Therapeutics, Inc.ELTX · Entity 299 | Director | August 31, 2026 | September 02, 2026 |
| IOVANCE BIOTHERAPEUTICS, INC.LBIO · Entity 2090 | Director | June 01, 2017 | June 05, 2017 |
| Serina Therapeutics, Inc.SER · Entity 9581 | Director | May 22, 2026 | June 22, 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.
ALPINE IMMUNE SCIENCES, INC.
Report date July 15, 2022 · Filed July 19, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 238,126 |
Reported balance
After 2022-07-15 transaction · row 4
1 source rowRow 4 · 2022-07-15 · Exercise / conversion · Acquired 20,063 · Balance 238,126 |
| Stock Option (Right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.45 · Expires 2025-12-15 | Direct | 70,000 |
Reported balance
After 2022-07-15 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2022-07-15 · Exercise / conversion · Disposed 20,063 · Balance 70,000 F4: Pursuant to that certain Agreement and Plan of Merger and Reorganization (the "Merger Agreement"), dated as of April 18, 2017, by and among the Issuer, Nautilus Merger Sub, Inc. and the corporation then known as Alpine Immune Sciences, Inc. ("Old Alpine"), each share of Old Alpine common stock was converted into 0.4969 shares of the Issuer's common stock (the "Exchange Ratio"). Each option to purchase shares of Old Alpine outstanding and unexercised was assumed by the Issuer pursuant to the Merger Agreement and converted into an option, subject to vesting, to purchase shares of common stock of the Issuer, with the number of shares of the Issuer's common stock underlying such option and the exercise price for such option adjusted to reflect the Exchange Ratio. F5: The Reporting Person was initially granted an option to acquire 300,000 shares, 75,000 shares of which vested on May 25, 2016, and the remaining shares vested or vest in 36 substantially equal monthly installments starting on September 1, 2016, subject to the Reporting person's continued service with the Issuer and certain change of control provisions. |
| Common StockSEC Table I · non-derivative | IndirectBy Raj Venkatesan as UTMA custodian for Reid Coleman Venkatesan | 18,633 |
Reported balance
Holding disclosure · report date 2022-07-15 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 18,633 F1: The Reporting Person disclaims beneficial ownership of the shares of common stock reported herein except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. F2: These shares are held by Raj Venkatesan as custodian for Reporting Person's sons under the California Uniform Transfers to Minors Act. |
| Common StockSEC Table I · non-derivative | IndirectBy Alpine ImmunoSciences, L.P. | 2,600,980 |
Reported balance
Holding disclosure · report date 2022-07-15 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 2,600,980 F1: The Reporting Person disclaims beneficial ownership of the shares of common stock reported herein except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. F3: Alpine BioVentures GP, LLC is the general partner of Alpine ImmunoSciences, L.P. Dr. Venkatesan is a Managing Partner of Alpine BioVenture GP, LLC. Dr. Venkatesan is also a limited partner of Alpine ImmunoSciences, L.P. By virtue of such relationships, Dr. Venkatesan may be deemed to have voting and investment power with respect to the shares held by Alpine ImmunoSciences, L.P. and as a result may be deemed to have beneficial ownership of such shares. |
| Common StockSEC Table I · non-derivative | IndirectBy Raj Venkatesan as UTMA custodian for Nathaniel Graham Venkatesan | 18,633 |
Reported balance
Holding disclosure · report date 2022-07-15 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 18,633 F1: The Reporting Person disclaims beneficial ownership of the shares of common stock reported herein except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. F2: These shares are held by Raj Venkatesan as custodian for Reporting Person's sons under the California Uniform Transfers to Minors Act. |
Filing footnotes · ownership attribution and instrument terms
F1: The Reporting Person disclaims beneficial ownership of the shares of common stock reported herein except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
F2: These shares are held by Raj Venkatesan as custodian for Reporting Person's sons under the California Uniform Transfers to Minors Act.
F3: Alpine BioVentures GP, LLC is the general partner of Alpine ImmunoSciences, L.P. Dr. Venkatesan is a Managing Partner of Alpine BioVenture GP, LLC. Dr. Venkatesan is also a limited partner of Alpine ImmunoSciences, L.P. By virtue of such relationships, Dr. Venkatesan may be deemed to have voting and investment power with respect to the shares held by Alpine ImmunoSciences, L.P. and as a result may be deemed to have beneficial ownership of such shares.
F4: Pursuant to that certain Agreement and Plan of Merger and Reorganization (the "Merger Agreement"), dated as of April 18, 2017, by and among the Issuer, Nautilus Merger Sub, Inc. and the corporation then known as Alpine Immune Sciences, Inc. ("Old Alpine"), each share of Old Alpine common stock was converted into 0.4969 shares of the Issuer's common stock (the "Exchange Ratio"). Each option to purchase shares of Old Alpine outstanding and unexercised was assumed by the Issuer pursuant to the Merger Agreement and converted into an option, subject to vesting, to purchase shares of common stock of the Issuer, with the number of shares of the Issuer's common stock underlying such option and the exercise price for such option adjusted to reflect the Exchange Ratio.
F5: The Reporting Person was initially granted an option to acquire 300,000 shares, 75,000 shares of which vested on May 25, 2016, and the remaining shares vested or vest in 36 substantially equal monthly installments starting on September 1, 2016, subject to the Reporting person's continued service with the Issuer and certain change of control provisions.
EXICURE, INC.
Report date July 06, 2020 · Filed July 08, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 311,544 |
Reported balance
After 2020-07-06 transaction · row 1
Sequence does not reconcile; account continuity is unresolved.
1 source rowRow 1 · 2020-07-06 · Exercise / conversion · Acquired 9,310 · Balance 311,544 |
| Common StockSEC Table I · non-derivative | Direct | 324,473 |
Reported balance
After 2020-07-06 transaction · row 2
Sequence does not reconcile; account continuity is unresolved.
1 source rowRow 2 · 2020-07-06 · Exercise / conversion · Acquired 12,930 · Balance 324,473 |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.65 · Expires 2024-02-17 | Direct | 0 |
Reported balance
After 2020-07-06 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2020-07-06 · Exercise / conversion · Disposed 9,310 · Balance 0 F4: This option vested 25% on October 1, 2014, and the remaining 75% vested in 36 substantially equal monthly installments thereafter, subject to the Reporting Person's continued service with the Issuer and certain change of control provisions. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.03 · Expires 2025-04-28 | Direct | 0 |
Reported balance
After 2020-07-06 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2020-07-06 · Exercise / conversion · Disposed 12,930 · Balance 0 F5: This option vested in 48 substantially equal monthly installments from February 20, 2015, subject to the Reporting Person's continued service with the Issuer and certain change of control provisions. |
| Common StockSEC Table I · non-derivative | IndirectBy The Venkatesan-Louizides Trust | 190,957 |
Reported balance
Holding disclosure · report date 2020-07-06 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 190,957 F1: The Reporting Person is the trustee of the Venkatesan-Louizides Trust (the "Trust") and has voting or dispositive power over the shares held by the Trust. F2: The Reporting Person disclaims beneficial ownership of the shares of common stock reported herein except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. |
| Common StockSEC Table I · non-derivative | IndirectBy Ayer Special Situations Fund I, LP | 156,858 |
Reported balance
Holding disclosure · report date 2020-07-06 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 156,858 F2: The Reporting Person disclaims beneficial ownership of the shares of common stock reported herein except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. F3: The Reporting Person is the managing director of the Ayer Special Situations Fund I, LP ("Ayer Fund") and has voting or dispositive power over the shares held by the Ayer Fund. |
Filing footnotes · ownership attribution and instrument terms
F1: The Reporting Person is the trustee of the Venkatesan-Louizides Trust (the "Trust") and has voting or dispositive power over the shares held by the Trust.
F2: The Reporting Person disclaims beneficial ownership of the shares of common stock reported herein except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
F3: The Reporting Person is the managing director of the Ayer Special Situations Fund I, LP ("Ayer Fund") and has voting or dispositive power over the shares held by the Ayer Fund.
F4: This option vested 25% on October 1, 2014, and the remaining 75% vested in 36 substantially equal monthly installments thereafter, subject to the Reporting Person's continued service with the Issuer and certain change of control provisions.
F5: This option vested in 48 substantially equal monthly installments from February 20, 2015, subject to the Reporting Person's continued service with the Issuer and certain change of control provisions.
Elicio Therapeutics, Inc.
Report date August 31, 2026 · Filed September 02, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.70 · Expires 2036-08-31 | Direct | 21,750 |
Reported balance
After 2026-08-31 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-08-31 · Grant · Acquired 21,750 · Balance 21,750 F1: The stock option represents the annual non-employee director equity award to the Reporting Person and shall vest and become exercisable in full on the earlier of (A) August 31, 2027, the one-year anniversary of the date of grant, and (B) the annual meeting of the Issuer's stockholders held in 2027, subject to the Reporting Person continuing to provide services to the Issuer through such vesting date. No additional equity award will be made to the Reporting Person in connection with the 2026 annual meeting of stockholders. |
Filing footnotes · ownership attribution and instrument terms
F1: The stock option represents the annual non-employee director equity award to the Reporting Person and shall vest and become exercisable in full on the earlier of (A) August 31, 2027, the one-year anniversary of the date of grant, and (B) the annual meeting of the Issuer's stockholders held in 2027, subject to the Reporting Person continuing to provide services to the Issuer through such vesting date. No additional equity award will be made to the Reporting Person in connection with the 2026 annual meeting of stockholders.
IOVANCE BIOTHERAPEUTICS, INC.
Report date June 01, 2017 · Filed June 05, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.45 · Expires 2027-05-31 | Direct | 35,000 |
Reported balance
After 2017-06-01 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2017-06-01 · Grant · Acquired 35,000 · Balance 35,000 F1: These options are exercisable in four equal quarterly installments of 8,750 each following the date of grant. If the Reporting Person's service to the Issuer terminates before the expiration date, the option shares will be exercisable for two years following termination of service unless the Reporting Person is terminated for cause, in which case the options are terminated. |
Filing footnotes · ownership attribution and instrument terms
F1: These options are exercisable in four equal quarterly installments of 8,750 each following the date of grant. If the Reporting Person's service to the Issuer terminates before the expiration date, the option shares will be exercisable for two years following termination of service unless the Reporting Person is terminated for cause, in which case the options are terminated.
Serina Therapeutics, Inc.
Report date May 22, 2026 · Filed June 22, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 589 |
Reported balance
After 2026-05-22 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2026-05-22 · Purchase · Acquired 589 · Balance 589 F1: The share ownership amount has been adjusted to correct an administrative error in a prior Form 4 filed by the Reporting Person, which inadvertently reported 7,553 shares as direct ownership, rather than indirect ownership. |
| Common StockSEC Table I · non-derivative | IndirectThe Jay Venkatesan Legacy Trust | 231,705 |
Reported balance
After 2026-06-17 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 2 · 2026-06-17 · Conversion · Acquired 224,152 · Balance 231,705 F2: Shares reflect the mandatory conversion at an adjusted Conversion Price of $2.25 of the Company's Series A Convertible Prefered Stock ("Series A Preferred") issued in connection with the April 2025 Private Placement. The Reporting Person was originally issued 96,525 shares of Series A Preferred that were converted into 222,222 shares of Common Stock and 1,930 shares that were issued for payment of accrued dividends. Shares were issued upon receipt of stockholder approval, which approval was obtained on June 17, 2026, thereby triggering the automatic conversion of the Series A Preferred into common stock. F1: The share ownership amount has been adjusted to correct an administrative error in a prior Form 4 filed by the Reporting Person, which inadvertently reported 7,553 shares as direct ownership, rather than indirect ownership. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.98 · Expires 2036-06-17 | Direct | 15,250 |
Reported balance
After 2026-06-17 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2026-06-17 · Grant · Acquired 15,250 · Balance 15,250 F3: The stock options will vest on the earlier of (i) the day before the next Annual Meeting or (ii) the one-year anniversary of the grant date, subject to the Reporting Person's continued service to the Issuer through the applicable vesting dates. |
| Series A Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $5.18 | IndirectThe Jay Venkatesan Legacy Trust | 0 |
Reported balance
After 2026-06-17 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2026-06-17 · Conversion · Disposed 96,525 · Balance 0 F4: The Series A Convertible Preferred Stock is perpetual and therefore has no expiration date. |
Filing footnotes · ownership attribution and instrument terms
F1: The share ownership amount has been adjusted to correct an administrative error in a prior Form 4 filed by the Reporting Person, which inadvertently reported 7,553 shares as direct ownership, rather than indirect ownership.
F2: Shares reflect the mandatory conversion at an adjusted Conversion Price of $2.25 of the Company's Series A Convertible Prefered Stock ("Series A Preferred") issued in connection with the April 2025 Private Placement. The Reporting Person was originally issued 96,525 shares of Series A Preferred that were converted into 222,222 shares of Common Stock and 1,930 shares that were issued for payment of accrued dividends. Shares were issued upon receipt of stockholder approval, which approval was obtained on June 17, 2026, thereby triggering the automatic conversion of the Series A Preferred into common stock.
F3: The stock options will vest on the earlier of (i) the day before the next Annual Meeting or (ii) the one-year anniversary of the grant date, subject to the Reporting Person's continued service to the Issuer through the applicable vesting dates.
F4: The Series A Convertible Preferred Stock is perpetual and therefore has no expiration date.
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 |
|---|---|---|---|---|---|---|
| February 09, 2021 Filed Feb 12, 2021 00:25 UTC | Elicio Therapeutics, Inc. ANGN · Entity 299 | ConversionCommon Stock | 165,094 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001567619-21-003193 · doc1.xml · nonDerivative · entry 2 Venkatesan Jay · CIK 0001413350 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,202,111 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. F3 · price: Each share of the issuer's Series C Preferred Stock automatically converted into 91.52 shares of the issuer's Common Stock immediately prior to the consummation of the issuer's IPO and had no expiration date. F2 · balance_after: Includes 246,299 RSUs. The Reporting Person is entitled to receive one (1) share of common stock for each one (1) RSU upon the vesting thereof. Read SEC document |
| February 09, 2021 Filed Feb 12, 2021 00:25 UTC | Elicio Therapeutics, Inc. ANGN · Entity 299 | Tax withholdingCommon Stock | 31,966 | $16.00 | $511,456.00 |
DisclosureSEC source: 0001567619-21-003193 · doc1.xml · nonDerivative · entry 1 Venkatesan Jay · CIK 0001413350 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,037,017 F1 · kind: The shares were withheld to satisfy tax or other government withholding obligations in connection with the vesting of Restricted Stock Units ("RSUs"). F2 · balance_after: Includes 246,299 RSUs. The Reporting Person is entitled to receive one (1) share of common stock for each one (1) RSU upon the vesting thereof. Read SEC document |
| February 09, 2021 Filed May 27, 2022 20:20 UTC Amendment | Elicio Therapeutics, Inc. ANGN · Entity 299 | OtherWarrant to Purchase Common Stock · Derivative | 396,329 | $0.00 Strike: $6.43 | $0.00 |
DisclosureSEC source: 0001601485-22-000045 · wf-form4a_165368278065712.xml · derivative · entry 4 Venkatesan Jay · CIK 0001413350 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 396,329 shares Expires 2028-07-05 F1 · derivative.exercise_date: On February 9, 2021 the Reporting Person exercised a warrant to purchase an aggregate of 396,329 shares of the Issuer's common stock for $6.43 a share. The Reporting Person paid the exercise price on a cashless basis, resulting in the issuer's withholding of 159,177 of the warrant shares to pay the exercise price and issuing to the Reporting Person the remaining 237,152 shares of common stock. Read SEC document |
| February 09, 2021 Filed May 27, 2022 20:20 UTC Amendment | Elicio Therapeutics, Inc. ANGN · Entity 299 | ConversionCommon Stock | 262 | $11.57 | $3,031.34 |
DisclosureSEC source: 0001601485-22-000045 · wf-form4a_165368278065712.xml · nonDerivative · entry 3 Venkatesan Jay · CIK 0001413350 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,439,525 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. Read SEC document |
| February 09, 2021 Filed May 27, 2022 20:20 UTC Amendment | Elicio Therapeutics, Inc. ANGN · Entity 299 | SaleCommon Stock | 159,177 | $16.00 | $2,546,832.00 |
DisclosureSEC source: 0001601485-22-000045 · wf-form4a_165368278065712.xml · nonDerivative · entry 2 Venkatesan Jay · CIK 0001413350 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,367,263 F1 · kind: On February 9, 2021 the Reporting Person exercised a warrant to purchase an aggregate of 396,329 shares of the Issuer's common stock for $6.43 a share. The Reporting Person paid the exercise price on a cashless basis, resulting in the issuer's withholding of 159,177 of the warrant shares to pay the exercise price and issuing to the Reporting Person the remaining 237,152 shares of common stock. Read SEC document |
| February 09, 2021 Filed May 27, 2022 20:20 UTC Amendment | Elicio Therapeutics, Inc. ANGN · Entity 299 | OtherCommon Stock | 396,329 | $6.43 | $2,548,395.47 |
DisclosureSEC source: 0001601485-22-000045 · wf-form4a_165368278065712.xml · nonDerivative · entry 1 Venkatesan Jay · CIK 0001413350 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,598,440 Read SEC document |
| February 04, 2021 Filed Feb 8, 2021 17:57 UTC | Elicio Therapeutics, Inc. ANGN · Entity 299 | GrantStock Option (Right to Buy) · Derivative | 178,920 | $0.00 Strike: $16.00 | $0.00 |
DisclosureSEC source: 0001567619-21-002411 · doc1.xml · derivative · entry 1 Venkatesan Jay · CIK 0001413350 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 178,920 Underlying: Common Stock · 178,920 shares Expires 2031-02-03 F1 · derivative.exercise_date: 1/48th of the total number of shares vest in forty-eight (48) successive and equal monthly installments measured from February 4, 2021 (the "Vesting Commencement Date"), such that 100% of the shares subject to the option will be fully vested and exercisable on the fourth anniversary of the Vesting Commencement Date. Read SEC document |
| January 04, 2021 Filed Jan 6, 2021 00:03 UTC | ALPINE IMMUNE SCIENCES, INC. ALPN · Entity 90802 | GrantStock Option (Right to buy) · Derivative | 7,650 | $0.00 Strike: $13.45 | $0.00 |
DisclosureSEC source: 0001626199-21-000019 · wf-form4_160989139272459.xml · derivative · entry 1 Venkatesan Jay · CIK 0001413350 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,650 Underlying: Common Stock · 7,650 shares Expires 2031-01-03 F1 · derivative.exercise_price: The exercise price is equal to the closing price per share of Common Stock as reported on the Nasdaq Global Market on the date of grant. F2 · derivative.exercise_date: 1/12th of the shares subject to the option become vested and exercisable on February 4, 2021 and 1/12th of the shares subject to the option shall vest monthly thereafter. Read SEC document |
| December 22, 2020 Filed Dec 22, 2020 22:30 UTC | ALPINE IMMUNE SCIENCES, INC. ALPN · Entity 90802 | OtherCommon Stock | 181,024 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-20-034852 · doc4.xml · nonDerivative · entry 2 Venkatesan Jay · CIK 0001413350 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 202,763 F4 · kind: Acquisition by the Reporting Person pursuant to the Distribution. F4 · price: Acquisition by the Reporting Person pursuant to the Distribution. Read SEC document |
| December 22, 2020 Filed Dec 22, 2020 22:30 UTC | ALPINE IMMUNE SCIENCES, INC. ALPN · Entity 90802 | OtherCommon Stock | 993,801 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-20-034852 · doc4.xml · nonDerivative · entry 1 Venkatesan Jay · CIK 0001413350 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Alpine ImmunoSciences, L.P. Disclosed balance after: 3,000,980 F1 · kind: Alpine ImmunoSciences, L.P. distributed these shares to its limited partners on a pro rata basis for no consideration (the "Distribution"). F1 · price: Alpine ImmunoSciences, L.P. distributed these shares to its limited partners on a pro rata basis for no consideration (the "Distribution"). F2 · ownership.nature: Alpine BioVentures GP, LLC is the general partner of Alpine ImmunoSciences, L.P. Dr. Venkatesan is a Managing Partner of Alpine BioVenture GP, LLC. Dr. Venkatesan is also a limited partner of Alpine ImmunoSciences, L.P. By virtue of such relationships, Dr. Venkatesan may be deemed to have voting and investment power with respect to the shares held by Alpine ImmunoSciences, L.P. and as a result may be deemed to have beneficial ownership of such shares. F3 · ownership.nature: The Reporting Person disclaims beneficial ownership of the shares of common stock reported herein except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| July 06, 2020 Filed Jul 8, 2020 20:46 UTC | EXICURE, INC. XCUR · Entity 8068 | Exercise / conversionStock Option (right to buy) · Derivative | 12,930 | $0.00 Strike: $1.03 | $0.00 |
DisclosureSEC source: 0001209191-20-041770 · doc4.xml · derivative · entry 6 Venkatesan Jay · CIK 0001413350 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 12,930 shares Expires 2025-04-28 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. F5 · derivative.exercise_date: This option vested in 48 substantially equal monthly installments from February 20, 2015, subject to the Reporting Person's continued service with the Issuer and certain change of control provisions. Read SEC document |
| July 06, 2020 Filed Jul 8, 2020 20:46 UTC | EXICURE, INC. XCUR · Entity 8068 | Exercise / conversionStock Option (right to buy) · Derivative | 9,310 | $0.00 Strike: $0.65 | $0.00 |
DisclosureSEC source: 0001209191-20-041770 · doc4.xml · derivative · entry 5 Venkatesan Jay · CIK 0001413350 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 9,310 shares Expires 2024-02-17 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. F4 · derivative.exercise_date: This option vested 25% on October 1, 2014, and the remaining 75% vested in 36 substantially equal monthly installments thereafter, subject to the Reporting Person's continued service with the Issuer and certain change of control provisions. Read SEC document |
| July 06, 2020 Filed Jul 8, 2020 20:46 UTC | EXICURE, INC. XCUR · Entity 8068 | Exercise / conversionCommon Stock | 12,930 | $1.03 | $13,317.90 |
DisclosureSEC source: 0001209191-20-041770 · doc4.xml · nonDerivative · entry 2 Venkatesan Jay · CIK 0001413350 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 324,473 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. Read SEC document |
| July 06, 2020 Filed Jul 8, 2020 20:46 UTC | EXICURE, INC. XCUR · Entity 8068 | Exercise / conversionCommon Stock | 9,310 | $0.65 | $6,051.50 |
DisclosureSEC source: 0001209191-20-041770 · doc4.xml · nonDerivative · entry 1 Venkatesan Jay · CIK 0001413350 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 311,544 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. Read SEC document |
| June 04, 2020 Filed Jun 8, 2020 23:22 UTC | EXICURE, INC. XCUR · Entity 8068 | GrantStock Option (right to buy) · Derivative | 21,693 | $0.00 Strike: $2.79 | $0.00 |
DisclosureSEC source: 0001209191-20-035126 · doc4.xml · derivative · entry 1 Venkatesan Jay · CIK 0001413350 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,693 Underlying: Common Stock · 21,693 shares Expires 2030-06-03 F1 · derivative.exercise_date: The shares subject to the option will vest as to 1/12 of the underlying shares monthly from the vesting commencement date of June 4, 2020, provided the Reporting Person remains in continuous service on each vesting date. Read SEC document |
| January 02, 2020 Filed Jan 7, 2020 01:02 UTC | ALPINE IMMUNE SCIENCES, INC. ALPN · Entity 90802 | GrantStock Option (Right to buy) · Derivative | 7,650 | $0.00 Strike: $3.62 | $0.00 |
DisclosureSEC source: 0000899243-20-000641 · doc4.xml · derivative · entry 1 Venkatesan Jay · CIK 0001413350 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,650 Underlying: Common Stock · 7,650 shares Expires 2030-01-01 F1 · derivative.exercise_price: The exercise price is equal to the closing price per share of Common Stock as reported on the Nasdaq Global Market on the date of grant. F2 · derivative.exercise_date: 1/12th of the shares subject to the option become vested and exercisable on February 2, 2020 and 1/12th of the shares subject to the option shall vest monthly thereafter. Read SEC document |
| August 02, 2019 Filed Aug 6, 2019 21:11 UTC | EXICURE, INC. XCUR · Entity 8068 | PurchaseCommon Stock | 250,000 | $2.00 | $500,000.00 |
DisclosureSEC source: 0001698530-19-000111 · wf-form4_156512586376371.xml · nonDerivative · entry 1 Venkatesan Jay · CIK 0001413350 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 302,234 Read SEC document |
| June 14, 2019 Filed Jun 14, 2019 21:37 UTC | EXICURE, INC. XCUR · Entity 8068 | GrantStock Option (right to buy) · Derivative | 21,693 | $0.00 Strike: $2.78 | $0.00 |
DisclosureSEC source: 0001698530-19-000065 · wf-form4_156054824434724.xml · derivative · entry 1 Venkatesan Jay · CIK 0001413350 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,693 Underlying: Common Stock · 21,693 shares Expires 2029-06-13 F1 · derivative.exercise_date: This option vests in 12 substantially equal monthly installments from June 14, 2019, provided that the option will vest in full on the Issuer's next regularly scheduled annual meeting of stockholders that occurs following the Grant Date, subject to the Reporting Person's continued service with the Issuer through each such date or, if earlier, such annual meeting and certain change of control provisions. Read SEC document |
| January 18, 2019 Filed Jan 23, 2019 01:44 UTC | ALPINE IMMUNE SCIENCES, INC. ALPN · Entity 90802 | PurchaseWarrant (right to buy) · Derivative | 74,441 | Not disclosed Strike: $12.74 | Not disclosed |
DisclosureSEC source: 0000899243-19-001661 · doc4.xml · derivative · entry 5 Venkatesan Jay · CIK 0001413350 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Alpine ImmunoSciences, L.P. Disclosed balance after: 74,441 Underlying: Common Stock · 74,441 shares Expires 2024-01-18 F1 · kind: Represents shares acquired in a private placement pursuant to that Securities Purchase Agreement, dated as of January 15, 2019, by and among the Issuer and the Purchasers set forth on the signature pages thereto (the "Securities Purchase Agreement"). Pursuant to the terms of the Securities Purchase Agreement, investors purchased common stock units for $5.37 per common stock unit. Each common stock unit consisted of one share of the Company's Common Stock and a warrant to purchase 0.39 shares of the Company's Common Stock. F1 · price: Represents shares acquired in a private placement pursuant to that Securities Purchase Agreement, dated as of January 15, 2019, by and among the Issuer and the Purchasers set forth on the signature pages thereto (the "Securities Purchase Agreement"). Pursuant to the terms of the Securities Purchase Agreement, investors purchased common stock units for $5.37 per common stock unit. Each common stock unit consisted of one share of the Company's Common Stock and a warrant to purchase 0.39 shares of the Company's Common Stock. F2 · ownership.direct: Alpine BioVentures GP, LLC is the general partner of Alpine ImmunoSciences, L.P. Dr. Venkatesan is a Managing Partner of Alpine BioVentures GP, LLC. Dr. Venkatesan is also a limited partner of Alpine ImmunoSciences, L.P. By virtue of such relationships, Dr. Venkatesan may be deemed to have voting and investment power with respect to the shares held by Alpine ImmunoSciences, L.P. and as a result may be deemed to have beneficial ownership of such shares. F2 · ownership.nature: Alpine BioVentures GP, LLC is the general partner of Alpine ImmunoSciences, L.P. Dr. Venkatesan is a Managing Partner of Alpine BioVentures GP, LLC. Dr. Venkatesan is also a limited partner of Alpine ImmunoSciences, L.P. By virtue of such relationships, Dr. Venkatesan may be deemed to have voting and investment power with respect to the shares held by Alpine ImmunoSciences, L.P. and as a result may be deemed to have beneficial ownership of such shares. F3 · ownership.nature: The Reporting Person disclaims beneficial ownership of the shares of common stock reported herein except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| January 18, 2019 Filed Jan 23, 2019 01:44 UTC | ALPINE IMMUNE SCIENCES, INC. ALPN · Entity 90802 | PurchaseCommon Stock | 190,875 | $5.37 | $1,024,998.75 |
DisclosureSEC source: 0000899243-19-001661 · doc4.xml · nonDerivative · entry 1 Venkatesan Jay · CIK 0001413350 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Alpine ImmunoSciences, L.P. Disclosed balance after: 3,994,781 F1 · kind: Represents shares acquired in a private placement pursuant to that Securities Purchase Agreement, dated as of January 15, 2019, by and among the Issuer and the Purchasers set forth on the signature pages thereto (the "Securities Purchase Agreement"). Pursuant to the terms of the Securities Purchase Agreement, investors purchased common stock units for $5.37 per common stock unit. Each common stock unit consisted of one share of the Company's Common Stock and a warrant to purchase 0.39 shares of the Company's Common Stock. F1 · price: Represents shares acquired in a private placement pursuant to that Securities Purchase Agreement, dated as of January 15, 2019, by and among the Issuer and the Purchasers set forth on the signature pages thereto (the "Securities Purchase Agreement"). Pursuant to the terms of the Securities Purchase Agreement, investors purchased common stock units for $5.37 per common stock unit. Each common stock unit consisted of one share of the Company's Common Stock and a warrant to purchase 0.39 shares of the Company's Common Stock. F2 · ownership.direct: Alpine BioVentures GP, LLC is the general partner of Alpine ImmunoSciences, L.P. Dr. Venkatesan is a Managing Partner of Alpine BioVentures GP, LLC. Dr. Venkatesan is also a limited partner of Alpine ImmunoSciences, L.P. By virtue of such relationships, Dr. Venkatesan may be deemed to have voting and investment power with respect to the shares held by Alpine ImmunoSciences, L.P. and as a result may be deemed to have beneficial ownership of such shares. F2 · ownership.nature: Alpine BioVentures GP, LLC is the general partner of Alpine ImmunoSciences, L.P. Dr. Venkatesan is a Managing Partner of Alpine BioVentures GP, LLC. Dr. Venkatesan is also a limited partner of Alpine ImmunoSciences, L.P. By virtue of such relationships, Dr. Venkatesan may be deemed to have voting and investment power with respect to the shares held by Alpine ImmunoSciences, L.P. and as a result may be deemed to have beneficial ownership of such shares. F3 · ownership.nature: The Reporting Person disclaims beneficial ownership of the shares of common stock reported herein except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| January 02, 2019 Filed Jan 4, 2019 21:01 UTC | ALPINE IMMUNE SCIENCES, INC. ALPN · Entity 90802 | GrantStock Option (Right to buy) · Derivative | 7,650 | $0.00 Strike: $4.09 | $0.00 |
DisclosureSEC source: 0000899243-19-000499 · doc4.xml · derivative · entry 1 Venkatesan Jay · CIK 0001413350 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,650 Underlying: Common Stock · 7,650 shares Expires 2029-01-01 F1 · derivative.exercise_price: The exercise price is equal to the closing price per share of Common Stock as reported on the Nasdaq Global Market on the date of grant. F2 · derivative.exercise_date: 1/12th of the shares subject to the option become vested and exercisable on February 2, 2019 and 1/12th of the shares subject to the option shall vest monthly thereafter. Read SEC document |
| June 19, 2018 Filed Jun 21, 2018 22:14 UTC | EXICURE, INC. XCUR · Entity 8068 | GrantStock Option (right to buy) · Derivative | 21,693 | $0.00 Strike: $5.82 | $0.00 |
DisclosureSEC source: 0001698530-18-000036 · wf-form4_152961927100358.xml · derivative · entry 1 Venkatesan Jay · CIK 0001413350 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,693 Underlying: Common Stock · 21,693 shares Expires 2028-06-18 F1 · derivative.exercise_date: This option vests in 12 substantially equal monthly installments from June 19, 2018, subject to the Reporting Person's continued service with the Issuer and certain change of control provisions. Read SEC document |
| January 02, 2018 Filed Jan 4, 2018 22:18 UTC | ALPINE IMMUNE SCIENCES, INC. ALPN · Entity 90802 | GrantStock Option (Right to buy) · Derivative | 25,000 | $0.00 Strike: $11.31 | $0.00 |
DisclosureSEC source: 0000899243-18-000490 · doc4.xml · derivative · entry 1 Venkatesan Jay · CIK 0001413350 · Director · President · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 Underlying: Common Stock · 25,000 shares Expires 2028-01-01 F1 · derivative.exercise_price: The exercise price is equal to the closing price per share of Common Stock as reported on the Nasdaq Global Market on the date of grant. F2 · derivative.exercise_date: 1/4th of the shares subject to the option become vested and exercisable on January 2, 2019 and 1/36th of the remaining shares subject to the option shall vest monthly thereafter. Read SEC document |
| September 26, 2017 Filed Sep 29, 2017 01:40 UTC | EXICURE, INC. XCUR · Entity 8068 | GrantStock Option (right to buy) · Derivative | 24,824 | $0.00 Strike: $4.21 | $0.00 |
DisclosureSEC source: 0000899243-17-022826 · doc4.xml · derivative · entry 7 Venkatesan Jay · CIK 0001413350 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,824 Underlying: Common Stock · 24,824 shares Expires 2027-01-04 F1 · derivative.exercise_price: Pursuant to that certain Agreement and Plan of Merger and Reorganization (the "Merger Agreement"), dated as of September 26, 2017, by and among the Issuer then known as Max-1 Acquisition Corporation, Max-1 Acquisition Sub, Inc. and the corporation then known as Exicure, Inc. ("Exicure OpCo"), each outstanding share of Exicure OpCo capital stock (other than shares of Series C Preferred Stock of Exicure OpCo) was converted into 0.49649 shares of the Issuer's common stock (the "Conversion Ratio") and each outstanding share of Series C Preferred Stock of Exicure OpCo was converted into 0.7666652 shares of the Issuer's common stock (the "Series C Conversion Ratio"). F5 · derivative.exercise_price: Each option to purchase shares of Exicure OpCo outstanding and unexercised was assumed by the Issuer pursuant to the Merger Agreement and was converted into an option, subject to vesting, to purchase shares of common stock of the Issuer, with the number of shares of the Issuer's common stock underlying such option and the exercises price for such option adjusted to reflect the Conversion Ratio. F1 · shares: Pursuant to that certain Agreement and Plan of Merger and Reorganization (the "Merger Agreement"), dated as of September 26, 2017, by and among the Issuer then known as Max-1 Acquisition Corporation, Max-1 Acquisition Sub, Inc. and the corporation then known as Exicure, Inc. ("Exicure OpCo"), each outstanding share of Exicure OpCo capital stock (other than shares of Series C Preferred Stock of Exicure OpCo) was converted into 0.49649 shares of the Issuer's common stock (the "Conversion Ratio") and each outstanding share of Series C Preferred Stock of Exicure OpCo was converted into 0.7666652 shares of the Issuer's common stock (the "Series C Conversion Ratio"). F5 · shares: Each option to purchase shares of Exicure OpCo outstanding and unexercised was assumed by the Issuer pursuant to the Merger Agreement and was converted into an option, subject to vesting, to purchase shares of common stock of the Issuer, with the number of shares of the Issuer's common stock underlying such option and the exercises price for such option adjusted to reflect the Conversion Ratio. F5 · price: Each option to purchase shares of Exicure OpCo outstanding and unexercised was assumed by the Issuer pursuant to the Merger Agreement and was converted into an option, subject to vesting, to purchase shares of common stock of the Issuer, with the number of shares of the Issuer's common stock underlying such option and the exercises price for such option adjusted to reflect the Conversion Ratio. F8 · derivative.exercise_date: This option vests in 12 substantially equal monthly installments from January 4, 2017, subject to the Reporting Person's continued service with the Issuer and certain change of control provisions. F1 · derivative.underlying_shares: Pursuant to that certain Agreement and Plan of Merger and Reorganization (the "Merger Agreement"), dated as of September 26, 2017, by and among the Issuer then known as Max-1 Acquisition Corporation, Max-1 Acquisition Sub, Inc. and the corporation then known as Exicure, Inc. ("Exicure OpCo"), each outstanding share of Exicure OpCo capital stock (other than shares of Series C Preferred Stock of Exicure OpCo) was converted into 0.49649 shares of the Issuer's common stock (the "Conversion Ratio") and each outstanding share of Series C Preferred Stock of Exicure OpCo was converted into 0.7666652 shares of the Issuer's common stock (the "Series C Conversion Ratio"). F5 · derivative.underlying_shares: Each option to purchase shares of Exicure OpCo outstanding and unexercised was assumed by the Issuer pursuant to the Merger Agreement and was converted into an option, subject to vesting, to purchase shares of common stock of the Issuer, with the number of shares of the Issuer's common stock underlying such option and the exercises price for such option adjusted to reflect the Conversion Ratio. Read SEC document |
| September 26, 2017 Filed Sep 29, 2017 01:40 UTC | EXICURE, INC. XCUR · Entity 8068 | GrantStock Option (right to buy) · Derivative | 12,929 | $0.00 Strike: $1.03 | $0.00 |
DisclosureSEC source: 0000899243-17-022826 · doc4.xml · derivative · entry 6 Venkatesan Jay · CIK 0001413350 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,929 Underlying: Common Stock · 12,929 shares Expires 2025-04-28 F1 · derivative.exercise_price: Pursuant to that certain Agreement and Plan of Merger and Reorganization (the "Merger Agreement"), dated as of September 26, 2017, by and among the Issuer then known as Max-1 Acquisition Corporation, Max-1 Acquisition Sub, Inc. and the corporation then known as Exicure, Inc. ("Exicure OpCo"), each outstanding share of Exicure OpCo capital stock (other than shares of Series C Preferred Stock of Exicure OpCo) was converted into 0.49649 shares of the Issuer's common stock (the "Conversion Ratio") and each outstanding share of Series C Preferred Stock of Exicure OpCo was converted into 0.7666652 shares of the Issuer's common stock (the "Series C Conversion Ratio"). F5 · derivative.exercise_price: Each option to purchase shares of Exicure OpCo outstanding and unexercised was assumed by the Issuer pursuant to the Merger Agreement and was converted into an option, subject to vesting, to purchase shares of common stock of the Issuer, with the number of shares of the Issuer's common stock underlying such option and the exercises price for such option adjusted to reflect the Conversion Ratio. F1 · shares: Pursuant to that certain Agreement and Plan of Merger and Reorganization (the "Merger Agreement"), dated as of September 26, 2017, by and among the Issuer then known as Max-1 Acquisition Corporation, Max-1 Acquisition Sub, Inc. and the corporation then known as Exicure, Inc. ("Exicure OpCo"), each outstanding share of Exicure OpCo capital stock (other than shares of Series C Preferred Stock of Exicure OpCo) was converted into 0.49649 shares of the Issuer's common stock (the "Conversion Ratio") and each outstanding share of Series C Preferred Stock of Exicure OpCo was converted into 0.7666652 shares of the Issuer's common stock (the "Series C Conversion Ratio"). F5 · shares: Each option to purchase shares of Exicure OpCo outstanding and unexercised was assumed by the Issuer pursuant to the Merger Agreement and was converted into an option, subject to vesting, to purchase shares of common stock of the Issuer, with the number of shares of the Issuer's common stock underlying such option and the exercises price for such option adjusted to reflect the Conversion Ratio. F5 · price: Each option to purchase shares of Exicure OpCo outstanding and unexercised was assumed by the Issuer pursuant to the Merger Agreement and was converted into an option, subject to vesting, to purchase shares of common stock of the Issuer, with the number of shares of the Issuer's common stock underlying such option and the exercises price for such option adjusted to reflect the Conversion Ratio. F7 · derivative.exercise_date: This option vests in 48 substantially equal monthly installments from February 20, 2015, subject to the Reporting Person's continued service with the Issuer and certain change of control provisions. F1 · derivative.underlying_shares: Pursuant to that certain Agreement and Plan of Merger and Reorganization (the "Merger Agreement"), dated as of September 26, 2017, by and among the Issuer then known as Max-1 Acquisition Corporation, Max-1 Acquisition Sub, Inc. and the corporation then known as Exicure, Inc. ("Exicure OpCo"), each outstanding share of Exicure OpCo capital stock (other than shares of Series C Preferred Stock of Exicure OpCo) was converted into 0.49649 shares of the Issuer's common stock (the "Conversion Ratio") and each outstanding share of Series C Preferred Stock of Exicure OpCo was converted into 0.7666652 shares of the Issuer's common stock (the "Series C Conversion Ratio"). F5 · derivative.underlying_shares: Each option to purchase shares of Exicure OpCo outstanding and unexercised was assumed by the Issuer pursuant to the Merger Agreement and was converted into an option, subject to vesting, to purchase shares of common stock of the Issuer, with the number of shares of the Issuer's common stock underlying such option and the exercises price for such option adjusted to reflect the Conversion Ratio. Read SEC document |
| September 26, 2017 Filed Sep 29, 2017 01:40 UTC | EXICURE, INC. XCUR · Entity 8068 | GrantStock Option (right to buy) · Derivative | 9,309 | $0.00 Strike: $0.65 | $0.00 |
DisclosureSEC source: 0000899243-17-022826 · doc4.xml · derivative · entry 5 Venkatesan Jay · CIK 0001413350 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,309 Underlying: Common Stock · 9,309 shares Expires 2024-02-17 F1 · derivative.exercise_price: Pursuant to that certain Agreement and Plan of Merger and Reorganization (the "Merger Agreement"), dated as of September 26, 2017, by and among the Issuer then known as Max-1 Acquisition Corporation, Max-1 Acquisition Sub, Inc. and the corporation then known as Exicure, Inc. ("Exicure OpCo"), each outstanding share of Exicure OpCo capital stock (other than shares of Series C Preferred Stock of Exicure OpCo) was converted into 0.49649 shares of the Issuer's common stock (the "Conversion Ratio") and each outstanding share of Series C Preferred Stock of Exicure OpCo was converted into 0.7666652 shares of the Issuer's common stock (the "Series C Conversion Ratio"). F5 · derivative.exercise_price: Each option to purchase shares of Exicure OpCo outstanding and unexercised was assumed by the Issuer pursuant to the Merger Agreement and was converted into an option, subject to vesting, to purchase shares of common stock of the Issuer, with the number of shares of the Issuer's common stock underlying such option and the exercises price for such option adjusted to reflect the Conversion Ratio. F1 · shares: Pursuant to that certain Agreement and Plan of Merger and Reorganization (the "Merger Agreement"), dated as of September 26, 2017, by and among the Issuer then known as Max-1 Acquisition Corporation, Max-1 Acquisition Sub, Inc. and the corporation then known as Exicure, Inc. ("Exicure OpCo"), each outstanding share of Exicure OpCo capital stock (other than shares of Series C Preferred Stock of Exicure OpCo) was converted into 0.49649 shares of the Issuer's common stock (the "Conversion Ratio") and each outstanding share of Series C Preferred Stock of Exicure OpCo was converted into 0.7666652 shares of the Issuer's common stock (the "Series C Conversion Ratio"). F5 · shares: Each option to purchase shares of Exicure OpCo outstanding and unexercised was assumed by the Issuer pursuant to the Merger Agreement and was converted into an option, subject to vesting, to purchase shares of common stock of the Issuer, with the number of shares of the Issuer's common stock underlying such option and the exercises price for such option adjusted to reflect the Conversion Ratio. F5 · price: Each option to purchase shares of Exicure OpCo outstanding and unexercised was assumed by the Issuer pursuant to the Merger Agreement and was converted into an option, subject to vesting, to purchase shares of common stock of the Issuer, with the number of shares of the Issuer's common stock underlying such option and the exercises price for such option adjusted to reflect the Conversion Ratio. F6 · derivative.exercise_date: This option vested 25% on October 1, 2014, and the remaining 75% vests in 36 substantially equal monthly installments thereafter, subject to the Reporting Person's continued service with the Issuer and certain change of control provisions. F1 · derivative.underlying_shares: Pursuant to that certain Agreement and Plan of Merger and Reorganization (the "Merger Agreement"), dated as of September 26, 2017, by and among the Issuer then known as Max-1 Acquisition Corporation, Max-1 Acquisition Sub, Inc. and the corporation then known as Exicure, Inc. ("Exicure OpCo"), each outstanding share of Exicure OpCo capital stock (other than shares of Series C Preferred Stock of Exicure OpCo) was converted into 0.49649 shares of the Issuer's common stock (the "Conversion Ratio") and each outstanding share of Series C Preferred Stock of Exicure OpCo was converted into 0.7666652 shares of the Issuer's common stock (the "Series C Conversion Ratio"). F5 · derivative.underlying_shares: Each option to purchase shares of Exicure OpCo outstanding and unexercised was assumed by the Issuer pursuant to the Merger Agreement and was converted into an option, subject to vesting, to purchase shares of common stock of the Issuer, with the number of shares of the Issuer's common stock underlying such option and the exercises price for such option adjusted to reflect the Conversion Ratio. Read SEC document |
| September 26, 2017 Filed Sep 29, 2017 01:40 UTC | EXICURE, INC. XCUR · Entity 8068 | PurchaseCommon Stock | 66,666 | $3.00 | $199,998.00 |
DisclosureSEC source: 0000899243-17-022826 · doc4.xml · nonDerivative · entry 4 Venkatesan Jay · CIK 0001413350 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Ayer Special Situations Fund I, LP Disclosed balance after: 156,858 F3 · ownership.nature: The Reporting Person is the managing director of the Ayer Special Situations Fund I, LP ("Ayer Fund") and has voting or dispositive power over the shares held by the Ayer Fund. F4 · ownership.nature: The Reporting Person disclaims beneficial ownership of the shares of common stock reported herein except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| September 26, 2017 Filed Sep 29, 2017 01:40 UTC | EXICURE, INC. XCUR · Entity 8068 | GrantCommon Stock | 52,234 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-17-022826 · doc4.xml · nonDerivative · entry 3 Venkatesan Jay · CIK 0001413350 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,234 F1 · shares: Pursuant to that certain Agreement and Plan of Merger and Reorganization (the "Merger Agreement"), dated as of September 26, 2017, by and among the Issuer then known as Max-1 Acquisition Corporation, Max-1 Acquisition Sub, Inc. and the corporation then known as Exicure, Inc. ("Exicure OpCo"), each outstanding share of Exicure OpCo capital stock (other than shares of Series C Preferred Stock of Exicure OpCo) was converted into 0.49649 shares of the Issuer's common stock (the "Conversion Ratio") and each outstanding share of Series C Preferred Stock of Exicure OpCo was converted into 0.7666652 shares of the Issuer's common stock (the "Series C Conversion Ratio"). F1 · price: Pursuant to that certain Agreement and Plan of Merger and Reorganization (the "Merger Agreement"), dated as of September 26, 2017, by and among the Issuer then known as Max-1 Acquisition Corporation, Max-1 Acquisition Sub, Inc. and the corporation then known as Exicure, Inc. ("Exicure OpCo"), each outstanding share of Exicure OpCo capital stock (other than shares of Series C Preferred Stock of Exicure OpCo) was converted into 0.49649 shares of the Issuer's common stock (the "Conversion Ratio") and each outstanding share of Series C Preferred Stock of Exicure OpCo was converted into 0.7666652 shares of the Issuer's common stock (the "Series C Conversion Ratio"). Read SEC document |
| September 26, 2017 Filed Sep 29, 2017 01:40 UTC | EXICURE, INC. XCUR · Entity 8068 | OtherCommon Stock | 90,192 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-17-022826 · doc4.xml · nonDerivative · entry 2 Venkatesan Jay · CIK 0001413350 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Ayer Special Situations Fund I, LP Disclosed balance after: 90,192 F1 · kind: Pursuant to that certain Agreement and Plan of Merger and Reorganization (the "Merger Agreement"), dated as of September 26, 2017, by and among the Issuer then known as Max-1 Acquisition Corporation, Max-1 Acquisition Sub, Inc. and the corporation then known as Exicure, Inc. ("Exicure OpCo"), each outstanding share of Exicure OpCo capital stock (other than shares of Series C Preferred Stock of Exicure OpCo) was converted into 0.49649 shares of the Issuer's common stock (the "Conversion Ratio") and each outstanding share of Series C Preferred Stock of Exicure OpCo was converted into 0.7666652 shares of the Issuer's common stock (the "Series C Conversion Ratio"). F1 · shares: Pursuant to that certain Agreement and Plan of Merger and Reorganization (the "Merger Agreement"), dated as of September 26, 2017, by and among the Issuer then known as Max-1 Acquisition Corporation, Max-1 Acquisition Sub, Inc. and the corporation then known as Exicure, Inc. ("Exicure OpCo"), each outstanding share of Exicure OpCo capital stock (other than shares of Series C Preferred Stock of Exicure OpCo) was converted into 0.49649 shares of the Issuer's common stock (the "Conversion Ratio") and each outstanding share of Series C Preferred Stock of Exicure OpCo was converted into 0.7666652 shares of the Issuer's common stock (the "Series C Conversion Ratio"). F1 · price: Pursuant to that certain Agreement and Plan of Merger and Reorganization (the "Merger Agreement"), dated as of September 26, 2017, by and among the Issuer then known as Max-1 Acquisition Corporation, Max-1 Acquisition Sub, Inc. and the corporation then known as Exicure, Inc. ("Exicure OpCo"), each outstanding share of Exicure OpCo capital stock (other than shares of Series C Preferred Stock of Exicure OpCo) was converted into 0.49649 shares of the Issuer's common stock (the "Conversion Ratio") and each outstanding share of Series C Preferred Stock of Exicure OpCo was converted into 0.7666652 shares of the Issuer's common stock (the "Series C Conversion Ratio"). F3 · ownership.nature: The Reporting Person is the managing director of the Ayer Special Situations Fund I, LP ("Ayer Fund") and has voting or dispositive power over the shares held by the Ayer Fund. F4 · ownership.nature: The Reporting Person disclaims beneficial ownership of the shares of common stock reported herein except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| September 26, 2017 Filed Sep 29, 2017 01:40 UTC | EXICURE, INC. XCUR · Entity 8068 | OtherCommon Stock | 190,957 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-17-022826 · doc4.xml · nonDerivative · entry 1 Venkatesan Jay · CIK 0001413350 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By The Venkatesan-Louizides Trust Disclosed balance after: 190,957 F1 · kind: Pursuant to that certain Agreement and Plan of Merger and Reorganization (the "Merger Agreement"), dated as of September 26, 2017, by and among the Issuer then known as Max-1 Acquisition Corporation, Max-1 Acquisition Sub, Inc. and the corporation then known as Exicure, Inc. ("Exicure OpCo"), each outstanding share of Exicure OpCo capital stock (other than shares of Series C Preferred Stock of Exicure OpCo) was converted into 0.49649 shares of the Issuer's common stock (the "Conversion Ratio") and each outstanding share of Series C Preferred Stock of Exicure OpCo was converted into 0.7666652 shares of the Issuer's common stock (the "Series C Conversion Ratio"). F1 · shares: Pursuant to that certain Agreement and Plan of Merger and Reorganization (the "Merger Agreement"), dated as of September 26, 2017, by and among the Issuer then known as Max-1 Acquisition Corporation, Max-1 Acquisition Sub, Inc. and the corporation then known as Exicure, Inc. ("Exicure OpCo"), each outstanding share of Exicure OpCo capital stock (other than shares of Series C Preferred Stock of Exicure OpCo) was converted into 0.49649 shares of the Issuer's common stock (the "Conversion Ratio") and each outstanding share of Series C Preferred Stock of Exicure OpCo was converted into 0.7666652 shares of the Issuer's common stock (the "Series C Conversion Ratio"). F1 · price: Pursuant to that certain Agreement and Plan of Merger and Reorganization (the "Merger Agreement"), dated as of September 26, 2017, by and among the Issuer then known as Max-1 Acquisition Corporation, Max-1 Acquisition Sub, Inc. and the corporation then known as Exicure, Inc. ("Exicure OpCo"), each outstanding share of Exicure OpCo capital stock (other than shares of Series C Preferred Stock of Exicure OpCo) was converted into 0.49649 shares of the Issuer's common stock (the "Conversion Ratio") and each outstanding share of Series C Preferred Stock of Exicure OpCo was converted into 0.7666652 shares of the Issuer's common stock (the "Series C Conversion Ratio"). F2 · ownership.nature: The Reporting Person is the trustee of the Venkatesan-Louizides Trust (the "Trust") and has voting or dispositive power over the shares held by the Trust. F4 · ownership.nature: The Reporting Person disclaims beneficial ownership of the shares of common stock reported herein except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| July 24, 2017 Filed Jul 26, 2017 21:10 UTC | ALPINE IMMUNE SCIENCES, INC. ALPN · Entity 90802 | GrantEmployee Stock Option (right to buy) · Derivative | 90,063 | $0.00 Strike: $0.45 | $0.00 |
DisclosureSEC source: 0000899243-17-019064 · doc4.xml · derivative · entry 5 Venkatesan Jay · CIK 0001413350 · Director · President · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 90,063 Underlying: Common Stock · 90,063 shares Expires 2025-12-15 F1 · derivative.exercise_price: Pursuant to that certain Agreement and Plan of Merger and Reorganization (the "Merger Agreement"), dated as of April 18, 2017, by and among the Issuer, Nautilus Merger Sub, Inc. and the corporation then known as Alpine Immune Sciences, Inc. ("Old Alpine"), each share of Old Alpine common stock was converted into 0.4969 shares of the Issuer's common stock (the "Exchange Ratio"). F5 · derivative.exercise_price: Each option to purchase shares of Old Alpine outstanding and unexercised was assumed by the Issuer pursuant to the Merger Agreement and converted into an option, subject to vesting, to purchase shares of common stock of the Issuer, with the number of shares of the Issuer's common stock underlying such option and the exercise price for such option adjusted to reflect the Exchange Ratio. F1 · shares: Pursuant to that certain Agreement and Plan of Merger and Reorganization (the "Merger Agreement"), dated as of April 18, 2017, by and among the Issuer, Nautilus Merger Sub, Inc. and the corporation then known as Alpine Immune Sciences, Inc. ("Old Alpine"), each share of Old Alpine common stock was converted into 0.4969 shares of the Issuer's common stock (the "Exchange Ratio"). F5 · shares: Each option to purchase shares of Old Alpine outstanding and unexercised was assumed by the Issuer pursuant to the Merger Agreement and converted into an option, subject to vesting, to purchase shares of common stock of the Issuer, with the number of shares of the Issuer's common stock underlying such option and the exercise price for such option adjusted to reflect the Exchange Ratio. F5 · price: Each option to purchase shares of Old Alpine outstanding and unexercised was assumed by the Issuer pursuant to the Merger Agreement and converted into an option, subject to vesting, to purchase shares of common stock of the Issuer, with the number of shares of the Issuer's common stock underlying such option and the exercise price for such option adjusted to reflect the Exchange Ratio. F6 · derivative.exercise_date: The Reporting Person was initially granted an option to acquire 300,000 shares, 75,000 shares of which vested on May 25, 2016, and the remaining shares vested or vest in 36 substantially equal monthly installments starting on September 1, 2016, subject to the Reporting person's continued service with the Issuer and certain change of control provisions. F1 · derivative.underlying_shares: Pursuant to that certain Agreement and Plan of Merger and Reorganization (the "Merger Agreement"), dated as of April 18, 2017, by and among the Issuer, Nautilus Merger Sub, Inc. and the corporation then known as Alpine Immune Sciences, Inc. ("Old Alpine"), each share of Old Alpine common stock was converted into 0.4969 shares of the Issuer's common stock (the "Exchange Ratio"). F5 · derivative.underlying_shares: Each option to purchase shares of Old Alpine outstanding and unexercised was assumed by the Issuer pursuant to the Merger Agreement and converted into an option, subject to vesting, to purchase shares of common stock of the Issuer, with the number of shares of the Issuer's common stock underlying such option and the exercise price for such option adjusted to reflect the Exchange Ratio. Read SEC document |
| July 24, 2017 Filed Jul 26, 2017 21:10 UTC | ALPINE IMMUNE SCIENCES, INC. ALPN · Entity 90802 | OtherCommon Stock | 3,803,906 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-17-019064 · doc4.xml · nonDerivative · entry 4 Venkatesan Jay · CIK 0001413350 · Director · President · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Alpine Immunosciences, L.P. Disclosed balance after: 3,803,906 F1 · kind: Pursuant to that certain Agreement and Plan of Merger and Reorganization (the "Merger Agreement"), dated as of April 18, 2017, by and among the Issuer, Nautilus Merger Sub, Inc. and the corporation then known as Alpine Immune Sciences, Inc. ("Old Alpine"), each share of Old Alpine common stock was converted into 0.4969 shares of the Issuer's common stock (the "Exchange Ratio"). F1 · shares: Pursuant to that certain Agreement and Plan of Merger and Reorganization (the "Merger Agreement"), dated as of April 18, 2017, by and among the Issuer, Nautilus Merger Sub, Inc. and the corporation then known as Alpine Immune Sciences, Inc. ("Old Alpine"), each share of Old Alpine common stock was converted into 0.4969 shares of the Issuer's common stock (the "Exchange Ratio"). F1 · price: Pursuant to that certain Agreement and Plan of Merger and Reorganization (the "Merger Agreement"), dated as of April 18, 2017, by and among the Issuer, Nautilus Merger Sub, Inc. and the corporation then known as Alpine Immune Sciences, Inc. ("Old Alpine"), each share of Old Alpine common stock was converted into 0.4969 shares of the Issuer's common stock (the "Exchange Ratio"). F3 · ownership.nature: Alpine BioVentures GP, LLC is the general partner of Alpine Immunosciences, L.P. Dr. Venkatesan is a Managing Partner of Alpine BioVentures GP, LLC. Dr. Venkatesan is also a limited partner of Alpine Immunosciences, L.P. By virtue of such relationships, Dr. Venkatesan may be deemed to have voting and investment power with respect to the shares held by Alpine Immunosciences, L.P. and as a result may be deemed to have beneficial ownership of such shares. F4 · ownership.nature: The Reporting Person disclaims beneficial ownership of the shares of common stock reported herein except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| July 24, 2017 Filed Jul 26, 2017 21:10 UTC | ALPINE IMMUNE SCIENCES, INC. ALPN · Entity 90802 | GrantCommon Stock | 21,739 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-17-019064 · doc4.xml · nonDerivative · entry 3 Venkatesan Jay · CIK 0001413350 · Director · President · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,739 F1 · shares: Pursuant to that certain Agreement and Plan of Merger and Reorganization (the "Merger Agreement"), dated as of April 18, 2017, by and among the Issuer, Nautilus Merger Sub, Inc. and the corporation then known as Alpine Immune Sciences, Inc. ("Old Alpine"), each share of Old Alpine common stock was converted into 0.4969 shares of the Issuer's common stock (the "Exchange Ratio"). F1 · price: Pursuant to that certain Agreement and Plan of Merger and Reorganization (the "Merger Agreement"), dated as of April 18, 2017, by and among the Issuer, Nautilus Merger Sub, Inc. and the corporation then known as Alpine Immune Sciences, Inc. ("Old Alpine"), each share of Old Alpine common stock was converted into 0.4969 shares of the Issuer's common stock (the "Exchange Ratio"). Read SEC document |
| July 24, 2017 Filed Jul 26, 2017 21:10 UTC | ALPINE IMMUNE SCIENCES, INC. ALPN · Entity 90802 | OtherCommon Stock | 18,633 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-17-019064 · doc4.xml · nonDerivative · entry 2 Venkatesan Jay · CIK 0001413350 · Director · President · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Raj Venkatesan as UTMA custodian for Nathaniel Graham Venkatesan Disclosed balance after: 18,633 F1 · kind: Pursuant to that certain Agreement and Plan of Merger and Reorganization (the "Merger Agreement"), dated as of April 18, 2017, by and among the Issuer, Nautilus Merger Sub, Inc. and the corporation then known as Alpine Immune Sciences, Inc. ("Old Alpine"), each share of Old Alpine common stock was converted into 0.4969 shares of the Issuer's common stock (the "Exchange Ratio"). F1 · shares: Pursuant to that certain Agreement and Plan of Merger and Reorganization (the "Merger Agreement"), dated as of April 18, 2017, by and among the Issuer, Nautilus Merger Sub, Inc. and the corporation then known as Alpine Immune Sciences, Inc. ("Old Alpine"), each share of Old Alpine common stock was converted into 0.4969 shares of the Issuer's common stock (the "Exchange Ratio"). F1 · price: Pursuant to that certain Agreement and Plan of Merger and Reorganization (the "Merger Agreement"), dated as of April 18, 2017, by and among the Issuer, Nautilus Merger Sub, Inc. and the corporation then known as Alpine Immune Sciences, Inc. ("Old Alpine"), each share of Old Alpine common stock was converted into 0.4969 shares of the Issuer's common stock (the "Exchange Ratio"). F2 · ownership.nature: These shares are held by Raj Venkatesan as custodian for Reporting Person's sons under California Uniform Transfers to Minors Act. F4 · ownership.nature: The Reporting Person disclaims beneficial ownership of the shares of common stock reported herein except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| July 24, 2017 Filed Jul 26, 2017 21:10 UTC | ALPINE IMMUNE SCIENCES, INC. ALPN · Entity 90802 | OtherCommon Stock | 18,633 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-17-019064 · doc4.xml · nonDerivative · entry 1 Venkatesan Jay · CIK 0001413350 · Director · President · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Raj Venkatesan as UTMA custodian for Reid Coleman Venkatesan Disclosed balance after: 18,633 F1 · kind: Pursuant to that certain Agreement and Plan of Merger and Reorganization (the "Merger Agreement"), dated as of April 18, 2017, by and among the Issuer, Nautilus Merger Sub, Inc. and the corporation then known as Alpine Immune Sciences, Inc. ("Old Alpine"), each share of Old Alpine common stock was converted into 0.4969 shares of the Issuer's common stock (the "Exchange Ratio"). F1 · shares: Pursuant to that certain Agreement and Plan of Merger and Reorganization (the "Merger Agreement"), dated as of April 18, 2017, by and among the Issuer, Nautilus Merger Sub, Inc. and the corporation then known as Alpine Immune Sciences, Inc. ("Old Alpine"), each share of Old Alpine common stock was converted into 0.4969 shares of the Issuer's common stock (the "Exchange Ratio"). F1 · price: Pursuant to that certain Agreement and Plan of Merger and Reorganization (the "Merger Agreement"), dated as of April 18, 2017, by and among the Issuer, Nautilus Merger Sub, Inc. and the corporation then known as Alpine Immune Sciences, Inc. ("Old Alpine"), each share of Old Alpine common stock was converted into 0.4969 shares of the Issuer's common stock (the "Exchange Ratio"). F2 · ownership.nature: These shares are held by Raj Venkatesan as custodian for Reporting Person's sons under California Uniform Transfers to Minors Act. F4 · ownership.nature: The Reporting Person disclaims beneficial ownership of the shares of common stock reported herein except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| June 01, 2017 Filed Jun 5, 2017 21:25 UTC | IOVANCE BIOTHERAPEUTICS, INC. LBIO · Entity 2090 | GrantStock Option (right to buy) · Derivative | 35,000 | $0.00 Strike: $5.45 | $0.00 |
DisclosureSEC source: 0001250853-17-000049 · primary_doc.xml · derivative · entry 1 Venkatesan Jay · CIK 0001413350 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,000 Underlying: Common Stock · 35,000 shares Expires 2027-05-31 F1 · derivative.exercise_date: These options are exercisable in four equal quarterly installments of 8,750 each following the date of grant. If the Reporting Person's service to the Issuer terminates before the expiration date, the option shares will be exercisable for two years following termination of service unless the Reporting Person is terminated for cause, in which case the options are terminated. 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.