Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Aralez Pharmaceuticals Inc.ARLZ · Entity 165961 | Chief Financial Officer | March 15, 2018 | March 19, 2018 |
| HERON THERAPEUTICS, INC. /DE/HRTX · Entity 7133 | Director | January 30, 2026 | February 03, 2026 |
| Liquidia CorpLQDA · Entity 1860 | CFO and COO | October 09, 2026 | October 14, 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.
Aralez Pharmaceuticals Inc.
Report date March 15, 2018 · Filed March 19, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Shares, without par valueSEC Table I · non-derivative | Direct | 15,000 |
Reported balance
After 2018-03-15 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2018-03-15 · Grant · Acquired 12,500 · Balance 15,000 F1: Restricted Stock Units granted pursuant to the Aralez Pharmaceuticals Inc. 2016 Amended and Restated Long-Term Incentive Plan, which vest 33.3% annually over three years commencing upon the first anniversary of the date of grant, subject to continued employment or service to the Company. F2: Includes 833 shares of Common Stock and 14,167 Restricted Stock Units. |
| Employee Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.75 · Expires 2028-03-15 | Direct | 25,000 |
Reported balance
After 2018-03-15 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2018-03-15 · Grant · Acquired 25,000 · Balance 25,000 F3: The option vests as to 25% of the shares on March 15, 2019, and the remainder vests in substantially equal monthly installments over the 36 months immediately following such date, subject to continued employment or service to the Company. |
Filing footnotes · ownership attribution and instrument terms
F1: Restricted Stock Units granted pursuant to the Aralez Pharmaceuticals Inc. 2016 Amended and Restated Long-Term Incentive Plan, which vest 33.3% annually over three years commencing upon the first anniversary of the date of grant, subject to continued employment or service to the Company.
F2: Includes 833 shares of Common Stock and 14,167 Restricted Stock Units.
F3: The option vests as to 25% of the shares on March 15, 2019, and the remainder vests in substantially equal monthly installments over the 36 months immediately following such date, subject to continued employment or service to the Company.
HERON THERAPEUTICS, INC. /DE/
Report date January 30, 2026 · Filed February 03, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 53,960 |
Reported balance
After 2026-01-30 transaction · row 1
1 source rowRow 1 · 2026-01-30 · Grant · Acquired 53,960 · Balance 53,960 F1: The shares were granted as restricted stock units which vest in full on January 30, 2027. Each restricted stock unit represents a contigent right to receive one share of common stock. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares were granted as restricted stock units which vest in full on January 30, 2027. Each restricted stock unit represents a contigent right to receive one share of common stock.
Liquidia Corp
Report date October 09, 2026 · Filed October 14, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 340,148 |
Last balance in matching sequence
After 2026-10-12 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rowsRow 1 · 2026-10-09 · Exercise / conversion · Acquired 5,828 · Balance 352,037 F2: On January 11, 2024, the Reporting Person was granted 93,250 PSUs with 25% of the PSUs vesting on January 11, 2025 and the remaining PSUs vesting ratably on a quarterly basis over three years thereafter. Of those PSUs, a total of 64,110 have vested as of the date of this Form 4. F1: Performance stock units ("PSUs") convert into common stock on a one-for-one basis. F3: Includes (i) 7,792 unvested restricted stock units ("RSUs") of the 124,667 RSUs granted to the Reporting Person on January 11, 2023, (ii) 29,140 unvested RSUs and 15,625 unvested RSUs of the 93,250 RSUs and 50,000 RSUs granted to the Reporting Person on January 11, 2024 and January 15, 2024, respectively, (iii) 63,448 unvested RSUs of the 112,797 RSUs granted to the Reporting Person on January 11, 2025, (iv) 59,320 RSUs granted to the Reporting Person on January 16, 2026, none of which have vested as of the date of this Form 4 and (v) 3,054 shares acquired under the Liquidia Corporation 2020 Employee Stock Purchase Plan ("ESPP"). Row 2 · 2026-10-09 · Exercise / conversion · Acquired 7,049 · Balance 359,086 F4: On January 11, 2025, the Reporting Person was granted 112,797 PSUs with 25% of the PSUs vesting on January 11, 2026 and the remaining PSUs vesting ratably on a quarterly basis over three years thereafter. Of those PSUs, a total of 49,349 have vested as of the date of this Form 4. F1: Performance stock units ("PSUs") convert into common stock on a one-for-one basis. F3: Includes (i) 7,792 unvested restricted stock units ("RSUs") of the 124,667 RSUs granted to the Reporting Person on January 11, 2023, (ii) 29,140 unvested RSUs and 15,625 unvested RSUs of the 93,250 RSUs and 50,000 RSUs granted to the Reporting Person on January 11, 2024 and January 15, 2024, respectively, (iii) 63,448 unvested RSUs of the 112,797 RSUs granted to the Reporting Person on January 11, 2025, (iv) 59,320 RSUs granted to the Reporting Person on January 16, 2026, none of which have vested as of the date of this Form 4 and (v) 3,054 shares acquired under the Liquidia Corporation 2020 Employee Stock Purchase Plan ("ESPP"). Row 3 · 2026-10-12 · Sale · Disposed 18,938 · Balance 340,148 F5: Transaction effected pursuant to a Rule 10b5-1 plan adopted by the Reporting Person on December 15, 2023. F6: These shares of common stock were sold to cover taxes associated with the settlement of RSUs and PSUs that were initially granted to the Reporting Person on January 11, 2023, January 11, 2024, January 15, 2024 and January 11, 2025. F3: Includes (i) 7,792 unvested restricted stock units ("RSUs") of the 124,667 RSUs granted to the Reporting Person on January 11, 2023, (ii) 29,140 unvested RSUs and 15,625 unvested RSUs of the 93,250 RSUs and 50,000 RSUs granted to the Reporting Person on January 11, 2024 and January 15, 2024, respectively, (iii) 63,448 unvested RSUs of the 112,797 RSUs granted to the Reporting Person on January 11, 2025, (iv) 59,320 RSUs granted to the Reporting Person on January 16, 2026, none of which have vested as of the date of this Form 4 and (v) 3,054 shares acquired under the Liquidia Corporation 2020 Employee Stock Purchase Plan ("ESPP"). |
| Performance Stock UnitsSEC Table II · derivative / convertible security | Direct | 29,140 |
Reported balance
After 2026-10-09 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2026-10-09 · Exercise / conversion · Disposed 5,828 · Balance 29,140 F1: Performance stock units ("PSUs") convert into common stock on a one-for-one basis. |
| Performance Stock UnitsSEC Table II · derivative / convertible security | Direct | 63,448 |
Reported balance
After 2026-10-09 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2026-10-09 · Exercise / conversion · Disposed 7,049 · Balance 63,448 F1: Performance stock units ("PSUs") convert into common stock on a one-for-one basis. |
Filing footnotes · ownership attribution and instrument terms
F1: Performance stock units ("PSUs") convert into common stock on a one-for-one basis.
F2: On January 11, 2024, the Reporting Person was granted 93,250 PSUs with 25% of the PSUs vesting on January 11, 2025 and the remaining PSUs vesting ratably on a quarterly basis over three years thereafter. Of those PSUs, a total of 64,110 have vested as of the date of this Form 4.
F3: Includes (i) 7,792 unvested restricted stock units ("RSUs") of the 124,667 RSUs granted to the Reporting Person on January 11, 2023, (ii) 29,140 unvested RSUs and 15,625 unvested RSUs of the 93,250 RSUs and 50,000 RSUs granted to the Reporting Person on January 11, 2024 and January 15, 2024, respectively, (iii) 63,448 unvested RSUs of the 112,797 RSUs granted to the Reporting Person on January 11, 2025, (iv) 59,320 RSUs granted to the Reporting Person on January 16, 2026, none of which have vested as of the date of this Form 4 and (v) 3,054 shares acquired under the Liquidia Corporation 2020 Employee Stock Purchase Plan ("ESPP").
F4: On January 11, 2025, the Reporting Person was granted 112,797 PSUs with 25% of the PSUs vesting on January 11, 2026 and the remaining PSUs vesting ratably on a quarterly basis over three years thereafter. Of those PSUs, a total of 49,349 have vested as of the date of this Form 4.
F5: Transaction effected pursuant to a Rule 10b5-1 plan adopted by the Reporting Person on December 15, 2023.
F6: These shares of common stock were sold to cover taxes associated with the settlement of RSUs and PSUs that were initially granted to the Reporting Person on January 11, 2023, January 11, 2024, January 15, 2024 and January 11, 2025.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
ALIMERA SCIENCES INC
Report date September 16, 2024 · Filed September 18, 2024
Section 16 reporting ended · disclosed 2024-09-18. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.99 · Expires 2033-10-01 | Direct | 0 |
Reported balance
After 2024-09-16 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2024-09-16 · Disposition to issuer · Disposed 50,000 · Balance 0 F1: Pursuant to the terms of the Agreement and Plan of Merger, dated as of June 21, 2024 (the "Merger Agreement"), by and among the Issuer, ANI Pharmaceuticals, Inc., a Delaware corporation ("Parent") and ANIP Merger Sub INC., a Delaware corporation and a wholly owned indirect subsidiary of Parent, as of the effective time of the merger (the "Effective Time"), at the Effective Time, each stock option granted by the Issuer to purchase shares (each, an "Option") that was outstanding and unvested immediately prior to the Effective Time vested in full, and each Option that was outstanding and unexercised which had a per share exercise price that was less than ) $5.50 in cash, without interest (such amount, the "Closing Cash Consideration") was converted into the right to receive the sum of an amount in cash (without interest and subject to deduction for any required withholding as contemplated in the Merger Agreement) equal to: F2: (A) the excess, if any, of the Closing Cash Consideration over the exercise price per share of such Option; multiplied by the number of shares underlying such Option and (B) one contingent value right ("CVR") representing the right to receive contingent cash payments subject to the achievement of certain milestones and the terms and conditions set forth in a contingent value rights agreement entered into between Parent and a rights agent. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.85 · Expires 2033-03-25 | Direct | 0 |
Reported balance
After 2024-09-16 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2024-09-16 · Disposition to issuer · Disposed 1,825 · Balance 0 F1: Pursuant to the terms of the Agreement and Plan of Merger, dated as of June 21, 2024 (the "Merger Agreement"), by and among the Issuer, ANI Pharmaceuticals, Inc., a Delaware corporation ("Parent") and ANIP Merger Sub INC., a Delaware corporation and a wholly owned indirect subsidiary of Parent, as of the effective time of the merger (the "Effective Time"), at the Effective Time, each stock option granted by the Issuer to purchase shares (each, an "Option") that was outstanding and unvested immediately prior to the Effective Time vested in full, and each Option that was outstanding and unexercised which had a per share exercise price that was less than ) $5.50 in cash, without interest (such amount, the "Closing Cash Consideration") was converted into the right to receive the sum of an amount in cash (without interest and subject to deduction for any required withholding as contemplated in the Merger Agreement) equal to: F2: (A) the excess, if any, of the Closing Cash Consideration over the exercise price per share of such Option; multiplied by the number of shares underlying such Option and (B) one contingent value right ("CVR") representing the right to receive contingent cash payments subject to the achievement of certain milestones and the terms and conditions set forth in a contingent value rights agreement entered into between Parent and a rights agent. |
Filing footnotes · ownership attribution and instrument terms
F1: Pursuant to the terms of the Agreement and Plan of Merger, dated as of June 21, 2024 (the "Merger Agreement"), by and among the Issuer, ANI Pharmaceuticals, Inc., a Delaware corporation ("Parent") and ANIP Merger Sub INC., a Delaware corporation and a wholly owned indirect subsidiary of Parent, as of the effective time of the merger (the "Effective Time"), at the Effective Time, each stock option granted by the Issuer to purchase shares (each, an "Option") that was outstanding and unvested immediately prior to the Effective Time vested in full, and each Option that was outstanding and unexercised which had a per share exercise price that was less than ) $5.50 in cash, without interest (such amount, the "Closing Cash Consideration") was converted into the right to receive the sum of an amount in cash (without interest and subject to deduction for any required withholding as contemplated in the Merger Agreement) equal to:
F2: (A) the excess, if any, of the Closing Cash Consideration over the exercise price per share of such Option; multiplied by the number of shares underlying such Option and (B) one contingent value right ("CVR") representing the right to receive contingent cash payments subject to the achievement of certain milestones and the terms and conditions set forth in a contingent value rights agreement entered into between Parent and a rights agent.
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 |
|---|---|---|---|---|---|---|
| January 15, 2024 Filed Jan 16, 2024 22:02 UTC | Liquidia Corp LQDA · Entity 1860 | GrantCommon Stock | 50,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-24-004152 · tm243427-3_4seq1.xml · nonDerivative · entry 2 Kaseta Michael · CIK 0001724346 · CFO and COO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 326,250 F1 · kind: Restricted stock units ("RSUs") convert into common stock on a one-for-one basis. F2 · shares: 25% of the RSUs shall vest on January 11, 2025 and the remaining RSUs shall vest ratably on a quarterly basis over three years thereafter. F3 · balance_after: Includes (i) 21,049 unvested RSUs of the 37,500 RSUs granted to the Reporting Person on January 16, 2022, (ii) 124,667 RSUs granted to the Reporting Person on January 11, 2023 and (iii) 5,977 shares acquired under the Liquidia Corporation 2020 Employee Stock Purchase Plan. Read SEC document |
| January 11, 2024 Filed Jan 16, 2024 22:02 UTC | Liquidia Corp LQDA · Entity 1860 | GrantPerformance Stock Units · Derivative | 93,250 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-24-004152 · tm243427-3_4seq1.xml · derivative · entry 3 Kaseta Michael · CIK 0001724346 · CFO and COO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 93,250 Underlying: Common Stock · 93,250 shares Expires not disclosed F4 · derivative.exercise_price: Each performance stock unit ("PSU") converts into one share of the Issuer's common stock. F5 · derivative.exercise_date: On January 11, 2024, the Reporting Person was granted 93,250 PSUs. The PSUs shall vest upon the later of (A) the following time-based vesting schedule: 25% of the PSUs shall vest on January 11, 2025 and the remaining PSUs shall vest ratably on a quarterly basis over three years thereafter and (B) the first commercial sale of YUTREPIA by the Issuer. F5 · derivative.expiration_date: On January 11, 2024, the Reporting Person was granted 93,250 PSUs. The PSUs shall vest upon the later of (A) the following time-based vesting schedule: 25% of the PSUs shall vest on January 11, 2025 and the remaining PSUs shall vest ratably on a quarterly basis over three years thereafter and (B) the first commercial sale of YUTREPIA by the Issuer. Read SEC document |
| January 11, 2024 Filed Jan 16, 2024 22:02 UTC | Liquidia Corp LQDA · Entity 1860 | GrantCommon Stock | 93,250 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-24-004152 · tm243427-3_4seq1.xml · nonDerivative · entry 1 Kaseta Michael · CIK 0001724346 · CFO and COO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 276,250 F1 · kind: Restricted stock units ("RSUs") convert into common stock on a one-for-one basis. F2 · shares: 25% of the RSUs shall vest on January 11, 2025 and the remaining RSUs shall vest ratably on a quarterly basis over three years thereafter. F3 · balance_after: Includes (i) 21,049 unvested RSUs of the 37,500 RSUs granted to the Reporting Person on January 16, 2022, (ii) 124,667 RSUs granted to the Reporting Person on January 11, 2023 and (iii) 5,977 shares acquired under the Liquidia Corporation 2020 Employee Stock Purchase Plan. Read SEC document |
| November 30, 2023 Filed Dec 6, 2023 02:20 UTC | Liquidia Corp LQDA · Entity 1860 | Exercise / conversionRestricted Stock Unit · Derivative | 2,343 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-23-123735 · tm2332275-4_4seq1.xml · derivative · entry 2 Kaseta Michael · CIK 0001724346 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 21,094 Underlying: Common Stock · 2,343 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Restricted stock units ("RSUs") convert into common stock on a one-for-one basis. F1 · derivative.exercise_date: Restricted stock units ("RSUs") convert into common stock on a one-for-one basis. F1 · derivative.expiration_date: Restricted stock units ("RSUs") convert into common stock on a one-for-one basis. Read SEC document |
| November 30, 2023 Filed Dec 6, 2023 02:20 UTC | Liquidia Corp LQDA · Entity 1860 | Exercise / conversionCommon Stock | 2,343 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-23-123735 · tm2332275-4_4seq1.xml · nonDerivative · entry 1 Kaseta Michael · CIK 0001724346 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 183,000 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. F2 · shares: On January 16, 2022, the Reporting Person was granted 37,500 RSUs with 25% vesting on February 28, 2023, with the remaining RSUs vesting ratably on a quarterly basis over three years thereafter. Of those RSUs, a total of 16,406 have vested through November 30, 2023. F1 · price: Restricted stock units ("RSUs") convert into common stock on a one-for-one basis. F3 · balance_after: Includes (i) 124,667 RSUs granted to the Reporting Person on January 11, 2023, none of which have vested as of the date of this Form 4 and (ii) 5,977 shares acquired under the Liquidia Corporation 2020 Employee Stock Purchase Plan. Read SEC document |
| October 02, 2023 Filed Oct 4, 2023 16:38 UTC | ALIMERA SCIENCES INC ALIM · Entity 11664 | GrantStock Option (Right to Buy) · Derivative | 50,000 | $0.00 Strike: $2.99 | $0.00 |
DisclosureSEC source: 0000950170-23-051929 · ownership.xml · derivative · entry 1 Kaseta Michael · CIK 0001724346 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Stock · 50,000 shares Expires 2033-10-01 F1 · derivative.exercise_date: The option vests and becomes exercisable in equal monthly installments beginning on August 1, 2023. Vests in full on the earlier of August 1, 2024 or the date of the Issuer's 2024 annual meeting of stockholders, provided the Reporting Person provides continuous service to the Issuer through such date, with the final installment adjusted as necessary to avoid any fractional shares in any installment. Read SEC document |
| August 31, 2023 Filed Sep 6, 2023 00:09 UTC | Liquidia Corp LQDA · Entity 1860 | Exercise / conversionRestricted Stock Unit · Derivative | 2,344 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-23-098424 · tm2325564-2_4seq1.xml · derivative · entry 2 Kaseta Michael · CIK 0001724346 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 55,990 Underlying: Common Stock · 2,344 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Restricted stock units ("RSUs") convert into common stock on a one-for-one basis. F1 · derivative.exercise_date: Restricted stock units ("RSUs") convert into common stock on a one-for-one basis. F1 · derivative.expiration_date: Restricted stock units ("RSUs") convert into common stock on a one-for-one basis. Read SEC document |
| August 31, 2023 Filed Sep 6, 2023 00:09 UTC | Liquidia Corp LQDA · Entity 1860 | Exercise / conversionCommon Stock | 2,344 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-23-098424 · tm2325564-2_4seq1.xml · nonDerivative · entry 1 Kaseta Michael · CIK 0001724346 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 180,657 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. F2 · shares: On January 16, 2022, the Reporting Person was granted 37,500 RSUs with 25% vesting on February 28, 2023, with the remaining RSUs vesting ratably on a quarterly basis over three years thereafter. Of those RSUs, a total of 14,063 have vested through August 31, 2023. F1 · price: Restricted stock units ("RSUs") convert into common stock on a one-for-one basis. F3 · balance_after: Includes (i) 124,667 RSUs granted to the Reporting Person on January 11, 2023, none of which have vested as of the date of this Form 4 and (ii) 1,716 shares acquired under the Liquidia Corporation 2020 Employee Stock Purchase Plan on August 31, 2023. Read SEC document |
| May 31, 2023 Filed Jun 2, 2023 21:02 UTC | Liquidia Corp LQDA · Entity 1860 | Exercise / conversionRestricted Stock Unit · Derivative | 2,344 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-23-067642 · tm2317720-1_4seq1.xml · derivative · entry 2 Kaseta Michael · CIK 0001724346 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 25,781 Underlying: Common Stock · 2,344 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Restricted stock units ("RSUs") convert into common stock on a one-for-one basis. F1 · derivative.exercise_date: Restricted stock units ("RSUs") convert into common stock on a one-for-one basis. F1 · derivative.expiration_date: Restricted stock units ("RSUs") convert into common stock on a one-for-one basis. Read SEC document |
| May 31, 2023 Filed Jun 2, 2023 21:02 UTC | Liquidia Corp LQDA · Entity 1860 | Exercise / conversionCommon Stock | 2,344 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-23-067642 · tm2317720-1_4seq1.xml · nonDerivative · entry 1 Kaseta Michael · CIK 0001724346 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 176,597 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. F2 · shares: On January 16, 2022, the Reporting Person was granted 37,500 RSUs with 25% vesting on February 28, 2023, with the remaining RSUs vesting ratably on a quarterly basis over three years thereafter. Of those RSUs, a total of 11,719 have vested through May 31, 2023. F1 · price: Restricted stock units ("RSUs") convert into common stock on a one-for-one basis. F3 · balance_after: Includes (i) 124,667 RSUs granted to the Reporting Person on January 11, 2023, none of which have vested as of the date of this Form 4 and (ii) 4,261 shares previously acquired under the Liquidia Corporation 2020 Employee Stock Purchase Plan. Read SEC document |
| March 26, 2023 Filed Mar 28, 2023 19:17 UTC | ALIMERA SCIENCES INC ALIM · Entity 11664 | GrantStock Option (Right to Buy) · Derivative | 1,825 | $0.00 Strike: $1.85 | $0.00 |
DisclosureSEC source: 0000899243-23-009827 · doc4.xml · derivative · entry 1 Kaseta Michael · CIK 0001724346 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,825 Underlying: Common Stock · 1,825 shares Expires 2033-03-25 F1 · derivative.exercise_price: The closing price for the Issuer's common stock on the Nasdaq Global Market on March 27, 2023, the first trading day after the grant of the options. F2 · derivative.exercise_date: The options will vest and become exercisable in equal monthly installments beginning on April 12, 2023 and ending on July 12, 2023, with the final installment to be adjusted as necessary to avoid any fractional shares in any installment. Read SEC document |
| February 28, 2023 Filed Mar 3, 2023 02:17 UTC | Liquidia Corp LQDA · Entity 1860 | Exercise / conversionRestricted Stock Unit · Derivative | 9,375 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-23-028112 · tm238435-3_4seq1.xml · derivative · entry 2 Kaseta Michael · CIK 0001724346 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,125 Underlying: Common Stock · 9,375 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Restricted stock units ("RSUs") convert into common stock on a one-for-one basis. F1 · derivative.exercise_date: Restricted stock units ("RSUs") convert into common stock on a one-for-one basis. F1 · derivative.expiration_date: Restricted stock units ("RSUs") convert into common stock on a one-for-one basis. Read SEC document |
| February 28, 2023 Filed Mar 3, 2023 02:17 UTC | Liquidia Corp LQDA · Entity 1860 | Exercise / conversionCommon Stock | 9,375 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-23-028112 · tm238435-3_4seq1.xml · nonDerivative · entry 1 Kaseta Michael · CIK 0001724346 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 174,253 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. F2 · shares: On January 16, 2022, the Reporting Person was granted 37,500 RSUs with 25% vesting on February 28, 2023, and the remaining RSUs will vest ratably on a quarterly basis over three years thereafter. Of those RSUs, a total of 9,375 have vested through February 28, 2023. F1 · price: Restricted stock units ("RSUs") convert into common stock on a one-for-one basis. F3 · balance_after: Includes (i) 124,667 RSUs granted to the Reporting Person on January 11, 2023, none of which have vested as of the date of this Form 4 and (ii) 2,334 shares acquired under the Liquidia Corporation 2020 Employee Stock Purchase Plan on February 28, 2023. Read SEC document |
| January 11, 2023 Filed Jan 13, 2023 22:18 UTC | Liquidia Corp LQDA · Entity 1860 | GrantStock Option (Right to Buy) · Derivative | 159,829 | $0.00 Strike: $6.17 | $0.00 |
DisclosureSEC source: 0001104659-23-003882 · tm232332-5_4seq1.xml · derivative · entry 2 Kaseta Michael · CIK 0001724346 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 159,829 Underlying: Common Stock · 159,829 shares Expires 2033-01-11 F3 · derivative.exercise_date: The options will vest ratably on a monthly basis over four years with the first vesting date to occur on February 11, 2023 and on the last day of each month thereafter. Read SEC document |
| January 11, 2023 Filed Jan 13, 2023 22:18 UTC | Liquidia Corp LQDA · Entity 1860 | GrantCommon Stock | 124,667 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-23-003882 · tm232332-5_4seq1.xml · nonDerivative · entry 1 Kaseta Michael · CIK 0001724346 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 162,544 F1 · kind: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock. F2 · shares: 25% of the RSUs shall vest on January 11, 2024 and the remaining RSUs shall vest ratably on a quarterly basis over three years thereafter. Read SEC document |
| September 13, 2022 Filed Sep 15, 2022 00:48 UTC | Liquidia Corp LQDA · Entity 1860 | PurchaseCommon Stock | 8,000 | $5.99 | $47,920.00 |
DisclosureSEC source: 0001104659-22-100139 · tm2225428-3_4seq1.xml · nonDerivative · entry 1 Kaseta Michael · CIK 0001724346 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,877 Read SEC document |
| August 31, 2022 Filed Sep 2, 2022 00:38 UTC | Liquidia Corp LQDA · Entity 1860 | PurchaseCommon Stock | 1,927 | $4.90 | $9,450.97 |
DisclosureSEC source: 0001104659-22-097130 · tm2225015-2_4seq1.xml · nonDerivative · entry 1 Kaseta Michael · CIK 0001724346 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,877 Read SEC document |
| August 31, 2022 Filed Apr 10, 2023 20:31 UTC Amendment | Liquidia Corp LQDA · Entity 1860 | GrantCommon Stock | 1,927 | $4.90 | $9,450.97 |
DisclosureSEC source: 0001104659-23-043614 · tm2311744-3_4aseq1.xml · nonDerivative · entry 1 Kaseta Michael · CIK 0001724346 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 29,877 F1 · shares: This amendment is being filed solely to add this footnote 1 and to correct the transaction code in box 3 above. These shares of common stock were acquired on August 31, 2022 through the Liquidia Corporation 2020 Employee Stock Purchase Plan in a transaction that was exempt under both Rule 16b-3(d) and Rule 16b-3(c). Read SEC document |
| July 28, 2022 Filed Aug 1, 2022 22:36 UTC | Liquidia Corp LQDA · Entity 1860 | GrantStock Option (Right to Buy) · Derivative | 150,000 | $0.00 Strike: $5.12 | $0.00 |
DisclosureSEC source: 0001104659-22-084859 · tm2222301-1_4seq1.xml · derivative · entry 1 Kaseta Michael · CIK 0001724346 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 150,000 Underlying: Common Stock · 150,000 shares Expires 2032-07-28 F1 · derivative.exercise_date: The options will vest ratably on a monthly basis over four years with the first vesting date to occur on August 31, 2022, and on the last day of each month thereafter. Read SEC document |
| May 31, 2022 Filed Jun 1, 2022 21:50 UTC | Liquidia Corp LQDA · Entity 1860 | PurchaseCommon Stock | 5,061 | $4.00 | $20,244.00 |
DisclosureSEC source: 0001104659-22-067218 · tm2217519-1_4seq1.xml · nonDerivative · entry 2 Kaseta Michael · CIK 0001724346 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,950 Read SEC document |
| May 31, 2022 Filed Jun 1, 2022 21:50 UTC | Liquidia Corp LQDA · Entity 1860 | PurchaseCommon Stock | 13,639 | $4.01 | $54,692.39 |
DisclosureSEC source: 0001104659-22-067218 · tm2217519-1_4seq1.xml · nonDerivative · entry 1 Kaseta Michael · CIK 0001724346 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,889 Read SEC document |
| January 16, 2022 Filed Jan 19, 2022 21:33 UTC | Liquidia Corp LQDA · Entity 1860 | GrantStock Option (Right to Buy) · Derivative | 75,000 | $0.00 Strike: $6.25 | $0.00 |
DisclosureSEC source: 0001104659-22-005469 · tm221559-2_4seq1.xml · derivative · entry 2 Kaseta Michael · CIK 0001724346 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,000 Underlying: Common Stock · 75,000 shares Expires 2032-01-16 F3 · derivative.exercise_date: The options will vest ratably on a monthly basis over four years with the first vesting date to occur on February 28, 2022 and on the last day of each month thereafter. Read SEC document |
| January 16, 2022 Filed Jan 19, 2022 21:33 UTC | Liquidia Corp LQDA · Entity 1860 | GrantRestricted Stock Units · Derivative | 37,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-22-005469 · tm221559-2_4seq1.xml · derivative · entry 1 Kaseta Michael · CIK 0001724346 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,500 Underlying: Common Stock · 37,500 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock. F2 · derivative.exercise_date: 25% of the RSUs shall vest on February 28, 2023 and the remaining RSUs shall vest ratably on a quarterly basis over three years thereafter. F2 · derivative.expiration_date: 25% of the RSUs shall vest on February 28, 2023 and the remaining RSUs shall vest ratably on a quarterly basis over three years thereafter. Read SEC document |
| November 10, 2021 Filed Nov 12, 2021 23:59 UTC | Liquidia Corp LQDA · Entity 1860 | GrantPerformance Stock Units · Derivative | 9,250 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-138291 · tm2132597-3_4seq1.xml · derivative · entry 2 Kaseta Michael · CIK 0001724346 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 9,250 shares Expires not disclosed F1 · derivative.exercise_price: Each performance stock unit (PSU) converts into one share of common stock of the Issuer. F2 · derivative.exercise_date: On January 19, 2021, the reporting person was granted 9,250 PSUs, vesting in full upon tentative approval by the U.S. Food and Drug Administration of the New Drug Application for LIQ861. F2 · derivative.expiration_date: On January 19, 2021, the reporting person was granted 9,250 PSUs, vesting in full upon tentative approval by the U.S. Food and Drug Administration of the New Drug Application for LIQ861. Read SEC document |
| November 10, 2021 Filed Nov 12, 2021 23:59 UTC | Liquidia Corp LQDA · Entity 1860 | Exercise / conversionCommon Stock | 9,250 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-21-138291 · tm2132597-3_4seq1.xml · nonDerivative · entry 1 Kaseta Michael · CIK 0001724346 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,250 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 · price: Each performance stock unit (PSU) converts into one share of common stock of the Issuer. Read SEC document |
| July 21, 2021 Filed Jul 23, 2021 22:11 UTC | Liquidia Corp LQDA · Entity 1860 | GrantStock Option (Right to Buy) · Derivative | 10,000 | $0.00 Strike: $2.54 | $0.00 |
DisclosureSEC source: 0001104659-21-095508 · tm2123135-3_4seq1.xml · derivative · entry 1 Kaseta Michael · CIK 0001724346 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Underlying: Common Stock · 10,000 shares Expires 2031-07-21 F1 · derivative.exercise_date: The option vests over a four-year period with 25% of the shares of common stock underlying the option vesting on the one-year anniversary of the grant date and the remaining 75% of the shares of common stock underlying the option vesting in equal monthly installments thereafter, becoming fully vested on July 21, 2025; provided, however, that notwithstanding the foregoing vesting schedule, 50% of the shares of common sock underlying the option will vest upon U.S. Food and Drug Administration (FDA) tentative approval of the Issuer's New Drug Application for LIQ861. Read SEC document |
| January 19, 2021 Filed Jan 21, 2021 01:30 UTC | Liquidia Corp LQDA · Entity 1860 | GrantPerformance Stock Units · Derivative | 9,250 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-005988 · tm213622-5_4seq1.xml · derivative · entry 2 Kaseta Michael · CIK 0001724346 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,250 Underlying: Common Stock · 9,250 shares Expires not disclosed F2 · derivative.exercise_date: The performance stock units (PSUs) vest in full upon tentative approval by the U.S. Food and Drug Administration of the New Drug Application for LIQ861. Each PSU represents a contingent right to receive one share of common stock of the issuer. F2 · derivative.expiration_date: The performance stock units (PSUs) vest in full upon tentative approval by the U.S. Food and Drug Administration of the New Drug Application for LIQ861. Each PSU represents a contingent right to receive one share of common stock of the issuer. Read SEC document |
| January 19, 2021 Filed Jan 21, 2021 01:30 UTC | Liquidia Corp LQDA · Entity 1860 | GrantEmployee Stock Option (right to buy) · Derivative | 18,500 | $0.00 Strike: $2.97 | $0.00 |
DisclosureSEC source: 0001104659-21-005988 · tm213622-5_4seq1.xml · derivative · entry 1 Kaseta Michael · CIK 0001724346 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,500 Underlying: Common Stock · 18,500 shares Expires 2031-01-19 F1 · derivative.exercise_date: The option vests in equal monthly installments over a four-year period, becoming fully vested on January 19, 2025. Read SEC document |
| November 30, 2020 Filed Dec 1, 2020 13:58 UTC | Liquidia Corp LQDA · Entity 1860 | GrantEmployee Stock Option (right to buy) · Derivative | 230,000 | $0.00 Strike: $2.79 | $0.00 |
DisclosureSEC source: 0001104659-20-130857 · a4.xml · derivative · entry 1 Kaseta Michael · CIK 0001724346 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 230,000 Underlying: Common Stock · 230,000 shares Expires 2030-11-30 F1 · derivative.exercise_date: The option vests over a four-year period with 25% of the shares of common stock underlying the option vesting on the one-year anniversary of the grant date and the remaining 75% of the shares of common stock underlying the option vesting in equal monthly installments thereafter, becoming fully vested on November 30, 2024. Read SEC document |
| March 15, 2018 Filed Mar 19, 2018 20:30 UTC | Aralez Pharmaceuticals Inc. ARLZ · Entity 165961 | GrantEmployee Stock Option (right to buy) · Derivative | 25,000 | $0.00 Strike: $1.75 | $0.00 |
DisclosureSEC source: 0001104659-18-018705 · a4.xml · derivative · entry 2 Kaseta Michael · CIK 0001724346 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 Underlying: Common Shares, without par value · 25,000 shares Expires 2028-03-15 F3 · derivative.exercise_date: The option vests as to 25% of the shares on March 15, 2019, and the remainder vests in substantially equal monthly installments over the 36 months immediately following such date, subject to continued employment or service to the Company. Read SEC document |
| March 15, 2018 Filed Mar 19, 2018 20:30 UTC | Aralez Pharmaceuticals Inc. ARLZ · Entity 165961 | GrantCommon Shares, without par value | 12,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-18-018705 · a4.xml · nonDerivative · entry 1 Kaseta Michael · CIK 0001724346 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 F1 · shares: Restricted Stock Units granted pursuant to the Aralez Pharmaceuticals Inc. 2016 Amended and Restated Long-Term Incentive Plan, which vest 33.3% annually over three years commencing upon the first anniversary of the date of grant, subject to continued employment or service to the Company. F2 · balance_after: Includes 833 shares of Common Stock and 14,167 Restricted Stock Units. Read SEC document |
| November 30, 2017 Filed Dec 4, 2017 19:24 UTC | Aralez Pharmaceuticals Inc. ARLZ · Entity 165961 | GrantEmployee Stock Option (right to buy) · Derivative | 25,000 | $0.00 Strike: $1.51 | $0.00 |
DisclosureSEC source: 0001104659-17-071740 · a4.xml · derivative · entry 1 Kaseta Michael · CIK 0001724346 · Interim CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 Underlying: Common Shares, without par value · 25,000 shares Expires 2027-11-30 F1 · derivative.exercise_date: The option vests as to 25% of the shares on November 30, 2018, and the remainder vests in substantially equal monthly installments over the 36 months immediately following such date, subject to continued employment or service to the Company. 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.