person · Reporting owner

JEFFS ROGER

Disclosed activity across 6 companies

Tapewire entity: 30518
SEC CIK: 0001231615

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
ALBIREO PHARMA, INC.ALBO · Entity 116015	Director	June 24, 2021	June 28, 2021
Axsome Therapeutics, Inc.AXSM · Entity 2469	Director	June 10, 2026	June 12, 2026
Liquidia CorpLQDA · Entity 1860	Director · Chief Executive Officer	October 09, 2026	October 13, 2026
SANGAMO THERAPEUTICS, INCSGMO · Entity 7038	Director	September 07, 2018	September 07, 2018
Sio Gene Therapies Inc.AXGT · Entity 130622	Director	April 15, 2019	April 18, 2019

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.

ALBIREO PHARMA, INC.

Report date June 24, 2021 · Filed June 28, 2021

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $36.87 · Expires 2031-06-23	Direct	8,000	Reported balance After 2021-06-24 transaction · row 1 Instrument identity requires review; Table II rows are not merged. 1 source row Row 1 · 2021-06-24 · Grant · Acquired 8,000 · Balance 8,000 F1: This option will vest and become exercisable in full on the earlier of (i) June 24, 2022 or (ii) the day prior to the issuer's 2022 annual meeting of stockholders, subject to the director's continued service on the issuer's board of directors on the vesting date.

Filing footnotes · ownership attribution and instrument terms

F1: This option will vest and become exercisable in full on the earlier of (i) June 24, 2022 or (ii) the day prior to the issuer's 2022 annual meeting of stockholders, subject to the director's continued service on the issuer's board of directors on the vesting date.

Axsome Therapeutics, Inc.

Report date June 10, 2026 · Filed June 12, 2026

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	58,367	Ending reported balance After 2026-06-11 transaction · row 2 2 source rows · reconciled sequence Row 1 · 2026-06-10 · Sale · Disposed 286 · Balance 58,653 F1: Such transaction was pursuant to a pre-approved 10b5-1 plan, which has now been completed. F2: These shares were sold to cover taxes associated with the settlement of RSUs that were initially granted to the Reporting Person on June 6, 2025. Row 2 · 2026-06-11 · Sale · Disposed 286 · Balance 58,367 F1: Such transaction was pursuant to a pre-approved 10b5-1 plan, which has now been completed. F2: These shares were sold to cover taxes associated with the settlement of RSUs that were initially granted to the Reporting Person on June 6, 2025.

Filing footnotes · ownership attribution and instrument terms

F1: Such transaction was pursuant to a pre-approved 10b5-1 plan, which has now been completed.

F2: These shares were sold to cover taxes associated with the settlement of RSUs that were initially granted to the Reporting Person on June 6, 2025.

Liquidia Corp

Report date October 09, 2026 · Filed October 13, 2026

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	1,125,848	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 rows Row 1 · 2026-10-09 · Exercise / conversion · Acquired 13,833 · Balance 1,144,259 F2: On January 11, 2024, the Reporting Person was granted 221,338 PSUs which vest upon the following time-based vesting schedule: 25% of the PSUs shall vest on January 11, 2025 and the remaining PSUs vesting ratably on a quarterly basis over three years thereafter. Of those PSUs, a total of 152,170 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) 18,094 unvested restricted stock units ("RSUs") of the 289,500 RSUs granted to the Reporting Person on January 11, 2023, (ii) 69,168 unvested RSUs of the 221,338 RSUs granted to the Reporting Person on January 11, 2024, (iii) 128,996 unvested RSUs of the 229,327 RSUs granted to the Reporting Person on January 11, 2025 and (iv) 115,344 RSUs granted to the Reporting Person on January 16, 2026, none of which have vested as of the date of this Form 4. Row 2 · 2026-10-09 · Exercise / conversion · Acquired 14,333 · Balance 1,158,592 F4: On January 11, 2025, the Reporting Person was granted 229,327 PSUs which vest upon the following time-based vesting schedule: 25% of the PSUs shall vest on January 11, 2026 and the remaining PSUs vesting ratably on a quarterly basis over three years thereafter. Of those PSUs, a total of 100,331 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) 18,094 unvested restricted stock units ("RSUs") of the 289,500 RSUs granted to the Reporting Person on January 11, 2023, (ii) 69,168 unvested RSUs of the 221,338 RSUs granted to the Reporting Person on January 11, 2024, (iii) 128,996 unvested RSUs of the 229,327 RSUs granted to the Reporting Person on January 11, 2025 and (iv) 115,344 RSUs granted to the Reporting Person on January 16, 2026, none of which have vested as of the date of this Form 4. Row 3 · 2026-10-12 · Sale · Disposed 32,744 · Balance 1,125,848 F5: Transaction effected pursuant to a Rule 10b5-1 plan adopted by the Reporting Person on December 15, 2023. F6: These shares 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 and January 11, 2025. F3: Includes (i) 18,094 unvested restricted stock units ("RSUs") of the 289,500 RSUs granted to the Reporting Person on January 11, 2023, (ii) 69,168 unvested RSUs of the 221,338 RSUs granted to the Reporting Person on January 11, 2024, (iii) 128,996 unvested RSUs of the 229,327 RSUs granted to the Reporting Person on January 11, 2025 and (iv) 115,344 RSUs granted to the Reporting Person on January 16, 2026, none of which have vested as of the date of this Form 4.
Performance Stock UnitsSEC Table II · derivative / convertible security	Direct	69,168	Reported balance After 2026-10-09 transaction · row 6 Instrument identity requires review; Table II rows are not merged. 1 source row Row 6 · 2026-10-09 · Exercise / conversion · Disposed 13,833 · Balance 69,168 F1: Performance stock units ("PSUs") convert into common stock on a one-for-one basis.
Performance Stock UnitsSEC Table II · derivative / convertible security	Direct	128,996	Reported balance After 2026-10-09 transaction · row 7 Instrument identity requires review; Table II rows are not merged. 1 source row Row 7 · 2026-10-09 · Exercise / conversion · Disposed 14,333 · Balance 128,996 F1: Performance stock units ("PSUs") convert into common stock on a one-for-one basis.
Common StockSEC Table I · non-derivative	IndirectSee footnote	46,595	Reported balance Holding disclosure · report date 2026-10-09 · row 4 Holding and transaction disclosures are not merged. 1 source row Row 4 · Balance 46,595 F7: The securities are held by Roger A. Jeffs Living Trust UAD 2/29/2000 (the "Trust"). The Reporting Person is the trustee of the Trust.
Common StockSEC Table I · non-derivative	IndirectSee footnote	1,041,667	Reported balance Holding disclosure · report date 2026-10-09 · row 5 Holding and transaction disclosures are not merged. 1 source row Row 5 · Balance 1,041,667 F8: The securities are held by Serendipity BioPharma LLC ("Serendipity"). The Reporting Person is a manager of Serendipity and has sole voting and dispositive power over the Issuer common stock held by Serendipity.

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 221,338 PSUs which vest upon the following time-based vesting schedule: 25% of the PSUs shall vest on January 11, 2025 and the remaining PSUs vesting ratably on a quarterly basis over three years thereafter. Of those PSUs, a total of 152,170 have vested as of the date of this Form 4.

F3: Includes (i) 18,094 unvested restricted stock units ("RSUs") of the 289,500 RSUs granted to the Reporting Person on January 11, 2023, (ii) 69,168 unvested RSUs of the 221,338 RSUs granted to the Reporting Person on January 11, 2024, (iii) 128,996 unvested RSUs of the 229,327 RSUs granted to the Reporting Person on January 11, 2025 and (iv) 115,344 RSUs granted to the Reporting Person on January 16, 2026, none of which have vested as of the date of this Form 4.

F4: On January 11, 2025, the Reporting Person was granted 229,327 PSUs which vest upon the following time-based vesting schedule: 25% of the PSUs shall vest on January 11, 2026 and the remaining PSUs vesting ratably on a quarterly basis over three years thereafter. Of those PSUs, a total of 100,331 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 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 and January 11, 2025.

F7: The securities are held by Roger A. Jeffs Living Trust UAD 2/29/2000 (the "Trust"). The Reporting Person is the trustee of the Trust.

F8: The securities are held by Serendipity BioPharma LLC ("Serendipity"). The Reporting Person is a manager of Serendipity and has sole voting and dispositive power over the Issuer common stock held by Serendipity.

SANGAMO THERAPEUTICS, INC

Report date September 07, 2018 · Filed September 07, 2018

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	9,908	Reported balance After 2018-09-07 transaction · row 1 Account or security details depend on footnotes; rows are not merged. 1 source row Row 1 · 2018-09-07 · Purchase · Acquired 7,408 · Balance 9,908 F1: The price reported is a weighted average price. The shares were purchased at prices ranging from $13.475 to $13.60. The Reporting Person will provide upon request to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares purchased at each separate price. F2: Includes 2,500 shares of common stock subject to restricted stock units ("RSUs") granted on June 11, 2018. The RSUs will fully vest on the earlier of (x) June 11, 2019 (the first anniversary of the date of grant) or (y) the day prior to the 2019 annual stockholders meeting, subject to the Reporting Person's continued service on the Issuer's Board of Directors through such date.

Filing footnotes · ownership attribution and instrument terms

F1: The price reported is a weighted average price. The shares were purchased at prices ranging from $13.475 to $13.60. The Reporting Person will provide upon request to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares purchased at each separate price.

F2: Includes 2,500 shares of common stock subject to restricted stock units ("RSUs") granted on June 11, 2018. The RSUs will fully vest on the earlier of (x) June 11, 2019 (the first anniversary of the date of grant) or (y) the day prior to the 2019 annual stockholders meeting, subject to the Reporting Person's continued service on the Issuer's Board of Directors through such date.

Sio Gene Therapies Inc.

Report date April 15, 2019 · Filed April 18, 2019

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.06 · Expires 2029-04-14	Direct	255,000	Reported balance After 2019-04-15 transaction · row 1 Instrument identity requires review; Table II rows are not merged. 1 source row Row 1 · 2019-04-15 · Grant · Acquired 255,000 · Balance 255,000 F1: 100% of this option will vest on April 15, 2020, subject to the Reporting Person providing continuous service to the Issuer on such date. The option allows for early exercise, subject to the Issuer's repurchase option with respect to any unvested common shares. All common shares underlying the option will become fully vested upon a change in control, as that term is defined in the Issuer's 2015 Equity Incentive Plan.

Filing footnotes · ownership attribution and instrument terms

F1: 100% of this option will vest on April 15, 2020, subject to the Reporting Person providing continuous service to the Issuer on such date. The option allows for early exercise, subject to the Issuer's repurchase option with respect to any unvested common shares. All common shares underlying the option will become fully vested upon a change in control, as that term is defined in the Issuer's 2015 Equity Incentive Plan.

Past disclosures · reporting ended (1)

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

Dova Pharmaceuticals Inc.

Report date November 12, 2019 · Filed November 12, 2019

Section 16 reporting ended · disclosed 2019-11-12. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosure context
Common StockSEC Table I · non-derivative	Direct	Reported balance After 2019-11-12 transaction · row 1 1 source row Row 1 · 2019-11-12 · Disposition to issuer · Disposed 66,993 · Balance 0 F1: Disposed pursuant to an agreement and plan of merger by and between the Issuer, Swedish Orphan Biovitrum AB and Dragonfly Acquisition Corp. (the "Merger") in exchange for $27.50 per share of Issuer's common stock including any shares subject to each restricted stock unit on the effective date of the Merger, plus (ii) one non-transferable contingent value right per share, which represents the right to receive $1.50, without interest and subject to any withholding taxes, upon the achievement of a specified milestone.
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $7.32 · Expires 2027-05-24	Direct	Reported balance After 2019-11-12 transaction · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · 2019-11-12 · Disposition to issuer · Disposed 33,000 · Balance 0 F2: This option, which provided for vesting over a period of three years as follows: (i) one-third of the total shares subject to the option shall vest on May 25, 2018, and (ii) 1/36th of total shares subject to the option shall vest monthly thereafter over the remaining two years of the vesting period, was accelerated and canceled in the Merger in exchange for a cash payment of $665,940.00, representing the difference between the exercise price of outstanding shares subject to the option and the market value of the underlying common stock on the effective date of the Merger ($27.50 per share). In addition, one non-transferable contingent value right per share, which represents the right to receive $1.50, without interest and subject to any withholding taxes, upon the achievement of a specified milestone was awarded to the Reporting Person for each outstanding share subject to the option.
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $9.36 · Expires 2029-04-25	Direct	Reported balance After 2019-11-12 transaction · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · 2019-11-12 · Disposition to issuer · Disposed 10,000 · Balance 0 F3: This option, which provided for vesting monthly over one year from the grant date and in any event will be fully vested on the date of the next annual meeting of our stockholders, was canceled in the Merger in exchange for a cash payment of $181,400.00, representing the difference between the exercise price of outstanding shares subject to the option and the market value of the underlying common stock on the effective date of the Merger ($27.50 per share). In addition, one non-transferable contingent value right per share, which represents the right to receive $1.50, without interest and subject to any withholding taxes, upon the achievement of a specified milestone was awarded to the Reporting Person for each outstanding share subject to the option.

Filing footnotes · ownership attribution and instrument terms

F1: Disposed pursuant to an agreement and plan of merger by and between the Issuer, Swedish Orphan Biovitrum AB and Dragonfly Acquisition Corp. (the "Merger") in exchange for $27.50 per share of Issuer's common stock including any shares subject to each restricted stock unit on the effective date of the Merger, plus (ii) one non-transferable contingent value right per share, which represents the right to receive $1.50, without interest and subject to any withholding taxes, upon the achievement of a specified milestone.

F2: This option, which provided for vesting over a period of three years as follows: (i) one-third of the total shares subject to the option shall vest on May 25, 2018, and (ii) 1/36th of total shares subject to the option shall vest monthly thereafter over the remaining two years of the vesting period, was accelerated and canceled in the Merger in exchange for a cash payment of $665,940.00, representing the difference between the exercise price of outstanding shares subject to the option and the market value of the underlying common stock on the effective date of the Merger ($27.50 per share). In addition, one non-transferable contingent value right per share, which represents the right to receive $1.50, without interest and subject to any withholding taxes, upon the achievement of a specified milestone was awarded to the Reporting Person for each outstanding share subject to the option.

F3: This option, which provided for vesting monthly over one year from the grant date and in any event will be fully vested on the date of the next annual meeting of our stockholders, was canceled in the Merger in exchange for a cash payment of $181,400.00, representing the difference between the exercise price of outstanding shares subject to the option and the market value of the underlying common stock on the effective date of the Merger ($27.50 per share). In addition, one non-transferable contingent value right per share, which represents the right to receive $1.50, without interest and subject to any withholding taxes, upon the achievement of a specified milestone was awarded to the Reporting Person for each outstanding share subject to the option.

Transaction history

JSON API

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

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

Transaction date	Company	Activity / security	Shares / units	Reported price	Reported value	Details
October 03, 2022 Filed Oct 4, 2022 20:25 UTC	Liquidia Corp LQDA · Entity 1860	Exercise / conversionCommon Stock	47,423	Not disclosed	Not disclosed	Disclosure SEC source: 0001104659-22-105846 · tm2227425-1_4seq1.xml · nonDerivative · entry 1 JEFFS ROGER · CIK 0001231615 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 207,250 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. F2 · shares: On January 3, 2022, the Reporting Person was granted 63,230 RSUs with 25% vesting quarterly through the first anniversary of the grant date. Of those RSUs, a total of 47,423 have vested through October 3, 2022. F1 · price: Restricted stock units ("RSUs") convert into common stock on a one-for-one basis. Read SEC document
September 06, 2022 Filed Sep 8, 2022 00:14 UTC	Liquidia Corp LQDA · Entity 1860	PurchaseCommon Stock	43,820	$5.57	$243,989.76	Disclosure SEC source: 0001104659-22-098326 · tm2225428-1_4seq1.xml · nonDerivative · entry 1 JEFFS ROGER · CIK 0001231615 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 159,827 F1 · price: Price is the volume weighted average purchase price of all purchases made by the Reporting Person on the transaction date for prices ranging from $5.47 to $5.68. Read SEC document
August 31, 2022 Filed Sep 2, 2022 00:36 UTC	Liquidia Corp LQDA · Entity 1860	PurchaseCommon Stock	993	$4.90	$4,870.17	Disclosure SEC source: 0001104659-22-097129 · tm2225015-1_4seq1.xml · nonDerivative · entry 1 JEFFS ROGER · CIK 0001231615 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 116,007 Read SEC document
August 31, 2022 Filed Apr 10, 2023 20:32 UTC Amendment	Liquidia Corp LQDA · Entity 1860	GrantCommon Stock	993	$4.90	$4,870.17	Disclosure SEC source: 0001104659-23-043616 · tm2311744-4_4aseq1.xml · nonDerivative · entry 1 JEFFS ROGER · CIK 0001231615 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 116,007 F3 · shares: This amendment is being filed solely to add this footnote 3 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
June 17, 2022 Filed Jun 22, 2022 20:34 UTC	Liquidia Corp LQDA · Entity 1860	GrantNon-Qualified Stock Option (right to buy) · Derivative	931,475	$0.00 Strike: $4.86	$0.00	Disclosure SEC source: 0001104659-22-073537 · tm2219055-9_4seq1.xml · derivative · entry 1 JEFFS ROGER · CIK 0001231615 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 931,475 Underlying: Common Stock · 931,475 shares Expires 2032-06-17 F1 · derivative.exercise_date: 25% of the grant will become vested and exercisable or settled, as applicable, on January 3, 2023, and the balance will become vested and exercisable or settled, as applicable, in equal monthly installments over the following thirty-six (36) months. Read SEC document
June 03, 2022 Filed Jun 7, 2022 20:07 UTC	Axsome Therapeutics, Inc. AXSM · Entity 2469	GrantStock Option (Right to Buy) · Derivative	16,976	$0.00 Strike: $25.53	$0.00	Disclosure SEC source: 0001209191-22-034823 · doc4.xml · derivative · entry 1 JEFFS ROGER · CIK 0001231615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,976 Underlying: Common Stock · 16,976 shares Expires 2032-06-03 F1 · derivative.exercise_date: The option vests in full on the one-year anniversary of the date of grant, June 3, 2023. Read SEC document
May 24, 2022 Filed May 25, 2022 23:27 UTC	Liquidia Corp LQDA · Entity 1860	PurchaseCommon Stock	28,000	$3.53	$98,812.00	Disclosure SEC source: 0001104659-22-064800 · tm2216924-1_4seq1.xml · nonDerivative · entry 1 JEFFS ROGER · CIK 0001231615 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 46,595 F1 · ownership.nature: The securities are held by Roger A. Jeffs Living Trust UAD 2/29/2000 (the "Trust"). The Reporting Person is the trustee of the Trust. Read SEC document
March 31, 2022 Filed Apr 20, 2022 20:35 UTC	Liquidia Corp LQDA · Entity 1860	GrantCommon Stock	154,167	$0.00	$0.00	Disclosure SEC source: 0001104659-22-047869 · tm2213052-2_4seq1.xml · nonDerivative · entry 1 JEFFS ROGER · CIK 0001231615 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,541,667 F1 · kind: On March 31, 2022, 154,167 shares of the Issuer's common stock which were previously subject to a holdback pursuant to the terms of the merger agreement for Issuer's acquisition of RareGen, LLC ("RareGen") were released to the Reporting Person. The merger agreement provided that certain shares of the Issuer's common stock issuable to members of RareGen at the closing of the transaction would be held back as partial security for the benefit of the Issuer with respect to any indemnifiable damages pursuant to the indemnification obligations of the members of RareGen. The shares would subsequently be released for no additional consideration, subject to the cancellation of shares of the Issuer's common stock in connection with any such indemnifiable damages. F2 · ownership.nature: The securities are held by Serendipity BioPharma LLC ("Serendipity"). The Reporting Person is a manager of Serendipity and has sole voting and dispositive power over the Issuer common stock held by Serendipity. Read SEC document
March 04, 2022 Filed Mar 8, 2022 22:00 UTC	Axsome Therapeutics, Inc. AXSM · Entity 2469	GrantStock Option (Right to Buy) · Derivative	2,347	$0.00 Strike: $29.91	$0.00	Disclosure SEC source: 0001209191-22-017155 · doc4.xml · derivative · entry 1 JEFFS ROGER · CIK 0001231615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,347 Underlying: Common Stock · 2,347 shares Expires 2032-03-03 F1 · shares: Represents 2,347 options elected to be received in lieu of cash compensation earned in 2021. All of such options are immediately exercisable. Read SEC document
January 03, 2022 Filed Jan 4, 2022 22:05 UTC	Liquidia Corp LQDA · Entity 1860	GrantRestricted Stock Unit · Derivative	63,230	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001104659-22-000972 · tm221559-1_4seq1.xml · derivative · entry 2 JEFFS ROGER · CIK 0001231615 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,230 Underlying: Common Stock · 63,230 shares Expires not disclosed F2 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a right to receive one share of the Issuer's common shares without payment of specific consideration. F3 · derivative.exercise_date: 25% of the grant will become vested quarterly through the first anniversary of the transaction date. F4 · derivative.expiration_date: Not applicable. Read SEC document
January 03, 2022 Filed Jan 4, 2022 22:05 UTC	Liquidia Corp LQDA · Entity 1860	GrantNon-Qualified Stock Option (right to buy) · Derivative	1,682,827	$0.00 Strike: $5.14	$0.00	Disclosure SEC source: 0001104659-22-000972 · tm221559-1_4seq1.xml · derivative · entry 1 JEFFS ROGER · CIK 0001231615 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,763,180 Underlying: Common Stock · 1,682,827 shares Expires 2032-01-03 F1 · derivative.exercise_date: 25% of the grant will become vested and exercisable or settled, as applicable, on first anniversary of the transaction date and the balance will become vested and exercisable or settled, as applicable, in equal monthly installments over the following thirty-six (36) months. Read SEC document
November 19, 2021 Filed Nov 23, 2021 12:30 UTC	Axsome Therapeutics, Inc. AXSM · Entity 2469	PurchaseCommon Stock	3,950	$37.30	$147,350.01	Disclosure SEC source: 0001209191-21-066287 · doc4.xml · nonDerivative · entry 1 JEFFS ROGER · CIK 0001231615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 120,756 Read SEC document
August 20, 2021 Filed Sep 1, 2021 21:25 UTC	Liquidia Corp LQDA · Entity 1860	GrantNon-Qualified Stock Option (right to buy) · Derivative	20,000	$0.00 Strike: $2.59	$0.00	Disclosure SEC source: 0001104659-21-112112 · tm2126786-3_4.xml · derivative · entry 1 JEFFS ROGER · CIK 0001231615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2031-08-20 F1 · derivative.exercise_date: The option vests in 36 equal monthly installments and will become fully vested on August 20, 2024. Read SEC document
June 24, 2021 Filed Jun 28, 2021 20:05 UTC	ALBIREO PHARMA, INC. ALBO · Entity 116015	GrantStock Option (right to buy) · Derivative	8,000	$0.00 Strike: $36.87	$0.00	Disclosure SEC source: 0001209191-21-043471 · doc4.xml · derivative · entry 1 JEFFS ROGER · CIK 0001231615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,000 Underlying: Common Stock · 8,000 shares Expires 2031-06-23 F1 · derivative.exercise_date: This option will vest and become exercisable in full on the earlier of (i) June 24, 2022 or (ii) the day prior to the issuer's 2022 annual meeting of stockholders, subject to the director's continued service on the issuer's board of directors on the vesting date. Read SEC document
June 04, 2021 Filed Jun 8, 2021 20:52 UTC	Axsome Therapeutics, Inc. AXSM · Entity 2469	GrantStock Option (Right to Buy) · Derivative	7,325	$0.00 Strike: $61.32	$0.00	Disclosure SEC source: 0001209191-21-038954 · doc4.xml · derivative · entry 1 JEFFS ROGER · CIK 0001231615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,325 Underlying: Common Stock · 7,325 shares Expires 2031-06-04 F1 · derivative.exercise_date: The option vests in full on the one-year anniversary of the date of grant, June 4, 2022. Read SEC document
April 13, 2021 Filed Apr 15, 2021 13:22 UTC	Liquidia Corp LQDA · Entity 1860	PurchaseCommon Stock	99,206	$2.52	$249,999.12	Disclosure SEC source: 0001104659-21-050547 · tm2113044-1_4seq1.xml · nonDerivative · entry 1 JEFFS ROGER · CIK 0001231615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 111,706 Read SEC document
March 24, 2021 Filed Mar 26, 2021 20:06 UTC	Liquidia Corp LQDA · Entity 1860	GrantNon-Qualified Stock Option (right to buy) · Derivative	30,353	$0.00 Strike: $2.51	$0.00	Disclosure SEC source: 0001104659-21-042428 · tm2111007-3_4seq1.xml · derivative · entry 1 JEFFS ROGER · CIK 0001231615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,353 Underlying: Common Stock · 30,353 shares Expires 2031-03-24 F1 · derivative.exercise_date: The option vests quarterly during 2021, with 25% of the option shares vesting on the date of grant, and 25% of the option shares vesting on each of June 30, 2021, September 30, 2021 and December 31, 2021, becoming fully vested on December 31, 2021. Read SEC document
March 05, 2021 Filed Mar 10, 2021 02:45 UTC	Axsome Therapeutics, Inc. AXSM · Entity 2469	GrantStock Option (Right to Buy) · Derivative	1,463	$0.00 Strike: $65.02	$0.00	Disclosure SEC source: 0000899243-21-010804 · doc4.xml · derivative · entry 1 JEFFS ROGER · CIK 0001231615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,463 Underlying: Common Stock · 1,463 shares Expires 2031-03-04 F1 · shares: Represents 1,463 options elected to be received in lieu of cash compensation earned in 2020. All of such options are immediately exercisable. Read SEC document
November 18, 2020 Filed Nov 19, 2020 21:11 UTC	Liquidia Corp LQDA · Entity 1860	GrantNon-Qualified Stock Option (right to buy) · Derivative	30,000	$0.00 Strike: $3.38	$0.00	Disclosure SEC source: 0001104659-20-127349 · a4.xml · derivative · entry 4 JEFFS ROGER · CIK 0001231615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 Underlying: Common Stock · 30,000 shares Expires 2030-11-18 F3 · derivative.exercise_date: The option vests in 36 equal monthly installments, becoming fully vested on November 18, 2023. Read SEC document
November 18, 2020 Filed Nov 19, 2020 21:11 UTC	Liquidia Corp LQDA · Entity 1860	OtherCommon Stock	1,387,500	$6.00	$8,325,000.00	Disclosure SEC source: 0001104659-20-127349 · a4.xml · nonDerivative · entry 1 JEFFS ROGER · CIK 0001231615 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,387,500 F1 · kind: The securities are held by Serendipity BioPharma LLC ("Serendipity"). On November 18, 2020, Serendipity acquired the shares of the Issuer's common stock at the closing of that certain merger transaction among the Issuer, RareGen, LLC ("RareGen") and Liquidia Technologies, Inc. ("Liquidia Technologies"), among other parties, pursuant to which, on November 18, 2020, Liquidia Technologies acquired RareGen and each of Liquidia Technologies and RareGen became wholly owned operating subsidiaries of the Issuer. The shares of Issuer common stock were acquired at a deemed price per share equal to $6.00 as consideration for all of Serendipity's equity in RareGen. The Reporting Person is a manager of Serendipity and has sole voting and dispositive power over the Issuer common stock held by Serendipity. F1 · price: The securities are held by Serendipity BioPharma LLC ("Serendipity"). On November 18, 2020, Serendipity acquired the shares of the Issuer's common stock at the closing of that certain merger transaction among the Issuer, RareGen, LLC ("RareGen") and Liquidia Technologies, Inc. ("Liquidia Technologies"), among other parties, pursuant to which, on November 18, 2020, Liquidia Technologies acquired RareGen and each of Liquidia Technologies and RareGen became wholly owned operating subsidiaries of the Issuer. The shares of Issuer common stock were acquired at a deemed price per share equal to $6.00 as consideration for all of Serendipity's equity in RareGen. The Reporting Person is a manager of Serendipity and has sole voting and dispositive power over the Issuer common stock held by Serendipity. F1 · ownership.nature: The securities are held by Serendipity BioPharma LLC ("Serendipity"). On November 18, 2020, Serendipity acquired the shares of the Issuer's common stock at the closing of that certain merger transaction among the Issuer, RareGen, LLC ("RareGen") and Liquidia Technologies, Inc. ("Liquidia Technologies"), among other parties, pursuant to which, on November 18, 2020, Liquidia Technologies acquired RareGen and each of Liquidia Technologies and RareGen became wholly owned operating subsidiaries of the Issuer. The shares of Issuer common stock were acquired at a deemed price per share equal to $6.00 as consideration for all of Serendipity's equity in RareGen. The Reporting Person is a manager of Serendipity and has sole voting and dispositive power over the Issuer common stock held by Serendipity. Read SEC document
June 19, 2020 Filed Jun 19, 2020 22:09 UTC	ALBIREO PHARMA, INC. ALBO · Entity 116015	GrantStock Option (right to buy) · Derivative	8,000	$0.00 Strike: $27.89	$0.00	Disclosure SEC source: 0001209191-20-038037 · doc4.xml · derivative · entry 1 JEFFS ROGER · CIK 0001231615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,000 Underlying: Common Stock · 8,000 shares Expires 2030-06-18 F1 · derivative.exercise_date: This option will vest and become exercisable in full on the earlier of (i) June 19, 2021 or (ii) the day prior to the issuer's 2021 annual meeting of stockholders, subject to the director's continued service on the issuer's board of directors on the vesting date. Read SEC document
June 05, 2020 Filed Jun 5, 2020 22:41 UTC	Axsome Therapeutics, Inc. AXSM · Entity 2469	GrantStock Option (Right to Buy) · Derivative	13,000	$0.00 Strike: $77.38	$0.00	Disclosure SEC source: 0001179110-20-007057 · edgar.xml · derivative · entry 1 JEFFS ROGER · CIK 0001231615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,000 Underlying: Common Stock · 13,000 shares Expires 2030-06-05 F1 · derivative.exercise_date: The option vests in full on the one-year anniversary of the date of grant, June 5, 2021. Read SEC document
March 17, 2020 Filed Mar 20, 2020 01:18 UTC	Axsome Therapeutics, Inc. AXSM · Entity 2469	GrantStock Option (Right to Buy) · Derivative	4,496	$0.00 Strike: $45.14	$0.00	Disclosure SEC source: 0001179110-20-004008 · edgar.xml · derivative · entry 1 JEFFS ROGER · CIK 0001231615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,496 Underlying: Common Stock · 4,496 shares Expires 2030-03-16 F1 · shares: Represents 4,496 options elected to be received in lieu of cash compensation earned in 2019. All of such options are immediately exercisable. Read SEC document
January 10, 2020 Filed Jan 14, 2020 21:08 UTC	Axsome Therapeutics, Inc. AXSM · Entity 2469	Exercise / conversionStock Option (Right to Buy) · Derivative	34,866	$0.00 Strike: $12.95	$0.00	Disclosure SEC source: 0001179110-20-000546 · edgar.xml · derivative · entry 9 JEFFS ROGER · CIK 0001231615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 34,866 shares Expires 2029-03-18 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.underlying_shares: The Reporting Person has elected to exercise and hold the shares at this time. Read SEC document
January 10, 2020 Filed Jan 14, 2020 21:08 UTC	Axsome Therapeutics, Inc. AXSM · Entity 2469	Exercise / conversionStock Option (Right to Buy) · Derivative	11,000	$0.00 Strike: $4.95	$0.00	Disclosure SEC source: 0001179110-20-000546 · edgar.xml · derivative · entry 8 JEFFS ROGER · CIK 0001231615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 11,000 shares Expires 2027-03-14 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.underlying_shares: The Reporting Person has elected to exercise and hold the shares at this time. Read SEC document
January 10, 2020 Filed Jan 14, 2020 21:08 UTC	Axsome Therapeutics, Inc. AXSM · Entity 2469	Exercise / conversionStock Option (Right to Buy) · Derivative	5,193	$0.00 Strike: $8.02	$0.00	Disclosure SEC source: 0001179110-20-000546 · edgar.xml · derivative · entry 7 JEFFS ROGER · CIK 0001231615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,193 shares Expires 2026-05-26 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.underlying_shares: The Reporting Person has elected to exercise and hold the shares at this time. Read SEC document
January 10, 2020 Filed Jan 14, 2020 21:08 UTC	Axsome Therapeutics, Inc. AXSM · Entity 2469	Exercise / conversionStock Option (Right to Buy) · Derivative	9,127	$0.00 Strike: $9.00	$0.00	Disclosure SEC source: 0001179110-20-000546 · edgar.xml · derivative · entry 6 JEFFS ROGER · CIK 0001231615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 9,127 shares Expires 2025-11-18 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.underlying_shares: The Reporting Person has elected to exercise and hold the shares at this time. Read SEC document
January 10, 2020 Filed Jan 14, 2020 21:08 UTC	Axsome Therapeutics, Inc. AXSM · Entity 2469	Exercise / conversionCommon Stock	34,866	$12.95	$451,514.70	Disclosure SEC source: 0001179110-20-000546 · edgar.xml · nonDerivative · entry 4 JEFFS ROGER · CIK 0001231615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 116,806 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 · shares: The Reporting Person has elected to exercise and hold the shares at this time. Read SEC document
January 10, 2020 Filed Jan 14, 2020 21:08 UTC	Axsome Therapeutics, Inc. AXSM · Entity 2469	Exercise / conversionCommon Stock	11,000	$4.95	$54,450.00	Disclosure SEC source: 0001179110-20-000546 · edgar.xml · nonDerivative · entry 3 JEFFS ROGER · CIK 0001231615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 81,940 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 · shares: The Reporting Person has elected to exercise and hold the shares at this time. Read SEC document
January 10, 2020 Filed Jan 14, 2020 21:08 UTC	Axsome Therapeutics, Inc. AXSM · Entity 2469	Exercise / conversionCommon Stock	5,193	$8.02	$41,647.86	Disclosure SEC source: 0001179110-20-000546 · edgar.xml · nonDerivative · entry 2 JEFFS ROGER · CIK 0001231615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,940 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 · shares: The Reporting Person has elected to exercise and hold the shares at this time. Read SEC document
January 10, 2020 Filed Jan 14, 2020 21:08 UTC	Axsome Therapeutics, Inc. AXSM · Entity 2469	Exercise / conversionCommon Stock	9,127	$9.00	$82,143.00	Disclosure SEC source: 0001179110-20-000546 · edgar.xml · nonDerivative · entry 1 JEFFS ROGER · CIK 0001231615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,747 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 · shares: The Reporting Person has elected to exercise and hold the shares at this time. Read SEC document
November 12, 2019 Filed Nov 12, 2019 16:36 UTC	Dova Pharmaceuticals Inc. DOVA · Entity 153784	Disposition to issuerStock Option (Right to Buy) · Derivative	10,000	Not disclosed Strike: $9.36	Not disclosed	Disclosure SEC source: 0001209191-19-056032 · doc4.xml · derivative · entry 3 JEFFS ROGER · CIK 0001231615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 10,000 shares Expires 2029-04-25 F3 · price: This option, which provided for vesting monthly over one year from the grant date and in any event will be fully vested on the date of the next annual meeting of our stockholders, was canceled in the Merger in exchange for a cash payment of $181,400.00, representing the difference between the exercise price of outstanding shares subject to the option and the market value of the underlying common stock on the effective date of the Merger ($27.50 per share). In addition, one non-transferable contingent value right per share, which represents the right to receive $1.50, without interest and subject to any withholding taxes, upon the achievement of a specified milestone was awarded to the Reporting Person for each outstanding share subject to the option. F3 · derivative.exercise_date: This option, which provided for vesting monthly over one year from the grant date and in any event will be fully vested on the date of the next annual meeting of our stockholders, was canceled in the Merger in exchange for a cash payment of $181,400.00, representing the difference between the exercise price of outstanding shares subject to the option and the market value of the underlying common stock on the effective date of the Merger ($27.50 per share). In addition, one non-transferable contingent value right per share, which represents the right to receive $1.50, without interest and subject to any withholding taxes, upon the achievement of a specified milestone was awarded to the Reporting Person for each outstanding share subject to the option. Read SEC document
November 12, 2019 Filed Nov 12, 2019 16:36 UTC	Dova Pharmaceuticals Inc. DOVA · Entity 153784	Disposition to issuerStock Option (Right to Buy) · Derivative	33,000	Not disclosed Strike: $7.32	Not disclosed	Disclosure SEC source: 0001209191-19-056032 · doc4.xml · derivative · entry 2 JEFFS ROGER · CIK 0001231615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 33,000 shares Expires 2027-05-24 F2 · price: This option, which provided for vesting over a period of three years as follows: (i) one-third of the total shares subject to the option shall vest on May 25, 2018, and (ii) 1/36th of total shares subject to the option shall vest monthly thereafter over the remaining two years of the vesting period, was accelerated and canceled in the Merger in exchange for a cash payment of $665,940.00, representing the difference between the exercise price of outstanding shares subject to the option and the market value of the underlying common stock on the effective date of the Merger ($27.50 per share). In addition, one non-transferable contingent value right per share, which represents the right to receive $1.50, without interest and subject to any withholding taxes, upon the achievement of a specified milestone was awarded to the Reporting Person for each outstanding share subject to the option. F2 · derivative.exercise_date: This option, which provided for vesting over a period of three years as follows: (i) one-third of the total shares subject to the option shall vest on May 25, 2018, and (ii) 1/36th of total shares subject to the option shall vest monthly thereafter over the remaining two years of the vesting period, was accelerated and canceled in the Merger in exchange for a cash payment of $665,940.00, representing the difference between the exercise price of outstanding shares subject to the option and the market value of the underlying common stock on the effective date of the Merger ($27.50 per share). In addition, one non-transferable contingent value right per share, which represents the right to receive $1.50, without interest and subject to any withholding taxes, upon the achievement of a specified milestone was awarded to the Reporting Person for each outstanding share subject to the option. Read SEC document
November 12, 2019 Filed Nov 12, 2019 16:36 UTC	Dova Pharmaceuticals Inc. DOVA · Entity 153784	Disposition to issuerCommon Stock	66,993	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-19-056032 · doc4.xml · nonDerivative · entry 1 JEFFS ROGER · CIK 0001231615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · shares: Disposed pursuant to an agreement and plan of merger by and between the Issuer, Swedish Orphan Biovitrum AB and Dragonfly Acquisition Corp. (the "Merger") in exchange for $27.50 per share of Issuer's common stock including any shares subject to each restricted stock unit on the effective date of the Merger, plus (ii) one non-transferable contingent value right per share, which represents the right to receive $1.50, without interest and subject to any withholding taxes, upon the achievement of a specified milestone. F1 · price: Disposed pursuant to an agreement and plan of merger by and between the Issuer, Swedish Orphan Biovitrum AB and Dragonfly Acquisition Corp. (the "Merger") in exchange for $27.50 per share of Issuer's common stock including any shares subject to each restricted stock unit on the effective date of the Merger, plus (ii) one non-transferable contingent value right per share, which represents the right to receive $1.50, without interest and subject to any withholding taxes, upon the achievement of a specified milestone. Read SEC document
July 03, 2019 Filed Jul 5, 2019 11:00 UTC	Axsome Therapeutics, Inc. AXSM · Entity 2469	Exercise / conversionStock Option (Right to Buy) · Derivative	13,000	$0.00 Strike: $3.45	$0.00	Disclosure SEC source: 0001104659-19-039375 · a4.xml · derivative · entry 7 JEFFS ROGER · CIK 0001231615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 13,000 shares Expires 2028-06-01 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.underlying_shares: The Reporting Person has elected to exercise and hold the shares at this time. Read SEC document
July 03, 2019 Filed Jul 5, 2019 11:00 UTC	Axsome Therapeutics, Inc. AXSM · Entity 2469	Exercise / conversionStock Option (Right to Buy) · Derivative	39,948	$0.00 Strike: $2.85	$0.00	Disclosure SEC source: 0001104659-19-039375 · a4.xml · derivative · entry 6 JEFFS ROGER · CIK 0001231615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 39,948 shares Expires 2028-03-11 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.underlying_shares: The Reporting Person has elected to exercise and hold the shares at this time. Read SEC document
July 03, 2019 Filed Jul 5, 2019 11:00 UTC	Axsome Therapeutics, Inc. AXSM · Entity 2469	Exercise / conversionStock Option (Right to Buy) · Derivative	3,672	$0.00 Strike: $3.67	$0.00	Disclosure SEC source: 0001104659-19-039375 · a4.xml · derivative · entry 5 JEFFS ROGER · CIK 0001231615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,344 Underlying: Common Stock · 3,672 shares Expires 2024-09-15 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 · derivative.exercise_date: Reflects a partial option exercise by the Reporting Person. This option was granted on September 16, 2014. 3,672 shares subject to the option became fully vested and exercisable on September 16, 2015. The remaining 7,344 shares subject to the option, which were not exercised by the Reporting Person, became fully vested and exercisable in equal annual installments on the second and third anniversaries of the date of grant. F1 · derivative.underlying_shares: The Reporting Person has elected to exercise and hold the shares at this time. F2 · balance_after: Reflects a partial option exercise by the Reporting Person. This option was granted on September 16, 2014. 3,672 shares subject to the option became fully vested and exercisable on September 16, 2015. The remaining 7,344 shares subject to the option, which were not exercised by the Reporting Person, became fully vested and exercisable in equal annual installments on the second and third anniversaries of the date of grant. Read SEC document
July 03, 2019 Filed Jul 5, 2019 11:00 UTC	Axsome Therapeutics, Inc. AXSM · Entity 2469	Exercise / conversionCommon Stock	13,000	$3.45	$44,850.00	Disclosure SEC source: 0001104659-19-039375 · a4.xml · nonDerivative · entry 3 JEFFS ROGER · CIK 0001231615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,620 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 · shares: The Reporting Person has elected to exercise and hold the shares at this time. Read SEC document
July 03, 2019 Filed Jul 5, 2019 11:00 UTC	Axsome Therapeutics, Inc. AXSM · Entity 2469	Exercise / conversionCommon Stock	39,948	$2.85	$113,851.80	Disclosure SEC source: 0001104659-19-039375 · a4.xml · nonDerivative · entry 2 JEFFS ROGER · CIK 0001231615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,620 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 · shares: The Reporting Person has elected to exercise and hold the shares at this time. Read SEC document
July 03, 2019 Filed Jul 5, 2019 11:00 UTC	Axsome Therapeutics, Inc. AXSM · Entity 2469	Exercise / conversionCommon Stock	3,672	$3.67	$13,476.24	Disclosure SEC source: 0001104659-19-039375 · a4.xml · nonDerivative · entry 1 JEFFS ROGER · CIK 0001231615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,672 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 · shares: The Reporting Person has elected to exercise and hold the shares at this time. Read SEC document
July 01, 2019 Filed Jul 2, 2019 16:58 UTC	Dova Pharmaceuticals Inc. DOVA · Entity 153784	SaleCommon Stock	1,308	$14.17	$18,534.36	Disclosure SEC source: 0001209191-19-040374 · doc4.xml · nonDerivative · entry 1 JEFFS ROGER · CIK 0001231615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,993 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person with the intent to cover withholding taxes in connection with the settlement of restricted stock units. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.96 to $14.54 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote to this Form 4. Read SEC document
June 21, 2019 Filed Jun 25, 2019 20:49 UTC	ALBIREO PHARMA, INC. ALBO · Entity 116015	GrantStock Option (right to buy) · Derivative	5,500	$0.00 Strike: $31.22	$0.00	Disclosure SEC source: 0001209191-19-038952 · doc4.xml · derivative · entry 1 JEFFS ROGER · CIK 0001231615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,500 Underlying: Common Stock · 5,500 shares Expires 2029-06-20 F1 · derivative.exercise_date: This option will vest and become exercisable in full on the earlier of (i) June 21, 2020 or (ii) the day prior to the issuer's 2020 annual meeting of stockholders, subject to the director's continued service on the issuer's board of directors on the vesting date. Read SEC document
June 07, 2019 Filed Jun 10, 2019 22:20 UTC	Axsome Therapeutics, Inc. AXSM · Entity 2469	GrantStock Option (Right to Buy) · Derivative	13,000	$0.00 Strike: $22.03	$0.00	Disclosure SEC source: 0001104659-19-034640 · a4.xml · derivative · entry 1 JEFFS ROGER · CIK 0001231615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,000 Underlying: Common Stock · 13,000 shares Expires 2029-06-07 F1 · derivative.exercise_date: The option vests in full on the one-year anniversary of the date of grant, June 7, 2020. Read SEC document
April 26, 2019 Filed Apr 30, 2019 16:34 UTC	Dova Pharmaceuticals Inc. DOVA · Entity 153784	GrantStock Option (right to buy) · Derivative	10,000	$0.00 Strike: $9.36	$0.00	Disclosure SEC source: 0001209191-19-026573 · doc4.xml · derivative · entry 1 JEFFS ROGER · CIK 0001231615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Underlying: Common Stock · 10,000 shares Expires 2029-04-25 F1 · derivative.exercise_date: Vesting monthly over one year from the grant date and in any event will be fully vested on the date of the next annual meeting of our stockholders, subject to continued service as a director though the applicable vesting date. Read SEC document
April 15, 2019 Filed Apr 18, 2019 01:11 UTC	Sio Gene Therapies Inc. AXGT · Entity 130622	GrantStock Option (Right to Buy) · Derivative	255,000	$0.00 Strike: $1.06	$0.00	Disclosure SEC source: 0001209191-19-025187 · doc4.xml · derivative · entry 1 JEFFS ROGER · CIK 0001231615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 255,000 Underlying: Common Stock · 255,000 shares Expires 2029-04-14 F1 · derivative.exercise_date: 100% of this option will vest on April 15, 2020, subject to the Reporting Person providing continuous service to the Issuer on such date. The option allows for early exercise, subject to the Issuer's repurchase option with respect to any unvested common shares. All common shares underlying the option will become fully vested upon a change in control, as that term is defined in the Issuer's 2015 Equity Incentive Plan. Read SEC document
March 19, 2019 Filed Mar 21, 2019 20:06 UTC	Axsome Therapeutics, Inc. AXSM · Entity 2469	GrantStock Option (Right to Buy) · Derivative	34,866	$0.00 Strike: $12.95	$0.00	Disclosure SEC source: 0001104659-19-016570 · a4.xml · derivative · entry 1 JEFFS ROGER · CIK 0001231615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,866 Underlying: Common Stock · 34,866 shares Expires 2029-03-18 F1 · shares: Represents 34,866 options elected to be received in lieu of cash compensation earned in 2018. All of such options are immediately exercisable. Read SEC document
February 05, 2019 Filed Feb 7, 2019 16:59 UTC	Dova Pharmaceuticals Inc. DOVA · Entity 153784	GrantCommon Stock	6,901	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-19-008115 · doc4.xml · nonDerivative · entry 1 JEFFS ROGER · CIK 0001231615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 68,301 F1 · shares: Represents a restricted stock unit ("RSU") award that vests 50% on each of June 30, 2019 and 25% on each of September 30, 2019 and December 31, 2019. F2 · price: Each RSU represents a contingent right to receive one share of Issuer common stock. Read SEC document
December 20, 2018 Filed Dec 21, 2018 17:12 UTC	Dova Pharmaceuticals Inc. DOVA · Entity 153784	PurchaseCommon Stock	1,169	$6.25	$7,306.25	Disclosure SEC source: 0001209191-18-063958 · doc4.xml · nonDerivative · entry 2 JEFFS ROGER · CIK 0001231615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,400 F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.22 to $6.28, inclusive. Read SEC document
December 19, 2018 Filed Dec 21, 2018 17:12 UTC	Dova Pharmaceuticals Inc. DOVA · Entity 153784	PurchaseCommon Stock	28,831	$6.22	$179,328.82	Disclosure SEC source: 0001209191-18-063958 · doc4.xml · nonDerivative · entry 1 JEFFS ROGER · CIK 0001231615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,231 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.09 to $6.31, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in footnotes (1) and (2) to this Form 4. Read SEC document
September 07, 2018 Filed Sep 7, 2018 23:18 UTC	SANGAMO THERAPEUTICS, INC SGMO · Entity 7038	PurchaseCommon Stock	7,408	$13.56	$100,486.56	Disclosure SEC source: 0001209191-18-050149 · doc4.xml · nonDerivative · entry 1 JEFFS ROGER · CIK 0001231615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,908 F1 · price: The price reported is a weighted average price. The shares were purchased at prices ranging from $13.475 to $13.60. The Reporting Person will provide upon request to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares purchased at each separate price. F2 · balance_after: Includes 2,500 shares of common stock subject to restricted stock units ("RSUs") granted on June 11, 2018. The RSUs will fully vest on the earlier of (x) June 11, 2019 (the first anniversary of the date of grant) or (y) the day prior to the 2019 annual stockholders meeting, subject to the Reporting Person's continued service on the Issuer's Board of Directors through such date. Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.