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
June 19, 2018 Filed Jun 21, 2018 16:25 UTC	Dova Pharmaceuticals Inc. DOVA · Entity 153784	GrantStock Option (Right to Buy) · Derivative	10,000	$0.00 Strike: $30.11	$0.00	Disclosure SEC source: 0001209191-18-038947 · 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 2028-06-19 F1 · derivative.exercise_date: The shares subject to the option will vest in equal monthly installments over the 12 months commencing on July 19, 2018, provided that the option will in any case be fully vested on the date of the Issuer's next annual stockholder meeting, subject to the Reporting Person's continuous service to the Issuer through such vesting date. Read SEC document
June 15, 2018 Filed Jun 18, 2018 21:05 UTC	ALBIREO PHARMA, INC. ALBO · Entity 116015	GrantStock Option (right to buy) · Derivative	5,500	$0.00 Strike: $32.53	$0.00	Disclosure SEC source: 0001209191-18-038363 · 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 2028-06-14 F1 · derivative.exercise_date: This option will vest and become exercisable in full on the earlier of (i) June 15, 2019 or (ii) the day prior to the issuer's 2019 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 11, 2018 Filed Jun 13, 2018 00:25 UTC	SANGAMO THERAPEUTICS, INC SGMO · Entity 7038	GrantStock Option (Right to Buy) · Derivative	15,000	$0.00 Strike: $15.65	$0.00	Disclosure SEC source: 0001209191-18-037346 · doc4.xml · derivative · entry 2 JEFFS ROGER · CIK 0001231615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2028-06-10 F2 · derivative.exercise_date: Each option is immediately exercisable for all option shares, but shares purchased under the option are subject to certain repurchase rights by the Issuer upon cessation of the Reporting Person's service on the Board of the Directors of the Issuer. The shares subject to the option vest in 12 successive equal monthly installments upon the Reporting Person's completion of each month of Board service over the 12-month period measured from the grant date. Read SEC document
June 11, 2018 Filed Jun 13, 2018 00:25 UTC	SANGAMO THERAPEUTICS, INC SGMO · Entity 7038	GrantCommon Stock	2,500	$0.00	$0.00	Disclosure SEC source: 0001209191-18-037346 · doc4.xml · nonDerivative · entry 1 JEFFS ROGER · CIK 0001231615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,500 F1 · shares: Represents shares of common stock issuable upon settlement of restricted stock units ("RSUs"). 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
June 08, 2018 Filed Jun 11, 2018 20:24 UTC	ALBIREO PHARMA, INC. ALBO · Entity 116015	GrantStock Option (right to buy) · Derivative	6,500	$0.00 Strike: $30.68	$0.00	Disclosure SEC source: 0001209191-18-036949 · doc4.xml · derivative · entry 1 JEFFS ROGER · CIK 0001231615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,500 Underlying: Common Stock · 6,500 shares Expires 2028-06-07 F1 · derivative.exercise_date: This option vests as to 25% of the shares on June 8, 2019 with the remainder vesting in equal installments on the last day of 12 consecutive calendar quarters beginning on June 30, 2019 and ending on March 31, 2022. Read SEC document
June 01, 2018 Filed Jun 6, 2018 00:21 UTC	Axsome Therapeutics, Inc. AXSM · Entity 2469	GrantStock Options (right to buy) · Derivative	13,000	$0.00 Strike: $3.45	$0.00	Disclosure SEC source: 0001104659-18-038400 · 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 2028-06-01 F1 · derivative.exercise_date: The option vests in full on the one-year anniversary of the date of grant, June 1, 2019. Read SEC document
March 12, 2018 Filed Apr 5, 2018 14:05 UTC	Axsome Therapeutics, Inc. AXSM · Entity 2469	GrantStock Option (Right to Buy) · Derivative	39,948	$0.00 Strike: $2.85	$0.00	Disclosure SEC source: 0001104659-18-022603 · a4.xml · derivative · entry 1 JEFFS ROGER · CIK 0001231615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,948 Underlying: Common Stock · 39,948 shares Expires 2028-03-11 F1 · shares: Represents 39,948 options elected to be received in lieu of cash compensation earned in 2017. All of such options are immediately exercisable. Read SEC document
February 13, 2018 Filed Feb 15, 2018 22:45 UTC	Sio Gene Therapies Inc. AXON · Entity 130622	GrantStock Option (Right to Buy) · Derivative	150,000	$0.00 Strike: $1.81	$0.00	Disclosure SEC source: 0001209191-18-010480 · doc4.xml · derivative · entry 1 JEFFS ROGER · CIK 0001231615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 150,000 Underlying: Common Shares · 150,000 shares Expires 2028-02-12 F1 · derivative.exercise_date: The common shares underlying this option vest over a period of three years, with one-third of the common shares vesting on each of the first, second and third anniversaries of February 8, 2018, the date of the Reporting Person's appointment to the Issuer's Board of Directors. The option allows for early exercise, subject to the Issuer's repurchase option with respect to any unvested common shares. All common shares underlying such 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
September 27, 2017 Filed Sep 29, 2017 21:07 UTC	ALBIREO PHARMA, INC. ALBO · Entity 116015	GrantStock Option (right to buy) · Derivative	4,500	$0.00 Strike: $20.44	$0.00	Disclosure SEC source: 0001209191-17-054426 · doc4.xml · derivative · entry 1 JEFFS ROGER · CIK 0001231615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,500 Underlying: Common Stock · 4,500 shares Expires 2027-09-26 F1 · derivative.exercise_date: This option will vest and become exercisable in equal annual installments on the first three anniversaries of the date of grant (but, in any case, to be fully vested on the day prior to the annual meeting for the third fiscal year that begins following the date of grant). Read SEC document
July 05, 2017 Filed Jul 7, 2017 06:46 UTC	Dova Pharmaceuticals Inc. DOVA · Entity 153784	PurchaseCommon Stock	31,400	$17.00	$533,800.00	Disclosure SEC source: 0001209191-17-044263 · doc4.xml · nonDerivative · entry 1 JEFFS ROGER · CIK 0001231615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,400 Read SEC document
June 27, 2017 Filed Jun 29, 2017 20:43 UTC	SANGAMO THERAPEUTICS, INC SGMO · Entity 7038	GrantStock Option (Right to Buy) · Derivative	30,000	$0.00 Strike: $8.70	$0.00	Disclosure SEC source: 0001209191-17-042325 · doc4.xml · derivative · entry 1 JEFFS ROGER · CIK 0001231615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 Underlying: Common Stock · 30,000 shares Expires 2027-06-26 F1 · derivative.exercise_date: Each option is immediately exercisable for all option shares, but shares purchased under the option are subject to certain repurchase rights by the Issuer upon the cessation of the Reporting Person's service on the Board of Directors of the Issuer. The shares subject to each option vest in monthly installments upon completion of each month of Board service over a three year period. Read SEC document
March 29, 2017 Filed Mar 30, 2017 20:31 UTC	Axsome Therapeutics, Inc. AXSM · Entity 2469	Exercise / conversionStock Option (Right to Buy) · Derivative	35,194	$0.00 Strike: $4.95	$0.00	Disclosure SEC source: 0001104659-17-020391 · a4.xml · derivative · entry 4 JEFFS ROGER · CIK 0001231615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 35,194 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. Read SEC document
March 29, 2017 Filed Mar 30, 2017 20:31 UTC	Axsome Therapeutics, Inc. AXSM · Entity 2469	Exercise / conversionStock Option (Right to Buy) · Derivative	7,344	$0.00 Strike: $3.67	$0.00	Disclosure SEC source: 0001104659-17-020391 · a4.xml · derivative · entry 3 JEFFS ROGER · CIK 0001231615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,672 Underlying: Common Stock · 7,344 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. F1 · derivative.exercise_date: This option was granted on September 16, 2014 and is currently vested and exercisable with respect to 7,344 shares underlying the option. The remaining 3,672 shares underlying the unvested portion of the option will be fully vested on September 16, 2017. Read SEC document
March 29, 2017 Filed Mar 30, 2017 20:31 UTC	Axsome Therapeutics, Inc. AXSM · Entity 2469	Exercise / conversionCommon Stock	35,194	$4.95	$174,210.30	Disclosure SEC source: 0001104659-17-020391 · a4.xml · nonDerivative · entry 2 JEFFS ROGER · CIK 0001231615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,912 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document
March 29, 2017 Filed Mar 30, 2017 20:31 UTC	Axsome Therapeutics, Inc. AXSM · Entity 2469	Exercise / conversionCommon Stock	7,344	$3.67	$26,952.48	Disclosure SEC source: 0001104659-17-020391 · a4.xml · nonDerivative · entry 1 JEFFS ROGER · CIK 0001231615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,718 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document
March 15, 2017 Filed Mar 17, 2017 21:03 UTC	Axsome Therapeutics, Inc. AXSM · Entity 2469	GrantStock Option (Right to Buy) · Derivative	11,000	$0.00 Strike: $4.95	$0.00	Disclosure SEC source: 0001104659-17-017645 · a4.xml · derivative · entry 2 JEFFS ROGER · CIK 0001231615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,000 Underlying: Common Stock · 11,000 shares Expires 2027-03-14 F2 · derivative.exercise_date: The option vests in full on the one-year anniversary of the date of grant, March 15, 2018. Read SEC document
March 15, 2017 Filed Mar 17, 2017 21:03 UTC	Axsome Therapeutics, Inc. AXSM · Entity 2469	GrantStock Option (Right to Buy) · Derivative	35,194	$0.00 Strike: $4.95	$0.00	Disclosure SEC source: 0001104659-17-017645 · a4.xml · derivative · entry 1 JEFFS ROGER · CIK 0001231615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,194 Underlying: Common Stock · 35,194 shares Expires 2027-03-14 F1 · shares: Represents 11,000 options granted as compensation for service during 2016 and 24,194 options elected to be received in lieu of cash compensation earned in 2016. All of such options are immediately exercisable. 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.