Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Adhera Therapeutics, Inc.MRNA · Entity 127789 | Director · 10% owner | October 01, 2018 | October 04, 2018 |
| Oncotelic Therapeutics, Inc.OTLC · Entity 7822 | Director · CHAIRMAN AND CEO · 10% owner | July 10, 2026 | July 14, 2026 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Adhera Therapeutics, Inc.
Report date October 01, 2018 · Filed October 04, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 612,716 |
Reported balance
After 2018-10-01 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2018-10-01 · Disposition to issuer · Disposed 500,000 · Balance 612,716 F1: Dr. Trieu also holds warrants to purchase 1,135,425 shares of common stock and 151.39 shares of Series E Convertible Preferred Stock (which shares are initially convertible into 1,513,900 shares of common stock). |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 2,312,355 |
Reported balance
Holding disclosure · report date 2018-10-01 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 2,312,355 F2: Represents shares held by Autotelic LLC, of which entity the reporting person serves as Chief Executive Officer. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 525,535 |
Reported balance
Holding disclosure · report date 2018-10-01 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 525,535 F3: Represents shares held by Autotelic Inc., of which entity the reporting person serves as Chairman of the Board. Autotelic Inc. also holds warrants to purchase 2,706,965 shares of common stock and 181.59 shares of Series E Convertible Preferred Stock (which shares are initially convertible into 1,815,900 shares of common stock). |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 86,207 |
Reported balance
Holding disclosure · report date 2018-10-01 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 86,207 F4: Represents shares held by LipoMedics, Inc., of which entity the reporting person serves as Chairman of the Board and Chief Operating Officer. |
Filing footnotes · ownership attribution and instrument terms
F1: Dr. Trieu also holds warrants to purchase 1,135,425 shares of common stock and 151.39 shares of Series E Convertible Preferred Stock (which shares are initially convertible into 1,513,900 shares of common stock).
F2: Represents shares held by Autotelic LLC, of which entity the reporting person serves as Chief Executive Officer.
F3: Represents shares held by Autotelic Inc., of which entity the reporting person serves as Chairman of the Board. Autotelic Inc. also holds warrants to purchase 2,706,965 shares of common stock and 181.59 shares of Series E Convertible Preferred Stock (which shares are initially convertible into 1,815,900 shares of common stock).
F4: Represents shares held by LipoMedics, Inc., of which entity the reporting person serves as Chairman of the Board and Chief Operating Officer.
Oncotelic Therapeutics, Inc.
Report date July 10, 2026 · Filed July 14, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Restricted stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 2,000 |
Reported balance
After 2026-07-10 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2026-07-10 · Grant · Acquired 2,000 · Balance 2,000 F1: On July 10, 2026, the reporting person was granted 2,000 restricted stock units ("RSUs"), subject to performance and time-based vesting. On vesting each RSU will immediately be settled by delivery of, and each RSU represents the contingent right to receive, one share of the issuer's Series A Convertible Preferred Stock, par value $0.01. Each share of Series A Convertible Preferred Stock, in turn, is convertible into 1,000 shares of the issuer's common stock, par value $0.01 per share. F2: The RSU's will vest upon (a) achievement of an uplisting of the issuer's common stock to a national securities exchange on or before June 30, 2027 (or such later date as the Board of Directors may approve), subject to the reporting person's continued service for a period of six months following the uplisting. |
| Common StockSEC Table I · non-derivative | Direct | 94,124,319 |
Reported balance
Holding disclosure · report date 2026-07-10 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 94,124,319 |
| Common StockSEC Table I · non-derivative | IndirectBy Autotelic Inc. | 16,780,384 |
Reported balance
Holding disclosure · report date 2026-07-10 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 16,780,384 |
| Common StockSEC Table I · non-derivative | IndirectBy spouse | 6,872,529 |
Reported balance
Holding disclosure · report date 2026-07-10 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 6,872,529 |
Filing footnotes · ownership attribution and instrument terms
F1: On July 10, 2026, the reporting person was granted 2,000 restricted stock units ("RSUs"), subject to performance and time-based vesting. On vesting each RSU will immediately be settled by delivery of, and each RSU represents the contingent right to receive, one share of the issuer's Series A Convertible Preferred Stock, par value $0.01. Each share of Series A Convertible Preferred Stock, in turn, is convertible into 1,000 shares of the issuer's common stock, par value $0.01 per share.
F2: The RSU's will vest upon (a) achievement of an uplisting of the issuer's common stock to a national securities exchange on or before June 30, 2027 (or such later date as the Board of Directors may approve), subject to the reporting person's continued service for a period of six months following the uplisting.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| July 10, 2026 Filed Jul 14, 2026 20:00 UTC | Oncotelic Therapeutics, Inc. OTLC · Entity 7822 | GrantRestricted stock Units · Derivative | 2,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001493152-26-033166 · ownership.xml · derivative · entry 4 Trieu Vuong · CIK 0001587074 · Director · CHAIRMAN AND CEO · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,000 Underlying: Series A Preferred Stock · 2,000 shares Expires not disclosed F1 · security: On July 10, 2026, the reporting person was granted 2,000 restricted stock units ("RSUs"), subject to performance and time-based vesting. On vesting each RSU will immediately be settled by delivery of, and each RSU represents the contingent right to receive, one share of the issuer's Series A Convertible Preferred Stock, par value $0.01. Each share of Series A Convertible Preferred Stock, in turn, is convertible into 1,000 shares of the issuer's common stock, par value $0.01 per share. F2 · derivative.exercise_date: The RSU's will vest upon (a) achievement of an uplisting of the issuer's common stock to a national securities exchange on or before June 30, 2027 (or such later date as the Board of Directors may approve), subject to the reporting person's continued service for a period of six months following the uplisting. F2 · derivative.expiration_date: The RSU's will vest upon (a) achievement of an uplisting of the issuer's common stock to a national securities exchange on or before June 30, 2027 (or such later date as the Board of Directors may approve), subject to the reporting person's continued service for a period of six months following the uplisting. Read SEC document |
| July 01, 2026 Filed Jul 2, 2026 19:00 UTC | Oncotelic Therapeutics, Inc. OTLC · Entity 7822 | PurchaseCommon Stock | 240,000 | $0.04 | $10,344.00 |
DisclosureSEC source: 0001493152-26-031846 · ownership.xml · nonDerivative · entry 1 Trieu Vuong · CIK 0001587074 · Director · CHAIRMAN AND CEO · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 94,124,319 F1 · date: On July 1, 2026, Dr. Vuong Trieu purchased 240,000 shares of Oncotelic Therapeutics, Inc. in his individual capacity, from the open market at a price of $0.0431. F1 · deemedExecutionDate: On July 1, 2026, Dr. Vuong Trieu purchased 240,000 shares of Oncotelic Therapeutics, Inc. in his individual capacity, from the open market at a price of $0.0431. Read SEC document |
| June 24, 2026 Filed Jun 25, 2026 00:37 UTC | Oncotelic Therapeutics, Inc. OTLC · Entity 7822 | PurchaseCommon Stock | 115,000 | $0.05 | $5,175.00 |
DisclosureSEC source: 0001493152-26-029997 · ownership.xml · nonDerivative · entry 1 Trieu Vuong · CIK 0001587074 · Director · CHAIRMAN AND CEO · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 93,884,319 F1 · date: On June 22, 2026, Dr. Vuong Trieu purchased 65,000 shares of Oncotelic Therapeutics, Inc. in his individual capacity, from the open market at a price of $0.045. Further, on June 23, 2026, Dr. Vuong Trieu purchased 75,000 shares of Oncotelic Therapeutics, Inc. in his individual capacity, from the open market at a price of $0.045. Further, on June 24, 2026, Dr. Vuong Trieu purchased 115,000 shares of Oncotelic Therapeutics, Inc. in his individual capacity, from the open market at a price of $0.045. F1 · deemedExecutionDate: On June 22, 2026, Dr. Vuong Trieu purchased 65,000 shares of Oncotelic Therapeutics, Inc. in his individual capacity, from the open market at a price of $0.045. Further, on June 23, 2026, Dr. Vuong Trieu purchased 75,000 shares of Oncotelic Therapeutics, Inc. in his individual capacity, from the open market at a price of $0.045. Further, on June 24, 2026, Dr. Vuong Trieu purchased 115,000 shares of Oncotelic Therapeutics, Inc. in his individual capacity, from the open market at a price of $0.045. Read SEC document |
| June 23, 2026 Filed Jun 25, 2026 00:37 UTC | Oncotelic Therapeutics, Inc. OTLC · Entity 7822 | PurchaseCommon Stock | 75,000 | $0.05 | $3,375.00 |
DisclosureSEC source: 0001493152-26-029997 · ownership.xml · nonDerivative · entry 2 Trieu Vuong · CIK 0001587074 · Director · CHAIRMAN AND CEO · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 93,769,319 F1 · date: On June 22, 2026, Dr. Vuong Trieu purchased 65,000 shares of Oncotelic Therapeutics, Inc. in his individual capacity, from the open market at a price of $0.045. Further, on June 23, 2026, Dr. Vuong Trieu purchased 75,000 shares of Oncotelic Therapeutics, Inc. in his individual capacity, from the open market at a price of $0.045. Further, on June 24, 2026, Dr. Vuong Trieu purchased 115,000 shares of Oncotelic Therapeutics, Inc. in his individual capacity, from the open market at a price of $0.045. F1 · deemedExecutionDate: On June 22, 2026, Dr. Vuong Trieu purchased 65,000 shares of Oncotelic Therapeutics, Inc. in his individual capacity, from the open market at a price of $0.045. Further, on June 23, 2026, Dr. Vuong Trieu purchased 75,000 shares of Oncotelic Therapeutics, Inc. in his individual capacity, from the open market at a price of $0.045. Further, on June 24, 2026, Dr. Vuong Trieu purchased 115,000 shares of Oncotelic Therapeutics, Inc. in his individual capacity, from the open market at a price of $0.045. Read SEC document |
| June 22, 2026 Filed Jun 25, 2026 00:37 UTC | Oncotelic Therapeutics, Inc. OTLC · Entity 7822 | PurchaseCommon Stock | 65,000 | $0.05 | $2,925.00 |
DisclosureSEC source: 0001493152-26-029997 · ownership.xml · nonDerivative · entry 3 Trieu Vuong · CIK 0001587074 · Director · CHAIRMAN AND CEO · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 93,694,319 F1 · date: On June 22, 2026, Dr. Vuong Trieu purchased 65,000 shares of Oncotelic Therapeutics, Inc. in his individual capacity, from the open market at a price of $0.045. Further, on June 23, 2026, Dr. Vuong Trieu purchased 75,000 shares of Oncotelic Therapeutics, Inc. in his individual capacity, from the open market at a price of $0.045. Further, on June 24, 2026, Dr. Vuong Trieu purchased 115,000 shares of Oncotelic Therapeutics, Inc. in his individual capacity, from the open market at a price of $0.045. F1 · deemedExecutionDate: On June 22, 2026, Dr. Vuong Trieu purchased 65,000 shares of Oncotelic Therapeutics, Inc. in his individual capacity, from the open market at a price of $0.045. Further, on June 23, 2026, Dr. Vuong Trieu purchased 75,000 shares of Oncotelic Therapeutics, Inc. in his individual capacity, from the open market at a price of $0.045. Further, on June 24, 2026, Dr. Vuong Trieu purchased 115,000 shares of Oncotelic Therapeutics, Inc. in his individual capacity, from the open market at a price of $0.045. Read SEC document |
| June 17, 2026 Filed Jun 17, 2026 23:34 UTC | Oncotelic Therapeutics, Inc. OTLC · Entity 7822 | PurchaseCommon Stock | 239,759 | $0.04 | $10,693.25 |
DisclosureSEC source: 0001493152-26-029137 · ownership.xml · nonDerivative · entry 1 Trieu Vuong · CIK 0001587074 · Director · CHAIRMAN AND CEO · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 93,629,319 F1 · date: On June 15, 2026, Dr. Vuong Trieu purchased 96,000 shares of Oncotelic Therapeutics, Inc. in his individual capacity, from the open market at a price of $0.05. Further, on June 17, 2026, Dr. Vuong Trieu purchased 239,759 shares of Oncotelic Therapeutics, Inc. in his individual capacity, from the open market at a price of $0.0446. F1 · deemedExecutionDate: On June 15, 2026, Dr. Vuong Trieu purchased 96,000 shares of Oncotelic Therapeutics, Inc. in his individual capacity, from the open market at a price of $0.05. Further, on June 17, 2026, Dr. Vuong Trieu purchased 239,759 shares of Oncotelic Therapeutics, Inc. in his individual capacity, from the open market at a price of $0.0446. Read SEC document |
| June 15, 2026 Filed Jun 17, 2026 23:34 UTC | Oncotelic Therapeutics, Inc. OTLC · Entity 7822 | PurchaseCommon Stock | 96,000 | $0.05 | $4,320.00 |
DisclosureSEC source: 0001493152-26-029137 · ownership.xml · nonDerivative · entry 2 Trieu Vuong · CIK 0001587074 · Director · CHAIRMAN AND CEO · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 93,389,560 Read SEC document |
| January 22, 2026 Filed Jan 26, 2026 22:15 UTC | Oncotelic Therapeutics, Inc. OTLC · Entity 7822 | GrantSeries A Convertible Preferred Stock · Derivative | 4,426 | $0.00 | $0.00 |
DisclosureSEC source: 0001493152-26-003634 · ownership.xml · derivative · entry 1 Trieu Vuong · CIK 0001587074 · Director · CHAIRMAN AND CEO · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 8,491 Underlying: Common Stock · 4,426,000 shares Expires not disclosed F1 · derivative.exercise_price: Series A Convertible Preferred Stock is convertible at any time at the option of the holder into Common Stock on a one-for-one thousand basis. F2 · price: The shares of Series A Convertible Preferred Stock were issued to Dr. Trieu as compensation pursuant to the accomplishment of performance milestones under a Restricted Stock Agreement dated January 21, 2026. F1 · derivative.exercise_date: Series A Convertible Preferred Stock is convertible at any time at the option of the holder into Common Stock on a one-for-one thousand basis. F1 · derivative.expiration_date: Series A Convertible Preferred Stock is convertible at any time at the option of the holder into Common Stock on a one-for-one thousand basis. Read SEC document |
| November 17, 2025 Filed Nov 19, 2025 20:45 UTC | Oncotelic Therapeutics, Inc. OTLC · Entity 7822 | GrantSeries A Convertible Preferred Stock · Derivative | 4,065 | $0.00 | $0.00 |
DisclosureSEC source: 0001493152-25-024236 · ownership.xml · derivative · entry 1 Trieu Vuong · CIK 0001587074 · Director · CHAIRMAN AND CEO · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 4,065 Underlying: Com-mon Stock · 4,065,000 shares Expires not disclosed F1 · derivative.exercise_price: Series A Convertible Preferred Stock is convertible at any time at the option of the holder into Common Stock on a one-for-one thousand basis. F2 · price: The shares of Series A Convertible Preferred Stock were issued to Dr. Trieu as compensation pursuant to the accomplishment of performance milestones under a Restricted Stock Agreement dated November 17, 2025. F1 · derivative.exercise_date: Series A Convertible Preferred Stock is convertible at any time at the option of the holder into Common Stock on a one-for-one thousand basis. F1 · derivative.expiration_date: Series A Convertible Preferred Stock is convertible at any time at the option of the holder into Common Stock on a one-for-one thousand basis. Read SEC document |
| July 10, 2025 Filed Jul 10, 2025 21:15 UTC | Oncotelic Therapeutics, Inc. OTLC · Entity 7822 | PurchaseCommon Stock | 104,000 | $0.01 | $520.00 |
DisclosureSEC source: 0001641172-25-018620 · ownership.xml · nonDerivative · entry 1 Trieu Vuong · CIK 0001587074 · Director · CHAIRMAN AND CEO · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 93,293,560 Read SEC document |
| July 09, 2025 Filed Jul 10, 2025 21:15 UTC | Oncotelic Therapeutics, Inc. OTLC · Entity 7822 | PurchaseCommon Stock | 1 | $0.01 | $0.01 |
DisclosureSEC source: 0001641172-25-018620 · ownership.xml · nonDerivative · entry 2 Trieu Vuong · CIK 0001587074 · Director · CHAIRMAN AND CEO · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 93,293,561 Read SEC document |
| July 08, 2025 Filed Jul 10, 2025 21:15 UTC | Oncotelic Therapeutics, Inc. OTLC · Entity 7822 | PurchaseCommon Stock | 94,736 | $0.01 | $473.68 |
DisclosureSEC source: 0001641172-25-018620 · ownership.xml · nonDerivative · entry 3 Trieu Vuong · CIK 0001587074 · Director · CHAIRMAN AND CEO · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 93,388,297 Read SEC document |
| January 31, 2025 Filed Jan 31, 2025 22:08 UTC | Oncotelic Therapeutics, Inc. OTLC · Entity 7822 | PurchaseCommon Stock | 63,775 | $0.03 | $1,785.70 |
DisclosureSEC source: 0001493152-25-004486 · ownership.xml · nonDerivative · entry 3 Trieu Vuong · CIK 0001587074 · Director · CHAIRMAN AND CEO · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 93,189,560 Read SEC document |
| January 30, 2025 Filed Jan 31, 2025 22:08 UTC | Oncotelic Therapeutics, Inc. OTLC · Entity 7822 | PurchaseCommon Stock | 100,003 | $0.03 | $2,800.08 |
DisclosureSEC source: 0001493152-25-004486 · ownership.xml · nonDerivative · entry 2 Trieu Vuong · CIK 0001587074 · Director · CHAIRMAN AND CEO · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 93,125,785 Read SEC document |
| January 29, 2025 Filed Jan 31, 2025 22:08 UTC | Oncotelic Therapeutics, Inc. OTLC · Entity 7822 | PurchaseCommon Stock | 183,066 | $0.03 | $5,125.85 |
DisclosureSEC source: 0001493152-25-004486 · ownership.xml · nonDerivative · entry 1 Trieu Vuong · CIK 0001587074 · Director · CHAIRMAN AND CEO · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 93,025,782 Read SEC document |
| November 22, 2024 Filed Nov 26, 2024 16:33 UTC | Oncotelic Therapeutics, Inc. OTLC · Entity 7822 | PurchaseCommon Stock | 298,499 | $0.03 | $8,626.62 |
DisclosureSEC source: 0001493152-24-047762 · ownership.xml · nonDerivative · entry 1 Trieu Vuong · CIK 0001587074 · Director · CHAIRMAN AND CEO · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 92,842,716 Read SEC document |
| August 23, 2024 Filed Aug 27, 2024 12:00 UTC | Oncotelic Therapeutics, Inc. OTLC · Entity 7822 | PurchaseCommon Stock | 500,000 | $0.02 | $10,000.00 |
DisclosureSEC source: 0001493152-24-033939 · ownership.xml · nonDerivative · entry 1 Trieu Vuong · CIK 0001587074 · Director · CHAIRMAN AND CEO · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 92,544,217 Read SEC document |
| June 29, 2023 Filed Jun 30, 2023 13:25 UTC | Oncotelic Therapeutics, Inc. OTLC · Entity 7822 | PurchaseCommon Stock | 425,000 | $0.02 | $8,925.00 |
DisclosureSEC source: 0001493152-23-023015 · ownership.xml · nonDerivative · entry 1 Trieu Vuong · CIK 0001587074 · Director · CHAIRMAN AND CEO · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 92,044,217 Read SEC document |
| June 28, 2023 Filed Jun 30, 2023 13:25 UTC | Oncotelic Therapeutics, Inc. OTLC · Entity 7822 | PurchaseCommon Stock | 75,000 | $0.03 | $1,950.00 |
DisclosureSEC source: 0001493152-23-023015 · ownership.xml · nonDerivative · entry 2 Trieu Vuong · CIK 0001587074 · Director · CHAIRMAN AND CEO · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 91,619,217 Read SEC document |
| June 16, 2023 Filed Jun 20, 2023 16:00 UTC | Oncotelic Therapeutics, Inc. OTLC · Entity 7822 | PurchaseCommon Stock | 100,000 | $0.03 | $2,600.00 |
DisclosureSEC source: 0001493152-23-021800 · ownership.xml · nonDerivative · entry 1 Trieu Vuong · CIK 0001587074 · Director · CHAIRMAN AND CEO · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 91,544,217 Read SEC document |
| June 14, 2023 Filed Jun 16, 2023 16:00 UTC | Oncotelic Therapeutics, Inc. OTLC · Entity 7822 | PurchaseCommon Stock | 400,000 | $0.03 | $13,040.00 |
DisclosureSEC source: 0001493152-23-021563 · ownership.xml · nonDerivative · entry 1 Trieu Vuong · CIK 0001587074 · Director · CHAIRMAN AND CEO · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 91,444,217 Read SEC document |
| May 26, 2023 Filed May 31, 2023 13:39 UTC | Oncotelic Therapeutics, Inc. OTLC · Entity 7822 | PurchaseCommon Stock | 126,888 | $0.03 | $4,326.88 |
DisclosureSEC source: 0001493152-23-019557 · ownership.xml · nonDerivative · entry 1 Trieu Vuong · CIK 0001587074 · Director · CHAIRMAN AND CEO · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 91,044,217 Read SEC document |
| May 02, 2023 Filed May 2, 2023 21:00 UTC | Oncotelic Therapeutics, Inc. OTLC · Entity 7822 | PurchaseCommon Stock | 100,000 | $0.05 | $4,500.00 |
DisclosureSEC source: 0001493152-23-015195 · ownership.xml · nonDerivative · entry 1 Trieu Vuong · CIK 0001587074 · Director · CHAIRMAN AND CEO · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 90,917,329 Read SEC document |
| December 06, 2022 Filed Dec 7, 2022 13:00 UTC | Oncotelic Therapeutics, Inc. OTLC · Entity 7822 | PurchaseCommon Stock | 120,000 | $0.05 | $6,000.00 |
DisclosureSEC source: 0001493152-22-034663 · ownership.xml · nonDerivative · entry 1 Trieu Vuong · CIK 0001587074 · Director · CHAIRMAN AND CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 90,558,021 Read SEC document |
| November 22, 2022 Filed Nov 25, 2022 14:00 UTC | Oncotelic Therapeutics, Inc. OTLC · Entity 7822 | PurchaseCommon Stock | 70,000 | $0.08 | $5,600.00 |
DisclosureSEC source: 0001493152-22-033681 · ownership.xml · nonDerivative · entry 1 Trieu Vuong · CIK 0001587074 · Director · CHAIRMAN AND CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 90,438,021 Read SEC document |
| September 26, 2022 Filed Sep 28, 2022 13:15 UTC | Oncotelic Therapeutics, Inc. OTLC · Entity 7822 | PurchaseCommon Stock | 20,000 | $0.07 | $1,360.00 |
DisclosureSEC source: 0001493152-22-026963 · ownership.xml · nonDerivative · entry 1 Trieu Vuong · CIK 0001587074 · Director · CHAIRMAN AND CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 90,368,021 Read SEC document |
| August 25, 2022 Filed Aug 29, 2022 13:15 UTC | Oncotelic Therapeutics, Inc. OTLC · Entity 7822 | PurchaseCommon Stock | 80,000 | $0.08 | $6,560.00 |
DisclosureSEC source: 0001493152-22-024234 · ownership.xml · nonDerivative · entry 1 Trieu Vuong · CIK 0001587074 · Director · CHAIRMAN AND CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 90,348,021 Read SEC document |
| September 03, 2021 Filed Sep 8, 2021 21:00 UTC | Oncotelic Therapeutics, Inc. OTLC · Entity 7822 | GrantStock Options · Derivative | 225,000 | $0.00 Strike: $0.14 | $0.00 |
DisclosureSEC source: 0001493152-21-022220 · ownership.xml · derivative · entry 1 Trieu Vuong · CIK 0001587074 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 225,000 Underlying: Common Stock · 225,000 shares Expires 2031-09-03 F1 · derivative.exercise_date: Stock options vest as follows: (i) 1/5th on September 30, 2021; (ii) 1/5th on December 31, 2021; (iii) 1/5th on March 31, 2022; (iv) 1/5th on June 30, 2022; and (v) 1/5th on September 30, 2022. Read SEC document |
| July 08, 2021 Filed Jul 16, 2021 21:38 UTC | Oncotelic Therapeutics, Inc. OTLC · Entity 7822 | GrantStock Options · Derivative | 513,953 | $0.00 Strike: $0.16 | $0.00 |
DisclosureSEC source: 0001493152-21-017106 · ownership.xml · derivative · entry 8 Trieu Vuong · CIK 0001587074 · Director · CHAIRMAN AND CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 513,953 Underlying: Common Stock · 513,953 shares Expires 2031-07-08 F4 · shares: Stock options granted pursuant to the Issuer's 2015 Equity Incentive Plan and which vest immediately on the date of grant. Read SEC document |
| July 08, 2021 Filed Jul 16, 2021 21:38 UTC | Oncotelic Therapeutics, Inc. OTLC · Entity 7822 | GrantCommon Stock | 259,302 | $0.00 | $0.00 |
DisclosureSEC source: 0001493152-21-017106 · ownership.xml · nonDerivative · entry 2 Trieu Vuong · CIK 0001587074 · Director · CHAIRMAN AND CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 90,527,323 F2 · shares: Shares were issued in settlement of Restricted Stock Units granted pursuant to the Issuer's 2015 Equity Incentive Plan that vested immediately upon grant. Read SEC document |
| March 31, 2021 Filed Jul 16, 2021 21:38 UTC | Oncotelic Therapeutics, Inc. OTLC · Entity 7822 | ConversionSeries A Convertible Preferred Stock · Derivative | 5,672 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001493152-21-017106 · ownership.xml · derivative · entry 7 Trieu Vuong · CIK 0001587074 · Director · CHAIRMAN AND CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 0 Underlying: Common Stock · 5,672,025 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Pursuant to the Agreement and Plan of Merger dated April 17, 2019, between the Issuer and Oncotelic, Inc., shares of the Issuer's Series A Convertible Preferred Stock ("Series A Preferred") held by the reporting person converted into shares of the Issuer's common stock, following a recapitalization by the Issuer. F1 · price: Pursuant to the Agreement and Plan of Merger dated April 17, 2019, between the Issuer and Oncotelic, Inc., shares of the Issuer's Series A Convertible Preferred Stock ("Series A Preferred") held by the reporting person converted into shares of the Issuer's common stock, following a recapitalization by the Issuer. F1 · derivative.exercise_date: Pursuant to the Agreement and Plan of Merger dated April 17, 2019, between the Issuer and Oncotelic, Inc., shares of the Issuer's Series A Convertible Preferred Stock ("Series A Preferred") held by the reporting person converted into shares of the Issuer's common stock, following a recapitalization by the Issuer. F3 · derivative.expiration_date: Shares of the Series A Convertible Preferred Stock does not expire. Read SEC document |
| March 31, 2021 Filed Jul 16, 2021 21:38 UTC | Oncotelic Therapeutics, Inc. OTLC · Entity 7822 | ConversionSeries A Convertible Preferred Stock · Derivative | 13,849 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001493152-21-017106 · ownership.xml · derivative · entry 6 Trieu Vuong · CIK 0001587074 · Director · CHAIRMAN AND CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Autotelic, Inc. Disclosed balance after: 0 Underlying: Common Stock · 13,849,161 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Pursuant to the Agreement and Plan of Merger dated April 17, 2019, between the Issuer and Oncotelic, Inc., shares of the Issuer's Series A Convertible Preferred Stock ("Series A Preferred") held by the reporting person converted into shares of the Issuer's common stock, following a recapitalization by the Issuer. F1 · price: Pursuant to the Agreement and Plan of Merger dated April 17, 2019, between the Issuer and Oncotelic, Inc., shares of the Issuer's Series A Convertible Preferred Stock ("Series A Preferred") held by the reporting person converted into shares of the Issuer's common stock, following a recapitalization by the Issuer. F1 · derivative.exercise_date: Pursuant to the Agreement and Plan of Merger dated April 17, 2019, between the Issuer and Oncotelic, Inc., shares of the Issuer's Series A Convertible Preferred Stock ("Series A Preferred") held by the reporting person converted into shares of the Issuer's common stock, following a recapitalization by the Issuer. F3 · derivative.expiration_date: Shares of the Series A Convertible Preferred Stock does not expire. Read SEC document |
| March 31, 2021 Filed Jul 16, 2021 21:38 UTC | Oncotelic Therapeutics, Inc. OTLC · Entity 7822 | ConversionSeries A Convertible Preferred Stock · Derivative | 74,456 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001493152-21-017106 · ownership.xml · derivative · entry 5 Trieu Vuong · CIK 0001587074 · Director · CHAIRMAN AND CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 74,455,719 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Pursuant to the Agreement and Plan of Merger dated April 17, 2019, between the Issuer and Oncotelic, Inc., shares of the Issuer's Series A Convertible Preferred Stock ("Series A Preferred") held by the reporting person converted into shares of the Issuer's common stock, following a recapitalization by the Issuer. F1 · price: Pursuant to the Agreement and Plan of Merger dated April 17, 2019, between the Issuer and Oncotelic, Inc., shares of the Issuer's Series A Convertible Preferred Stock ("Series A Preferred") held by the reporting person converted into shares of the Issuer's common stock, following a recapitalization by the Issuer. F1 · derivative.exercise_date: Pursuant to the Agreement and Plan of Merger dated April 17, 2019, between the Issuer and Oncotelic, Inc., shares of the Issuer's Series A Convertible Preferred Stock ("Series A Preferred") held by the reporting person converted into shares of the Issuer's common stock, following a recapitalization by the Issuer. F3 · derivative.expiration_date: Shares of the Series A Convertible Preferred Stock does not expire. Read SEC document |
| March 31, 2021 Filed Jul 16, 2021 21:38 UTC | Oncotelic Therapeutics, Inc. OTLC · Entity 7822 | ConversionCommon Stock | 5,672,025 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001493152-21-017106 · ownership.xml · nonDerivative · entry 4 Trieu Vuong · CIK 0001587074 · Director · CHAIRMAN AND CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 6,872,529 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Pursuant to the Agreement and Plan of Merger dated April 17, 2019, between the Issuer and Oncotelic, Inc., shares of the Issuer's Series A Convertible Preferred Stock ("Series A Preferred") held by the reporting person converted into shares of the Issuer's common stock, following a recapitalization by the Issuer. Read SEC document |
| March 31, 2021 Filed Jul 16, 2021 21:38 UTC | Oncotelic Therapeutics, Inc. OTLC · Entity 7822 | ConversionCommon Stock | 13,849,161 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001493152-21-017106 · ownership.xml · nonDerivative · entry 3 Trieu Vuong · CIK 0001587074 · Director · CHAIRMAN AND CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Autotelic, Inc. Disclosed balance after: 16,780,384 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Pursuant to the Agreement and Plan of Merger dated April 17, 2019, between the Issuer and Oncotelic, Inc., shares of the Issuer's Series A Convertible Preferred Stock ("Series A Preferred") held by the reporting person converted into shares of the Issuer's common stock, following a recapitalization by the Issuer. Read SEC document |
| March 31, 2021 Filed Jul 16, 2021 21:38 UTC | Oncotelic Therapeutics, Inc. OTLC · Entity 7822 | ConversionCommon Stock | 74,455,719 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001493152-21-017106 · ownership.xml · nonDerivative · entry 1 Trieu Vuong · CIK 0001587074 · Director · CHAIRMAN AND CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 90,268,021 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Pursuant to the Agreement and Plan of Merger dated April 17, 2019, between the Issuer and Oncotelic, Inc., shares of the Issuer's Series A Convertible Preferred Stock ("Series A Preferred") held by the reporting person converted into shares of the Issuer's common stock, following a recapitalization by the Issuer. Read SEC document |
| November 19, 2020 Filed Nov 23, 2020 20:01 UTC | Oncotelic Therapeutics, Inc. MATN · Entity 7822 | PurchaseCommon Stock | 50,500 | $0.19 | $9,595.00 |
DisclosureSEC source: 0001493152-20-022256 · ownership.xml · nonDerivative · entry 1 Trieu Vuong · CIK 0001587074 · CHIEF EXECUTIVE OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,812,308 F1 · price: The reported price is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.186 to $0.195 per share, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| March 26, 2020 Filed Mar 27, 2020 21:49 UTC | Oncotelic Therapeutics, Inc. MATN · Entity 7822 | PurchaseCommon Stock | 3,000 | $0.12 | $360.00 |
DisclosureSEC source: 0001415889-20-000880 · form4-03272020_020342.xml · nonDerivative · entry 1 Trieu Vuong · CIK 0001587074 · CHIEF EXECUTIVE OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,761,808 Read SEC document |
| October 01, 2018 Filed Oct 4, 2018 06:48 UTC | Adhera Therapeutics, Inc. MRNA · Entity 127789 | Disposition to issuerCommon Stock | 500,000 | $0.50 | $250,000.00 |
DisclosureSEC source: 0001493152-18-014069 · ownership.xml · nonDerivative · entry 1 Trieu Vuong · CIK 0001587074 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 612,716 F1 · ownership.direct: Dr. Trieu also holds warrants to purchase 1,135,425 shares of common stock and 151.39 shares of Series E Convertible Preferred Stock (which shares are initially convertible into 1,513,900 shares of common stock). Read SEC document |
| April 16, 2018 Filed Apr 18, 2018 21:40 UTC | Adhera Therapeutics, Inc. MRNA · Entity 127789 | PurchaseWarrants to Purchase Common Stock · Derivative | 2,564,465 | $0.00 Strike: $0.55 | $0.00 |
DisclosureSEC source: 0001493152-18-005444 · form4.xml · derivative · entry 13 Trieu Vuong · CIK 0001587074 · Director · Executive Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Autotelic Inc. Disclosed balance after: 2,564,465 Underlying: Common Stock · 2,564,465 shares Expires not disclosed F12 · kind: In connection with the closing of the Offering, the issuer and Autotelic Inc., of which entity the reporting person serves as Chairman of the Board, agreed that the issuer would satisfy all accrued and unpaid fees owed by the issuer to Autotelic Inc. under that certain Master Services Agreement dated November 15, 2016 between the issuer and Autotelic Inc. by the issuance by the issuer to Autotelic Inc. of 162.59 shares of Series E Convertible Preferred Stock and warrants to purchase 1,219,425 shares of common stock. The issuer also issued to Autotelic Inc, an additional 1,345,040 warrants pursuant to the Master Services Agreement. F3 · derivative.expiration_date: The warrants expire on the five year anniversary of the closing of the Offering. F10 · ownership.nature: The securities are held by Autotelic Inc., of which entity the reporting person serves as Chairman of the Board. Read SEC document |
| April 16, 2018 Filed Apr 18, 2018 21:40 UTC | Adhera Therapeutics, Inc. MRNA · Entity 127789 | PurchaseSeries E Convertible Preferred Stock · Derivative | 162.59 | $5,000.00 Strike: $0.50 | $812,950.00 |
DisclosureSEC source: 0001493152-18-005444 · form4.xml · derivative · entry 12 Trieu Vuong · CIK 0001587074 · Director · Executive Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Autotelic Inc. Disclosed balance after: 162.59 Underlying: Common Stock · 1,625,900 shares Expires not disclosed F12 · kind: In connection with the closing of the Offering, the issuer and Autotelic Inc., of which entity the reporting person serves as Chairman of the Board, agreed that the issuer would satisfy all accrued and unpaid fees owed by the issuer to Autotelic Inc. under that certain Master Services Agreement dated November 15, 2016 between the issuer and Autotelic Inc. by the issuance by the issuer to Autotelic Inc. of 162.59 shares of Series E Convertible Preferred Stock and warrants to purchase 1,219,425 shares of common stock. The issuer also issued to Autotelic Inc, an additional 1,345,040 warrants pursuant to the Master Services Agreement. F2 · derivative.expiration_date: Each outstanding share of Series E Preferred Stock shall be converted into common stock on the earliest to occur of: (i) any date more than 30 trading days after the closing of the Offering that the closing price of the common stock on each of the 30 days immediately prior to such conversion exceeds $5.00; (ii) the three year anniversary of the closing of the Offering; and (iii) the date on which the holders of a majority of the outstanding shares of Series E Preferred Stock elect to convert all of the outstanding shares of Series E Preferred Stock. F10 · ownership.nature: The securities are held by Autotelic Inc., of which entity the reporting person serves as Chairman of the Board. Read SEC document |
| April 16, 2018 Filed Apr 18, 2018 21:40 UTC | Adhera Therapeutics, Inc. MRNA · Entity 127789 | Conversion5% Demand Line of Credit · Derivative | Not disclosed | $0.00 Strike: $5,000.00 | $90,816.00 |
DisclosureSEC source: 0001493152-18-005444 · form4.xml · derivative · entry 11 Trieu Vuong · CIK 0001587074 · Director · Executive Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Autotelic Inc. Disclosed balance after: Not disclosed Underlying: Preferred Stock / Warrants · Not disclosed shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F9 · kind: On April 16, 2018, Autotelic Inc., an entity of which the reporting person serves as Chairman of the Board, and the issuer amended the demand line of credit that was extended by Autotelic Inc. to the issuer on April 4, 2017 so that the unpaid principal amount thereof, together with accrued but unpaid interest thereon, would be converted into 19 shares of the issuer's Series E Convertible Preferred Stock and warrants to purchase up to 142,500 shares of the issuer's common stock upon the closing of the Offering. As a result of such conversion, the line of credit has been satisfied in full and is no longer outstanding. F5 · derivative.expiration_date: N/A F11 · derivative.underlying: The line of credit converted into 19 shares of Series E Convertible Preferred Stock and warrants to purchase 142,500 shares of common stock. F11 · derivative.underlying_shares: The line of credit converted into 19 shares of Series E Convertible Preferred Stock and warrants to purchase 142,500 shares of common stock. F10 · ownership.nature: The securities are held by Autotelic Inc., of which entity the reporting person serves as Chairman of the Board. Read SEC document |
| April 16, 2018 Filed Apr 18, 2018 21:40 UTC | Adhera Therapeutics, Inc. MRNA · Entity 127789 | ConversionWarrants to Purchase Common Stock · Derivative | 142,500 | $0.00 Strike: $0.55 | $0.00 |
DisclosureSEC source: 0001493152-18-005444 · form4.xml · derivative · entry 10 Trieu Vuong · CIK 0001587074 · Director · Executive Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Autotelic Inc. Disclosed balance after: 142,500 Underlying: Common Stock · 142,500 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F9 · kind: On April 16, 2018, Autotelic Inc., an entity of which the reporting person serves as Chairman of the Board, and the issuer amended the demand line of credit that was extended by Autotelic Inc. to the issuer on April 4, 2017 so that the unpaid principal amount thereof, together with accrued but unpaid interest thereon, would be converted into 19 shares of the issuer's Series E Convertible Preferred Stock and warrants to purchase up to 142,500 shares of the issuer's common stock upon the closing of the Offering. As a result of such conversion, the line of credit has been satisfied in full and is no longer outstanding. F3 · derivative.expiration_date: The warrants expire on the five year anniversary of the closing of the Offering. F10 · ownership.nature: The securities are held by Autotelic Inc., of which entity the reporting person serves as Chairman of the Board. Read SEC document |
| April 16, 2018 Filed Apr 18, 2018 21:40 UTC | Adhera Therapeutics, Inc. MRNA · Entity 127789 | ConversionSeries E Convertible Preferred Stock · Derivative | 19 | $5,000.00 Strike: $0.50 | $95,000.00 |
DisclosureSEC source: 0001493152-18-005444 · form4.xml · derivative · entry 9 Trieu Vuong · CIK 0001587074 · Director · Executive Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Autotelic Inc. Disclosed balance after: 19 Underlying: Common Stock · 190,000 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F9 · kind: On April 16, 2018, Autotelic Inc., an entity of which the reporting person serves as Chairman of the Board, and the issuer amended the demand line of credit that was extended by Autotelic Inc. to the issuer on April 4, 2017 so that the unpaid principal amount thereof, together with accrued but unpaid interest thereon, would be converted into 19 shares of the issuer's Series E Convertible Preferred Stock and warrants to purchase up to 142,500 shares of the issuer's common stock upon the closing of the Offering. As a result of such conversion, the line of credit has been satisfied in full and is no longer outstanding. F2 · derivative.expiration_date: Each outstanding share of Series E Preferred Stock shall be converted into common stock on the earliest to occur of: (i) any date more than 30 trading days after the closing of the Offering that the closing price of the common stock on each of the 30 days immediately prior to such conversion exceeds $5.00; (ii) the three year anniversary of the closing of the Offering; and (iii) the date on which the holders of a majority of the outstanding shares of Series E Preferred Stock elect to convert all of the outstanding shares of Series E Preferred Stock. F10 · ownership.nature: The securities are held by Autotelic Inc., of which entity the reporting person serves as Chairman of the Board. Read SEC document |
| April 16, 2018 Filed Apr 18, 2018 21:40 UTC | Adhera Therapeutics, Inc. MRNA · Entity 127789 | Conversion5% Demand Line of Credit · Derivative | Not disclosed | $0.00 Strike: $5,000.00 | $540,000.00 |
DisclosureSEC source: 0001493152-18-005444 · form4.xml · derivative · entry 8 Trieu Vuong · CIK 0001587074 · Director · Executive Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: Not disclosed Underlying: Preferred Stock / Warrants · Not disclosed shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F7 · kind: On April 16, 2018, the reporting person and the issuer amended the demand line of credit that was extended by the reporting person to the issuer on November 15, 2016 so that the unpaid principal amount thereof, together with accrued but unpaid interest thereon, would be converted into 114.63 shares of the issuer's Series E Convertible Preferred Stock and warrants to purchase up to 859,725 shares of the issuer's common stock upon the closing of the Offering. As a result of such conversion, the line of credit has been satisfied in full and is no longer outstanding. F5 · derivative.expiration_date: N/A F8 · derivative.underlying: The line of credit converted into 114.63 shares of Series E Convertible Preferred Stock and warrants to purchase 859,725 shares of common stock. F8 · derivative.underlying_shares: The line of credit converted into 114.63 shares of Series E Convertible Preferred Stock and warrants to purchase 859,725 shares of common stock. Read SEC document |
| April 16, 2018 Filed Apr 18, 2018 21:40 UTC | Adhera Therapeutics, Inc. MRNA · Entity 127789 | ConversionWarrants to Purchase Common Stock · Derivative | 859,725 | $0.00 Strike: $0.55 | $0.00 |
DisclosureSEC source: 0001493152-18-005444 · form4.xml · derivative · entry 7 Trieu Vuong · CIK 0001587074 · Director · Executive Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 859,725 Underlying: Common Stock · 859,725 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F7 · kind: On April 16, 2018, the reporting person and the issuer amended the demand line of credit that was extended by the reporting person to the issuer on November 15, 2016 so that the unpaid principal amount thereof, together with accrued but unpaid interest thereon, would be converted into 114.63 shares of the issuer's Series E Convertible Preferred Stock and warrants to purchase up to 859,725 shares of the issuer's common stock upon the closing of the Offering. As a result of such conversion, the line of credit has been satisfied in full and is no longer outstanding. F3 · derivative.expiration_date: The warrants expire on the five year anniversary of the closing of the Offering. Read SEC document |
| April 16, 2018 Filed Apr 18, 2018 21:40 UTC | Adhera Therapeutics, Inc. MRNA · Entity 127789 | ConversionSeries E Convertible Preferred Stock · Derivative | 114.63 | $5,000.00 Strike: $0.50 | $573,150.00 |
DisclosureSEC source: 0001493152-18-005444 · form4.xml · derivative · entry 6 Trieu Vuong · CIK 0001587074 · Director · Executive Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 114.63 Underlying: Common Stock · 1,146,300 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F7 · kind: On April 16, 2018, the reporting person and the issuer amended the demand line of credit that was extended by the reporting person to the issuer on November 15, 2016 so that the unpaid principal amount thereof, together with accrued but unpaid interest thereon, would be converted into 114.63 shares of the issuer's Series E Convertible Preferred Stock and warrants to purchase up to 859,725 shares of the issuer's common stock upon the closing of the Offering. As a result of such conversion, the line of credit has been satisfied in full and is no longer outstanding. F2 · derivative.expiration_date: Each outstanding share of Series E Preferred Stock shall be converted into common stock on the earliest to occur of: (i) any date more than 30 trading days after the closing of the Offering that the closing price of the common stock on each of the 30 days immediately prior to such conversion exceeds $5.00; (ii) the three year anniversary of the closing of the Offering; and (iii) the date on which the holders of a majority of the outstanding shares of Series E Preferred Stock elect to convert all of the outstanding shares of Series E Preferred Stock. Read SEC document |
| April 16, 2018 Filed Apr 18, 2018 21:40 UTC | Adhera Therapeutics, Inc. MRNA · Entity 127789 | Conversion5% Convertible Promissory Note · Derivative | Not disclosed | $0.00 Strike: $5,000.00 | $165,634.00 |
DisclosureSEC source: 0001493152-18-005444 · form4.xml · derivative · entry 5 Trieu Vuong · CIK 0001587074 · Director · Executive Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: Not disclosed Underlying: Preferred Stock / Warrants · Not disclosed shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · kind: On April 16, 2018, the reporting person and the issuer amended the convertible promissory note in the principal amount of $165,634 that the issuer issued to the reporting person in June 2017 so that the unpaid principal amount thereof, together with accrued but unpaid interest thereon, would be converted into 34.51 shares of the issuer's Series E Convertible Preferred Stock and warrants to purchase up to 258,825 shares of the issuer's common stock upon the closing of the Offering. As a result of such conversion, the note has been satisfied in full and is no longer outstanding. F5 · derivative.expiration_date: N/A F6 · derivative.underlying: The note converted into 34.51 shares of Series E Convertible Preferred Stock and warrants to purchase 258,825 shares of common stock. F6 · derivative.underlying_shares: The note converted into 34.51 shares of Series E Convertible Preferred Stock and warrants to purchase 258,825 shares of common stock. Read SEC document |
| April 16, 2018 Filed Apr 18, 2018 21:40 UTC | Adhera Therapeutics, Inc. MRNA · Entity 127789 | ConversionWarrants to Purchase Common Stock · Derivative | 258,825 | $0.00 Strike: $0.55 | $0.00 |
DisclosureSEC source: 0001493152-18-005444 · form4.xml · derivative · entry 4 Trieu Vuong · CIK 0001587074 · Director · Executive Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 258,825 Underlying: Common Stock · 258,825 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · kind: On April 16, 2018, the reporting person and the issuer amended the convertible promissory note in the principal amount of $165,634 that the issuer issued to the reporting person in June 2017 so that the unpaid principal amount thereof, together with accrued but unpaid interest thereon, would be converted into 34.51 shares of the issuer's Series E Convertible Preferred Stock and warrants to purchase up to 258,825 shares of the issuer's common stock upon the closing of the Offering. As a result of such conversion, the note has been satisfied in full and is no longer outstanding. F3 · derivative.expiration_date: The warrants expire on the five year anniversary of the closing of the Offering. Read SEC document |
| April 16, 2018 Filed Apr 18, 2018 21:40 UTC | Adhera Therapeutics, Inc. MRNA · Entity 127789 | ConversionSeries E Convertible Preferred Stock · Derivative | 34.51 | $5,000.00 Strike: $0.50 | $172,550.00 |
DisclosureSEC source: 0001493152-18-005444 · form4.xml · derivative · entry 3 Trieu Vuong · CIK 0001587074 · Director · Executive Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34.51 Underlying: Common Stock · 345,100 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · kind: On April 16, 2018, the reporting person and the issuer amended the convertible promissory note in the principal amount of $165,634 that the issuer issued to the reporting person in June 2017 so that the unpaid principal amount thereof, together with accrued but unpaid interest thereon, would be converted into 34.51 shares of the issuer's Series E Convertible Preferred Stock and warrants to purchase up to 258,825 shares of the issuer's common stock upon the closing of the Offering. As a result of such conversion, the note has been satisfied in full and is no longer outstanding. F2 · derivative.expiration_date: Each outstanding share of Series E Preferred Stock shall be converted into common stock on the earliest to occur of: (i) any date more than 30 trading days after the closing of the Offering that the closing price of the common stock on each of the 30 days immediately prior to such conversion exceeds $5.00; (ii) the three year anniversary of the closing of the Offering; and (iii) the date on which the holders of a majority of the outstanding shares of Series E Preferred Stock elect to convert all of the outstanding shares of Series E Preferred Stock. 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.