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 |
|---|---|---|---|---|---|---|
| April 16, 2018 Filed Apr 18, 2018 21:40 UTC | Adhera Therapeutics, Inc. MRNA · Entity 127789 | GrantWarrants to Purchase Common Stock · Derivative | 16,875 | $0.00 Strike: $0.55 | $0.00 |
DisclosureSEC source: 0001493152-18-005444 · form4.xml · derivative · entry 2 Trieu Vuong · CIK 0001587074 · Director · Executive Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,875 Underlying: Common Stock · 16,875 shares Expires not disclosed F1 · kind: In connection with the closing of the issuer's private placement of shares of its Series E Convertible Preferred Stock and warrants to purchase shares of its common stock (the "Offering"), which occurred on April 16, 2018, the issuer and the reporting person agreed that the issuer would satisfy all accrued and unpaid fees owed by the issuer to the reporting person for services as a member of the issuer's Board of Directors prior to January 1, 2018 by the issuance by the issuer to the reporting person of 2.25 shares of Series E Preferred Stock and warrants to purchase 16,875 shares of common stock. 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 | GrantSeries E Convertible Preferred Stock · Derivative | 2.25 | $5,000.00 Strike: $0.50 | $11,250.00 |
DisclosureSEC source: 0001493152-18-005444 · form4.xml · derivative · entry 1 Trieu Vuong · CIK 0001587074 · Director · Executive Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2.25 Underlying: Common Stock · 22,500 shares Expires not disclosed F1 · kind: In connection with the closing of the issuer's private placement of shares of its Series E Convertible Preferred Stock and warrants to purchase shares of its common stock (the "Offering"), which occurred on April 16, 2018, the issuer and the reporting person agreed that the issuer would satisfy all accrued and unpaid fees owed by the issuer to the reporting person for services as a member of the issuer's Board of Directors prior to January 1, 2018 by the issuance by the issuer to the reporting person of 2.25 shares of Series E Preferred Stock and warrants to purchase 16,875 shares of common stock. 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 |
| January 03, 2018 Filed Jan 3, 2018 18:34 UTC | Adhera Therapeutics, Inc. MRNA · Entity 127789 | GrantOptions to purchase common stock · Derivative | 3,800 | $0.00 Strike: $1.56 | $0.00 |
DisclosureSEC source: 0001587074-18-000001 · primary_doc.xml · derivative · entry 1 Trieu Vuong · CIK 0001587074 · Director · Executive Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,800 Underlying: common stock · 3,800 shares Expires 2023-01-03 F1 · derivative.exercise_date: Options to purchase 1,900 shares of common stock are exercisable beginning on January 3, 2018, and options to purchase 1,900 shares of common stock are exercisable beginning on January 3, 2019. Read SEC document |
| June 30, 2017 Filed Jul 5, 2017 16:31 UTC | Adhera Therapeutics, Inc. MRNA · Entity 127789 | Grant5% Convertible Promissory Note · Derivative | Not disclosed | $165,634.00 Strike: $0.35 | $165,634.00 |
DisclosureSEC source: 0001493152-17-007488 · form4.xml · derivative · entry 1 Trieu Vuong · CIK 0001587074 · Director · Executive Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 473,240 Underlying: Common Stock · 473,240 shares Expires not disclosed F1 · derivative.exercise_date: The holders of a majority of the aggregate principal amount of the convertible promissory notes that were issued by the registrant in the offering of which the note purchased by the reporting person is a part have the right to elect to convert the entire unpaid principal amount (and accrued interest) of such notes into the common stock of the registrant on the maturity date of such notes. F2 · derivative.expiration_date: N/A Read SEC document |
| June 09, 2017 Filed Jun 12, 2017 17:00 UTC | Adhera Therapeutics, Inc. MRNA · Entity 127789 | PurchaseCommon Stock | 10,000 | $0.39 | $3,900.00 |
DisclosureSEC source: 0001493152-17-006494 · form4.xml · nonDerivative · entry 1 Trieu Vuong · CIK 0001587074 · Director · Chairman of the Board · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,127,141 Read SEC document |
| June 08, 2017 Filed Jun 8, 2017 18:30 UTC | Adhera Therapeutics, Inc. MRNA · Entity 127789 | PurchaseCommon Stock | 20,000 | $0.39 | $7,800.00 |
DisclosureSEC source: 0001493152-17-006346 · form4.xml · nonDerivative · entry 1 Trieu Vuong · CIK 0001587074 · Director · Chairman of the Board · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,117,141 Read SEC document |
| June 07, 2017 Filed Jun 8, 2017 18:30 UTC | Adhera Therapeutics, Inc. MRNA · Entity 127789 | PurchaseCommon Stock | 2,500 | $0.38 | $950.00 |
DisclosureSEC source: 0001493152-17-006346 · form4.xml · nonDerivative · entry 2 Trieu Vuong · CIK 0001587074 · Director · Chairman of the Board · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,097,141 Read SEC document |
| February 06, 2017 Filed Feb 8, 2017 17:30 UTC | Adhera Therapeutics, Inc. MRNA · Entity 127789 | PurchaseCommon Stock | 862,068 | $0.29 | $249,999.72 |
DisclosureSEC source: 0001493152-17-001242 · form4.xml · nonDerivative · entry 1 Trieu Vuong · CIK 0001587074 · Director · Chairman of the Board · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 862,068 F1 · ownership.nature: Represents shares held by Lipomedics Inc., of which entity the reporting person serves as Chairman of the Board and Chief Operating Officer. Read SEC document |
| January 03, 2017 Filed Jan 4, 2017 18:27 UTC | Adhera Therapeutics, Inc. MRNA · Entity 127789 | GrantOptions to purchase common stock · Derivative | 81,000 | $0.00 Strike: $0.17 | $0.00 |
DisclosureSEC source: 0001493152-17-000148 · form4.xml · derivative · entry 1 Trieu Vuong · CIK 0001587074 · Director · Chairman of the Board · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 81,000 Underlying: common stock · 81,000 shares Expires 2022-01-03 F1 · derivative.exercise_date: Options to purchase 40,500 shares of common stock are exercisable beginning on January 3, 2017, and options to purchase 40,500 shares of common stock are exercisable beginning on January 3, 2018. Read SEC document |
| November 15, 2016 Filed Nov 22, 2016 16:02 UTC | Adhera Therapeutics, Inc. MRNA · Entity 127789 | GrantCommon Stock | 5,255,354 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001493152-16-015386 · form4.xml · nonDerivative · entry 3 Trieu Vuong · CIK 0001587074 · Director · Chairman of the Board · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 5,255,354 F4 · price: Received in exchange for 500,000 shares of the common stock of Ithena pursuant to the Merger Agreement. F5 · ownership.nature: Represents shares held by Autotelic Inc., of which entity the reporting person serves as Chairman of the Board. Read SEC document |
| November 15, 2016 Filed Nov 22, 2016 16:02 UTC | Adhera Therapeutics, Inc. MRNA · Entity 127789 | GrantCommon Stock | 23,123,558 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001493152-16-015386 · form4.xml · nonDerivative · entry 2 Trieu Vuong · CIK 0001587074 · Director · Chairman of the Board · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 23,123,558 F2 · price: Received in exchange for 2,200,000 shares of the common stock of Ithena pursuant to the Merger Agreement. F3 · ownership.nature: Represents shares held by Autotelic LLC, of which entity the reporting person serves as Chief Executive Officer. Read SEC document |
| November 15, 2016 Filed Nov 22, 2016 16:02 UTC | Adhera Therapeutics, Inc. MRNA · Entity 127789 | GrantCommon Stock | 11,094,641 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001493152-16-015386 · form4.xml · nonDerivative · entry 1 Trieu Vuong · CIK 0001587074 · Director · Chairman of the Board · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,094,641 F1 · price: Received in exchange for 1,055,556 shares of the common stock of IthenaPharma Inc. ("Ithena") pursuant to that certain Agreement and Plan of Merger dated as of November 15, 2016 by and among Marina Biotech, Inc. (the "Issuer"), Ithena Acquisition Corporation (a wholly-owned subsidiary of the Issuer), Ithena, and Vuong Trieu as the representative of Ithena (the "Merger Agreement"). 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.