Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Barinthus Biotherapeutics plc.BRNS · Entity 9597 | Principal Accounting Officer | May 01, 2026 | May 01, 2026 |
| Cellectar Biosciences, Inc.CLRB · Entity 7572 | Director | July 07, 2026 | July 09, 2026 |
| MAXCYTE, INC.MXCT · Entity 6608 | CHIEF FINANCIAL OFFICER | March 17, 2026 | March 19, 2026 |
| MetaVia Inc.NRBO · Entity 7947 | Director | September 01, 2020 | September 03, 2020 |
| Opus Genetics, Inc.RNN · Entity 5892 | Director · President and CEO | January 29, 2019 | January 30, 2019 |
| PERNIX THERAPEUTICS HOLDINGS, INC.PTX · Entity 161208 | Director | May 22, 2018 | May 23, 2018 |
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.
Barinthus Biotherapeutics plc.
Report date May 01, 2026 · Filed May 01, 2026
This filing explicitly reported no securities owned.
Cellectar Biosciences, Inc.
Report date July 07, 2026 · Filed July 09, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.70 · Expires 2036-07-07 | Direct | 37,500 |
Reported balance
After 2026-07-07 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-07-07 · Grant · Acquired 37,500 · Balance 37,500 F1: This option shall vest in full on July 7, 2027, subject to the reporting person's continued service through the applicable vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: This option shall vest in full on July 7, 2027, subject to the reporting person's continued service through the applicable vesting date.
MAXCYTE, INC.
Report date March 17, 2026 · Filed March 19, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 151,669 |
Reported balance
After 2026-03-17 transaction · row 1
1 source rowRow 1 · 2026-03-17 · Sale · Disposed 10,142 · Balance 151,669 F1: These shares were sold to cover tax withholding due upon vesting of previously granted restricted stock units ("RSUs"). Such "sale to cover" was automatically effected to satisfy tax withholding obligations and does not represent a discretionary trade by the Reporting Person. F2: The price reported in Column 4 is a weighted average price of all shares sold on the transaction date by the Issuer's broker to cover taxes upon the vesting of RSUs for certain employees of the Issuer, including the Reporting Person. These shares were sold in multiple transactions at prices ranging from $0.783 to $0.825, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. |
Filing footnotes · ownership attribution and instrument terms
F1: These shares were sold to cover tax withholding due upon vesting of previously granted restricted stock units ("RSUs"). Such "sale to cover" was automatically effected to satisfy tax withholding obligations and does not represent a discretionary trade by the Reporting Person.
F2: The price reported in Column 4 is a weighted average price of all shares sold on the transaction date by the Issuer's broker to cover taxes upon the vesting of RSUs for certain employees of the Issuer, including the Reporting Person. These shares were sold in multiple transactions at prices ranging from $0.783 to $0.825, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
MetaVia Inc.
Report date September 01, 2020 · Filed September 03, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Non-qualified stock option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $6.04 · Expires 2030-09-01 | Direct | 60,000 |
Reported balance
After 2020-09-01 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2020-09-01 · Grant · Acquired 60,000 · Balance 60,000 F1: The option vests in 36 equal monthly installments beginning on 10/01/2020, such that the option will be fully vested on the third anniversary of the date of grant. |
Filing footnotes · ownership attribution and instrument terms
F1: The option vests in 36 equal monthly installments beginning on 10/01/2020, such that the option will be fully vested on the third anniversary of the date of grant.
Opus Genetics, Inc.
Report date January 29, 2019 · Filed January 30, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 50,000 |
Reported balance
After 2019-01-29 transaction · row 1
1 source rowRow 1 · 2019-01-29 · Purchase · Acquired 50,000 · Balance 50,000 F1: The price of $0.6344 per share represents a weighted average of purchase prices ranging from $0.6097 to $0.6386 per share. The reporting person undertakes to provide upon request by the Commission staff, the issuer, or any security holder of the issuer, full information regarding the number of shares purchased or sold at each separate price. |
Filing footnotes · ownership attribution and instrument terms
F1: The price of $0.6344 per share represents a weighted average of purchase prices ranging from $0.6097 to $0.6386 per share. The reporting person undertakes to provide upon request by the Commission staff, the issuer, or any security holder of the issuer, full information regarding the number of shares purchased or sold at each separate price.
PERNIX THERAPEUTICS HOLDINGS, INC.
Report date May 22, 2018 · Filed May 23, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.63 · Expires 2028-05-21 | Direct | 25,000 |
Reported balance
After 2018-05-22 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2018-05-22 · Grant · Acquired 25,000 · Balance 25,000 F1: The stock option vests in four equal annual installments of 6,250 shares over a four-year period, with the first installment vesting on May 22, 2019, which is the one-year anniversary of the grant date. |
Filing footnotes · ownership attribution and instrument terms
F1: The stock option vests in four equal annual installments of 6,250 shares over a four-year period, with the first installment vesting on May 22, 2019, which is the one-year anniversary of the grant date.
Past disclosures · reporting ended (2)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Fibrocell Science, Inc.
Report date December 13, 2019 · Filed December 13, 2019
Section 16 reporting ended · disclosed 2019-12-13. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Option to Purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $56.25 · Expires 2023-03-04 | Direct | 0 |
Reported balance
After 2019-12-13 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2019-12-13 · Disposition to issuer · Disposed 534 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger, dated as of September 12, 2019 (the "Merger Agreement"), among Fibrocell Science, Inc. (the "Company"), Castle Creek Pharmaceutical Holdings, Inc. and Castle Creek Merger Corp., effective as of immediately prior to the effective time of the merger of the Company and Merger Sub, these shares of Company common stock were converted into the right to receive a cash payment equal to the per share merger consideration of $3.00. |
| Option to Purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $82.35 · Expires 2023-07-19 | Direct | 0 |
Reported balance
After 2019-12-13 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2019-12-13 · Disposition to issuer · Disposed 1,600 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger, dated as of September 12, 2019 (the "Merger Agreement"), among Fibrocell Science, Inc. (the "Company"), Castle Creek Pharmaceutical Holdings, Inc. and Castle Creek Merger Corp., effective as of immediately prior to the effective time of the merger of the Company and Merger Sub, these shares of Company common stock were converted into the right to receive a cash payment equal to the per share merger consideration of $3.00. |
| Option to Purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $81.60 · Expires 2025-06-24 | Direct | 0 |
Reported balance
After 2019-12-13 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2019-12-13 · Disposition to issuer · Disposed 2,400 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger, dated as of September 12, 2019 (the "Merger Agreement"), among Fibrocell Science, Inc. (the "Company"), Castle Creek Pharmaceutical Holdings, Inc. and Castle Creek Merger Corp., effective as of immediately prior to the effective time of the merger of the Company and Merger Sub, these shares of Company common stock were converted into the right to receive a cash payment equal to the per share merger consideration of $3.00. |
| Option to Purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $14.25 · Expires 2026-06-22 | Direct | 0 |
Reported balance
After 2019-12-13 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2019-12-13 · Disposition to issuer · Disposed 2,400 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger, dated as of September 12, 2019 (the "Merger Agreement"), among Fibrocell Science, Inc. (the "Company"), Castle Creek Pharmaceutical Holdings, Inc. and Castle Creek Merger Corp., effective as of immediately prior to the effective time of the merger of the Company and Merger Sub, these shares of Company common stock were converted into the right to receive a cash payment equal to the per share merger consideration of $3.00. |
| Option to Purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $16.55 · Expires 2027-06-22 | Direct | 0 |
Reported balance
After 2019-12-13 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2019-12-13 · Disposition to issuer · Disposed 6,000 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger, dated as of September 12, 2019 (the "Merger Agreement"), among Fibrocell Science, Inc. (the "Company"), Castle Creek Pharmaceutical Holdings, Inc. and Castle Creek Merger Corp., effective as of immediately prior to the effective time of the merger of the Company and Merger Sub, these shares of Company common stock were converted into the right to receive a cash payment equal to the per share merger consideration of $3.00. |
| Option to Purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $2.36 · Expires 2028-06-19 | Direct | 0 |
Reported balance
After 2019-12-13 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2019-12-13 · Disposition to issuer · Disposed 6,000 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger, dated as of September 12, 2019 (the "Merger Agreement"), among Fibrocell Science, Inc. (the "Company"), Castle Creek Pharmaceutical Holdings, Inc. and Castle Creek Merger Corp., effective as of immediately prior to the effective time of the merger of the Company and Merger Sub, these shares of Company common stock were converted into the right to receive a cash payment equal to the per share merger consideration of $3.00. |
| Option to Purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $1.94 · Expires 2029-06-12 | Direct | 0 |
Reported balance
After 2019-12-13 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2019-12-13 · Disposition to issuer · Disposed 12,000 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger, dated as of September 12, 2019 (the "Merger Agreement"), among Fibrocell Science, Inc. (the "Company"), Castle Creek Pharmaceutical Holdings, Inc. and Castle Creek Merger Corp., effective as of immediately prior to the effective time of the merger of the Company and Merger Sub, these shares of Company common stock were converted into the right to receive a cash payment equal to the per share merger consideration of $3.00. |
| Options to purchase common stockSEC Table II · derivative / convertible security · Conversion / exercise price $62.10 · Expires 2024-06-20 | Direct | 0 |
Reported balance
After 2019-12-13 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2019-12-13 · Disposition to issuer · Disposed 1,200 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger, dated as of September 12, 2019 (the "Merger Agreement"), among Fibrocell Science, Inc. (the "Company"), Castle Creek Pharmaceutical Holdings, Inc. and Castle Creek Merger Corp., effective as of immediately prior to the effective time of the merger of the Company and Merger Sub, these shares of Company common stock were converted into the right to receive a cash payment equal to the per share merger consideration of $3.00. |
Filing footnotes · ownership attribution and instrument terms
F1: Pursuant to the Agreement and Plan of Merger, dated as of September 12, 2019 (the "Merger Agreement"), among Fibrocell Science, Inc. (the "Company"), Castle Creek Pharmaceutical Holdings, Inc. and Castle Creek Merger Corp., effective as of immediately prior to the effective time of the merger of the Company and Merger Sub, these shares of Company common stock were converted into the right to receive a cash payment equal to the per share merger consideration of $3.00.
GENVEC INC
Report date June 16, 2017 · Filed June 20, 2017
Section 16 reporting ended · disclosed 2017-06-20. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 50,250 |
Reported balance
After 2017-06-16 transaction · row 1
Sequence does not reconcile; account continuity is unresolved.
1 source rowRow 1 · 2017-06-16 · Exercise / conversion · Acquired 25,000 · Balance 50,250 |
| Common StockSEC Table I · non-derivative | Direct | 29,320 |
Reported balance
After 2016-06-16 transaction · row 2
Sequence does not reconcile; account continuity is unresolved.
1 source rowRow 2 · 2016-06-16 · Tax withholding · Disposed 20,930 · Balance 29,320 F1: Withholding of Common Stock to pay exercise price and to satisfy tax withholding obligations. |
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2017-06-16 transaction · row 3
Sequence does not reconcile; account continuity is unresolved.
1 source rowRow 3 · 2017-06-16 · Disposition to issuer · Disposed 29,320 · Balance 0 F2: The shares of Common Stock were cancelled pursuant to the Agreement and Plan of Merger, dated January 24, 2017, among the Issuer, Intrexon Corporation ("Intrexon") and Intrexon GV Holding, Inc. (the "Merger Agreement") in exchange for (i) 8,708 shares of Intrexon common stock having a market value of $198,717 as of the close of trading on the date immediately prior to the effective date of the merger, and cash in lieu of fractional shares of Intrexon common stock, plus (ii) one contingent payment right (the "Merger Consideration"). F3: [footnote 2 continued] Each contingent payment right entitles the holder thereof to an amount equal to half of certain payments actually received by the registrant or its successor or any of their affiliates from or on behalf of Novartis Institutes for BioMedical Research, Inc. ("Novartis") under the Research Collaboration and License Agreement, dated January 13, 2010, as amended, between the registrant and Novartis, on account of milestone payments or royalties due in relation to the period ending June 16, 2019, divided by the number of shares of the regisrant's common stock having rights to the Merger Consideration, subject to any withholding of taxes required by applicable law. F4: Disposed of pursuant to the Merger Agreement in exchange for the Merger Consideration. |
| Stock Options (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.60 · Expires 2017-06-16 | Direct | 0 |
Reported balance
After 2017-06-16 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2017-06-16 · Exercise / conversion · Disposed 25,000 · Balance 0 F5: Pursuant to the Merger Agreement, the vesting date of unvested stock options accelerated to vest and become exercisable as of the closing of the merger. |
Filing footnotes · ownership attribution and instrument terms
F1: Withholding of Common Stock to pay exercise price and to satisfy tax withholding obligations.
F2: The shares of Common Stock were cancelled pursuant to the Agreement and Plan of Merger, dated January 24, 2017, among the Issuer, Intrexon Corporation ("Intrexon") and Intrexon GV Holding, Inc. (the "Merger Agreement") in exchange for (i) 8,708 shares of Intrexon common stock having a market value of $198,717 as of the close of trading on the date immediately prior to the effective date of the merger, and cash in lieu of fractional shares of Intrexon common stock, plus (ii) one contingent payment right (the "Merger Consideration").
F3: [footnote 2 continued] Each contingent payment right entitles the holder thereof to an amount equal to half of certain payments actually received by the registrant or its successor or any of their affiliates from or on behalf of Novartis Institutes for BioMedical Research, Inc. ("Novartis") under the Research Collaboration and License Agreement, dated January 13, 2010, as amended, between the registrant and Novartis, on account of milestone payments or royalties due in relation to the period ending June 16, 2019, divided by the number of shares of the regisrant's common stock having rights to the Merger Consideration, subject to any withholding of taxes required by applicable law.
F4: Disposed of pursuant to the Merger Agreement in exchange for the Merger Consideration.
F5: Pursuant to the Merger Agreement, the vesting date of unvested stock options accelerated to vest and become exercisable as of the closing of the merger.
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 07, 2026 Filed Jul 9, 2026 01:04 UTC | Cellectar Biosciences, Inc. CLRB · Entity 7572 | GrantStock option (right to buy) · Derivative | 37,500 | $0.00 Strike: $2.70 | $0.00 |
DisclosureSEC source: 0001104659-26-082011 · tm2620095-3_4seq1.xml · derivative · entry 1 Swirsky Douglas J · CIK 0001375884 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 37,500 Underlying: Common stock · 37,500 shares Expires 2036-07-07 F1 · derivative.exercise_date: This option shall vest in full on July 7, 2027, subject to the reporting person's continued service through the applicable vesting date. Read SEC document |
| March 17, 2026 Filed Mar 19, 2026 20:05 UTC | MAXCYTE, INC. MXCT · Entity 6608 | SaleCommon Stock | 10,142 | $0.82 | $8,265.73 |
DisclosureSEC source: 0000905148-26-001397 · form4.xml · nonDerivative · entry 1 Swirsky Douglas J · CIK 0001375884 · CHIEF FINANCIAL OFFICER 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 151,669 F1 · kind: These shares were sold to cover tax withholding due upon vesting of previously granted restricted stock units ("RSUs"). Such "sale to cover" was automatically effected to satisfy tax withholding obligations and does not represent a discretionary trade by the Reporting Person. F2 · price: The price reported in Column 4 is a weighted average price of all shares sold on the transaction date by the Issuer's broker to cover taxes upon the vesting of RSUs for certain employees of the Issuer, including the Reporting Person. These shares were sold in multiple transactions at prices ranging from $0.783 to $0.825, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| August 13, 2025 Filed Aug 13, 2025 23:48 UTC | MAXCYTE, INC. MXCT · Entity 6608 | PurchaseCommon Stock | 50,000 | $1.29 | $64,500.00 |
DisclosureSEC source: 0000905148-25-002877 · form4.xml · nonDerivative · entry 1 Swirsky Douglas J · CIK 0001375884 · CHIEF FINANCIAL OFFICER 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 161,811 Read SEC document |
| March 18, 2025 Filed Mar 20, 2025 22:08 UTC | MAXCYTE, INC. MXCT · Entity 6608 | SaleCommon Stock | 6,939 | $3.18 | $22,061.16 |
DisclosureSEC source: 0000905148-25-000984 · form4.xml · nonDerivative · entry 1 Swirsky Douglas J · CIK 0001375884 · CHIEF FINANCIAL OFFICER 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 111,811 F1 · kind: These shares were sold to cover tax withholding due upon vesting of previously granted restricted stock units ("RSUs"). Such "sale to cover" was automatically effected to satisfy tax withholding obligations and does not represent a discretionary trade by the Reporting Person. F2 · price: The price reported in Column 4 is a weighted average price of all shares sold on the transaction date by the Issuer's broker to cover taxes upon the vesting of RSUs for certain employees of the Issuer, including the Reporting Person. These shares were sold in multiple transactions at prices ranging from $3.14 to $3.215, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| March 14, 2025 Filed Mar 19, 2025 00:33 UTC | MAXCYTE, INC. MXCT · Entity 6608 | GrantEmployee Stock Option (right to buy) · Derivative | 150,000 | $0.00 Strike: $3.29 | $0.00 |
DisclosureSEC source: 0000905148-25-000962 · form4.xml · derivative · entry 2 Swirsky Douglas J · CIK 0001375884 · CHIEF FINANCIAL OFFICER 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 150,000 Underlying: Common Stock · 150,000 shares Expires 2035-03-13 F2 · derivative.exercise_date: Twenty-five percent (25%) of the shares underlying this option shall vest on March 14, 2026, and the remainder shall vest in thirty-six (36) equal monthly installments thereafter, subject to the Reporting Person's continued service to the Issuer through each vesting date. Read SEC document |
| March 14, 2025 Filed Mar 19, 2025 00:33 UTC | MAXCYTE, INC. MXCT · Entity 6608 | GrantCommon Stock | 37,500 | $0.00 | $0.00 |
DisclosureSEC source: 0000905148-25-000962 · form4.xml · nonDerivative · entry 1 Swirsky Douglas J · CIK 0001375884 · CHIEF FINANCIAL OFFICER 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 118,750 F1 · shares: These shares represent restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock. Twenty-five percent (25%) of the RSUs shall vest on March 14, 2026, and the remainder shall vest in three (3) equal annual installments thereafter, subject to the Reporting Person's continued service to the Issuer through each vesting date. Read SEC document |
| February 14, 2025 Filed Feb 18, 2025 21:07 UTC | Cellectar Biosciences, Inc. CLRB · Entity 7572 | GrantStock option (right to buy) · Derivative | 90,000 | $0.00 Strike: $0.29 | $0.00 |
DisclosureSEC source: 0001104659-25-014757 · tm256830-8_4seq1.xml · derivative · entry 1 Swirsky Douglas J · CIK 0001375884 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 90,000 Underlying: Common Stock · 90,000 shares Expires 2035-02-14 F1 · derivative.exercise_date: This option shall vest in full on February 14, 2026, subject to the reporting person's continued service through the applicable vesting date. Read SEC document |
| June 14, 2024 Filed Jun 18, 2024 21:01 UTC | Cellectar Biosciences, Inc. CLRB · Entity 7572 | GrantStock option (right to buy) · Derivative | 90,000 | $0.00 Strike: $2.58 | $0.00 |
DisclosureSEC source: 0001104659-24-072882 · tm2417520-4_4seq1.xml · derivative · entry 1 Swirsky Douglas J · CIK 0001375884 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 90,000 Underlying: Common Stock · 90,000 shares Expires 2033-12-22 F1 · date: This option was contingently granted on December 22, 2023, subject to approval by Cellectar's stockholders of Cellectar's amended 2021 Stock Incentive Plan at Cellectar's 2024 Annual Meeting of Stockholders. Such stockholder approval was obtained on June 14, 2024. F2 · derivative.exercise_date: This option shall vest in full on December 22, 2024, subject to the reporting person's continued service through the applicable vesting date. Read SEC document |
| March 15, 2024 Filed Mar 19, 2024 22:18 UTC | MAXCYTE, INC. MXCT · Entity 6608 | GrantEmployee Stock Option (right to buy) · Derivative | 225,000 | $0.00 Strike: $4.31 | $0.00 |
DisclosureSEC source: 0001415889-24-008636 · form4-03192024_100330.xml · derivative · entry 2 Swirsky Douglas J · CIK 0001375884 · CHIEF FINANCIAL OFFICER 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 225,000 Underlying: Common Stock · 225,000 shares Expires 2034-03-14 F2 · derivative.exercise_date: Twenty-five percent (25%) of the shares underlying this option shall vest on March 15, 2025, and the remainder shall vest in thirty-six (36) equal monthly installments thereafter, subject to the Reporting Person's continued service to the Issuer through each vesting date. Read SEC document |
| March 15, 2024 Filed Mar 19, 2024 22:18 UTC | MAXCYTE, INC. MXCT · Entity 6608 | GrantCommon Stock | 81,250 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-24-008636 · form4-03192024_100330.xml · nonDerivative · entry 1 Swirsky Douglas J · CIK 0001375884 · CHIEF FINANCIAL OFFICER 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 81,250 F1 · shares: These shares represent restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock. Twenty-five percent (25%) of the RSUs shall vest on March 15, 2025, and the remainder shall vest in three (3) equal annual installments thereafter, subject to the Reporting Person's continued service to the Issuer through each vesting date. Read SEC document |
| June 28, 2023 Filed Jun 28, 2023 22:27 UTC | Cellectar Biosciences, Inc. CLRB · Entity 7572 | GrantStock option (right to buy) · Derivative | 37,500 | $0.00 Strike: $1.85 | $0.00 |
DisclosureSEC source: 0001104659-23-075942 · tm2320030-5_4seq1.xml · derivative · entry 1 Swirsky Douglas J · CIK 0001375884 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 71,925 Underlying: Common Stock · 37,500 shares Expires 2033-06-28 F1 · derivative.exercise_date: This stock option shall vest in full on June 28, 2024, subject to the reporting person's continued service through the applicable vesting date. Read SEC document |
| March 27, 2023 Filed Mar 28, 2023 14:06 UTC | MAXCYTE, INC. MXCT · Entity 6608 | GrantEmployee Stock Option (right to buy) · Derivative | 350,000 | $0.00 Strike: $4.11 | $0.00 |
DisclosureSEC source: 0001209191-23-021333 · doc4.xml · derivative · entry 1 Swirsky Douglas J · CIK 0001375884 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 350,000 Underlying: Common Stock · 350,000 shares Expires 2033-03-26 F1 · derivative.exercise_date: 25% of the shares underlying this option vest on March 27, 2024 and the remaining 75% vest in 36 equal monthly installments thereafter, subject to the reporting person's continuous service with the Issuer at each vesting date. Read SEC document |
| June 24, 2022 Filed Aug 1, 2022 22:01 UTC | Cellectar Biosciences, Inc. CLRB · Entity 7572 | GrantStock option (right to buy) · Derivative | 11,700 | $0.00 Strike: $4.10 | $0.00 |
DisclosureSEC source: 0001104659-22-084839 · tm2222253-5_4seq1.xml · derivative · entry 1 Swirsky Douglas J · CIK 0001375884 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,700 Underlying: Common Stock · 11,700 shares Expires 2032-06-24 F1 · derivative.exercise_price: Exercise price and quantity have been adjusted for the one-for-ten (1:10) reverse stock split effected by the Issuer on July 21, 2022. F1 · shares: Exercise price and quantity have been adjusted for the one-for-ten (1:10) reverse stock split effected by the Issuer on July 21, 2022. F2 · derivative.exercise_date: This stock option shall vest in full on June 24, 2023, subject to the reporting person's continued service through the applicable vesting date. F1 · derivative.underlying_shares: Exercise price and quantity have been adjusted for the one-for-ten (1:10) reverse stock split effected by the Issuer on July 21, 2022. F1 · balance_after: Exercise price and quantity have been adjusted for the one-for-ten (1:10) reverse stock split effected by the Issuer on July 21, 2022. Read SEC document |
| September 14, 2021 Filed Sep 14, 2021 20:00 UTC | Cellectar Biosciences, Inc. CLRB · Entity 7572 | PurchaseCommon Stock | 25,000 | $1.04 | $26,000.00 |
DisclosureSEC source: 0001104659-21-115477 · tm2127646-1_4seq1.xml · nonDerivative · entry 1 Swirsky Douglas J · CIK 0001375884 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 Read SEC document |
| June 30, 2021 Filed Jul 2, 2021 20:04 UTC | Cellectar Biosciences, Inc. CLRB · Entity 7572 | GrantStock option (right to buy) · Derivative | 117,000 | $0.00 Strike: $1.19 | $0.00 |
DisclosureSEC source: 0001104659-21-088842 · tm2120855-6_4seq1.xml · derivative · entry 1 Swirsky Douglas J · CIK 0001375884 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 117,000 Underlying: Common Stock · 117,000 shares Expires 2031-06-30 F1 · derivative.exercise_date: This option shall vest on the first anniversary of the date of grant. Read SEC document |
| September 01, 2020 Filed Sep 3, 2020 22:48 UTC | MetaVia Inc. NRBO · Entity 7947 | GrantNon-qualified stock option (right to buy) · Derivative | 60,000 | $0.00 Strike: $6.04 | $0.00 |
DisclosureSEC source: 0001104659-20-102336 · a4.xml · derivative · entry 1 Swirsky Douglas J · CIK 0001375884 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,000 Underlying: Common Stock · 60,000 shares Expires 2030-09-01 F1 · derivative.exercise_date: The option vests in 36 equal monthly installments beginning on 10/01/2020, such that the option will be fully vested on the third anniversary of the date of grant. Read SEC document |
| June 24, 2020 Filed Jun 25, 2020 20:22 UTC | Cellectar Biosciences, Inc. CLRB · Entity 7572 | GrantStock option (right to buy) · Derivative | 80,000 | $0.00 Strike: $1.28 | $0.00 |
DisclosureSEC source: 0001104659-20-076871 · tm2023456d3_4.xml · derivative · entry 1 Swirsky Douglas J · CIK 0001375884 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,000 Underlying: Common Stock · 80,000 shares Expires 2030-06-24 F1 · derivative.exercise_date: This option grant shall vest over a period of three years from the grant date, with one-third vesting on the first anniversary of the grant date and the remainder vesting in 24 equal monthly installments over a 24 month period beginning on the first anniversary of the grant date. Read SEC document |
| December 13, 2019 Filed Dec 13, 2019 16:17 UTC | Fibrocell Science, Inc. FCSC · Entity 153085 | Disposition to issuerOption to Purchase Common Stock · Derivative | 12,000 | Not disclosed Strike: $1.94 | Not disclosed |
DisclosureSEC source: 0001628280-19-015081 · wf-form4_157627181620899.xml · derivative · entry 8 Swirsky Douglas J · CIK 0001375884 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 12,000 shares Expires 2029-06-12 F1 · price: Pursuant to the Agreement and Plan of Merger, dated as of September 12, 2019 (the "Merger Agreement"), among Fibrocell Science, Inc. (the "Company"), Castle Creek Pharmaceutical Holdings, Inc. and Castle Creek Merger Corp., effective as of immediately prior to the effective time of the merger of the Company and Merger Sub, these shares of Company common stock were converted into the right to receive a cash payment equal to the per share merger consideration of $3.00. F1 · derivative.exercise_date: Pursuant to the Agreement and Plan of Merger, dated as of September 12, 2019 (the "Merger Agreement"), among Fibrocell Science, Inc. (the "Company"), Castle Creek Pharmaceutical Holdings, Inc. and Castle Creek Merger Corp., effective as of immediately prior to the effective time of the merger of the Company and Merger Sub, these shares of Company common stock were converted into the right to receive a cash payment equal to the per share merger consideration of $3.00. Read SEC document |
| December 13, 2019 Filed Dec 13, 2019 16:17 UTC | Fibrocell Science, Inc. FCSC · Entity 153085 | Disposition to issuerOption to Purchase Common Stock · Derivative | 6,000 | Not disclosed Strike: $2.36 | Not disclosed |
DisclosureSEC source: 0001628280-19-015081 · wf-form4_157627181620899.xml · derivative · entry 7 Swirsky Douglas J · CIK 0001375884 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 6,000 shares Expires 2028-06-19 F1 · price: Pursuant to the Agreement and Plan of Merger, dated as of September 12, 2019 (the "Merger Agreement"), among Fibrocell Science, Inc. (the "Company"), Castle Creek Pharmaceutical Holdings, Inc. and Castle Creek Merger Corp., effective as of immediately prior to the effective time of the merger of the Company and Merger Sub, these shares of Company common stock were converted into the right to receive a cash payment equal to the per share merger consideration of $3.00. F1 · derivative.exercise_date: Pursuant to the Agreement and Plan of Merger, dated as of September 12, 2019 (the "Merger Agreement"), among Fibrocell Science, Inc. (the "Company"), Castle Creek Pharmaceutical Holdings, Inc. and Castle Creek Merger Corp., effective as of immediately prior to the effective time of the merger of the Company and Merger Sub, these shares of Company common stock were converted into the right to receive a cash payment equal to the per share merger consideration of $3.00. Read SEC document |
| December 13, 2019 Filed Dec 13, 2019 16:17 UTC | Fibrocell Science, Inc. FCSC · Entity 153085 | Disposition to issuerOption to Purchase Common Stock · Derivative | 6,000 | Not disclosed Strike: $16.55 | Not disclosed |
DisclosureSEC source: 0001628280-19-015081 · wf-form4_157627181620899.xml · derivative · entry 6 Swirsky Douglas J · CIK 0001375884 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 6,000 shares Expires 2027-06-22 F1 · price: Pursuant to the Agreement and Plan of Merger, dated as of September 12, 2019 (the "Merger Agreement"), among Fibrocell Science, Inc. (the "Company"), Castle Creek Pharmaceutical Holdings, Inc. and Castle Creek Merger Corp., effective as of immediately prior to the effective time of the merger of the Company and Merger Sub, these shares of Company common stock were converted into the right to receive a cash payment equal to the per share merger consideration of $3.00. F1 · derivative.exercise_date: Pursuant to the Agreement and Plan of Merger, dated as of September 12, 2019 (the "Merger Agreement"), among Fibrocell Science, Inc. (the "Company"), Castle Creek Pharmaceutical Holdings, Inc. and Castle Creek Merger Corp., effective as of immediately prior to the effective time of the merger of the Company and Merger Sub, these shares of Company common stock were converted into the right to receive a cash payment equal to the per share merger consideration of $3.00. Read SEC document |
| December 13, 2019 Filed Dec 13, 2019 16:17 UTC | Fibrocell Science, Inc. FCSC · Entity 153085 | Disposition to issuerOption to Purchase Common Stock · Derivative | 2,400 | Not disclosed Strike: $14.25 | Not disclosed |
DisclosureSEC source: 0001628280-19-015081 · wf-form4_157627181620899.xml · derivative · entry 5 Swirsky Douglas J · CIK 0001375884 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,400 shares Expires 2026-06-22 F1 · price: Pursuant to the Agreement and Plan of Merger, dated as of September 12, 2019 (the "Merger Agreement"), among Fibrocell Science, Inc. (the "Company"), Castle Creek Pharmaceutical Holdings, Inc. and Castle Creek Merger Corp., effective as of immediately prior to the effective time of the merger of the Company and Merger Sub, these shares of Company common stock were converted into the right to receive a cash payment equal to the per share merger consideration of $3.00. F1 · derivative.exercise_date: Pursuant to the Agreement and Plan of Merger, dated as of September 12, 2019 (the "Merger Agreement"), among Fibrocell Science, Inc. (the "Company"), Castle Creek Pharmaceutical Holdings, Inc. and Castle Creek Merger Corp., effective as of immediately prior to the effective time of the merger of the Company and Merger Sub, these shares of Company common stock were converted into the right to receive a cash payment equal to the per share merger consideration of $3.00. Read SEC document |
| December 13, 2019 Filed Dec 13, 2019 16:17 UTC | Fibrocell Science, Inc. FCSC · Entity 153085 | Disposition to issuerOption to Purchase Common Stock · Derivative | 2,400 | Not disclosed Strike: $81.60 | Not disclosed |
DisclosureSEC source: 0001628280-19-015081 · wf-form4_157627181620899.xml · derivative · entry 4 Swirsky Douglas J · CIK 0001375884 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,400 shares Expires 2025-06-24 F1 · price: Pursuant to the Agreement and Plan of Merger, dated as of September 12, 2019 (the "Merger Agreement"), among Fibrocell Science, Inc. (the "Company"), Castle Creek Pharmaceutical Holdings, Inc. and Castle Creek Merger Corp., effective as of immediately prior to the effective time of the merger of the Company and Merger Sub, these shares of Company common stock were converted into the right to receive a cash payment equal to the per share merger consideration of $3.00. F1 · derivative.exercise_date: Pursuant to the Agreement and Plan of Merger, dated as of September 12, 2019 (the "Merger Agreement"), among Fibrocell Science, Inc. (the "Company"), Castle Creek Pharmaceutical Holdings, Inc. and Castle Creek Merger Corp., effective as of immediately prior to the effective time of the merger of the Company and Merger Sub, these shares of Company common stock were converted into the right to receive a cash payment equal to the per share merger consideration of $3.00. Read SEC document |
| December 13, 2019 Filed Dec 13, 2019 16:17 UTC | Fibrocell Science, Inc. FCSC · Entity 153085 | Disposition to issuerOptions to purchase common stock · Derivative | 1,200 | Not disclosed Strike: $62.10 | Not disclosed |
DisclosureSEC source: 0001628280-19-015081 · wf-form4_157627181620899.xml · derivative · entry 3 Swirsky Douglas J · CIK 0001375884 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,200 shares Expires 2024-06-20 F1 · price: Pursuant to the Agreement and Plan of Merger, dated as of September 12, 2019 (the "Merger Agreement"), among Fibrocell Science, Inc. (the "Company"), Castle Creek Pharmaceutical Holdings, Inc. and Castle Creek Merger Corp., effective as of immediately prior to the effective time of the merger of the Company and Merger Sub, these shares of Company common stock were converted into the right to receive a cash payment equal to the per share merger consideration of $3.00. F1 · derivative.exercise_date: Pursuant to the Agreement and Plan of Merger, dated as of September 12, 2019 (the "Merger Agreement"), among Fibrocell Science, Inc. (the "Company"), Castle Creek Pharmaceutical Holdings, Inc. and Castle Creek Merger Corp., effective as of immediately prior to the effective time of the merger of the Company and Merger Sub, these shares of Company common stock were converted into the right to receive a cash payment equal to the per share merger consideration of $3.00. Read SEC document |
| December 13, 2019 Filed Dec 13, 2019 16:17 UTC | Fibrocell Science, Inc. FCSC · Entity 153085 | Disposition to issuerOption to Purchase Common Stock · Derivative | 1,600 | Not disclosed Strike: $82.35 | Not disclosed |
DisclosureSEC source: 0001628280-19-015081 · wf-form4_157627181620899.xml · derivative · entry 2 Swirsky Douglas J · CIK 0001375884 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,600 shares Expires 2023-07-19 F1 · price: Pursuant to the Agreement and Plan of Merger, dated as of September 12, 2019 (the "Merger Agreement"), among Fibrocell Science, Inc. (the "Company"), Castle Creek Pharmaceutical Holdings, Inc. and Castle Creek Merger Corp., effective as of immediately prior to the effective time of the merger of the Company and Merger Sub, these shares of Company common stock were converted into the right to receive a cash payment equal to the per share merger consideration of $3.00. F1 · derivative.exercise_date: Pursuant to the Agreement and Plan of Merger, dated as of September 12, 2019 (the "Merger Agreement"), among Fibrocell Science, Inc. (the "Company"), Castle Creek Pharmaceutical Holdings, Inc. and Castle Creek Merger Corp., effective as of immediately prior to the effective time of the merger of the Company and Merger Sub, these shares of Company common stock were converted into the right to receive a cash payment equal to the per share merger consideration of $3.00. Read SEC document |
| December 13, 2019 Filed Dec 13, 2019 16:17 UTC | Fibrocell Science, Inc. FCSC · Entity 153085 | Disposition to issuerOption to Purchase Common Stock · Derivative | 534 | Not disclosed Strike: $56.25 | Not disclosed |
DisclosureSEC source: 0001628280-19-015081 · wf-form4_157627181620899.xml · derivative · entry 1 Swirsky Douglas J · CIK 0001375884 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 534 shares Expires 2023-03-04 F1 · price: Pursuant to the Agreement and Plan of Merger, dated as of September 12, 2019 (the "Merger Agreement"), among Fibrocell Science, Inc. (the "Company"), Castle Creek Pharmaceutical Holdings, Inc. and Castle Creek Merger Corp., effective as of immediately prior to the effective time of the merger of the Company and Merger Sub, these shares of Company common stock were converted into the right to receive a cash payment equal to the per share merger consideration of $3.00. F1 · derivative.exercise_date: Pursuant to the Agreement and Plan of Merger, dated as of September 12, 2019 (the "Merger Agreement"), among Fibrocell Science, Inc. (the "Company"), Castle Creek Pharmaceutical Holdings, Inc. and Castle Creek Merger Corp., effective as of immediately prior to the effective time of the merger of the Company and Merger Sub, these shares of Company common stock were converted into the right to receive a cash payment equal to the per share merger consideration of $3.00. Read SEC document |
| June 13, 2019 Filed Jun 14, 2019 20:31 UTC | Cellectar Biosciences, Inc. CLRB · Entity 7572 | GrantStock option (right to buy) · Derivative | 9,750 | $0.00 Strike: $2.15 | $0.00 |
DisclosureSEC source: 0001144204-19-031006 · tv523607_4.xml · derivative · entry 1 Swirsky Douglas J · CIK 0001375884 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,750 Underlying: Common Stock · 9,750 shares Expires 2029-06-13 F1 · derivative.exercise_date: Options vest on the one year anniversary of the date of grant. Read SEC document |
| June 12, 2019 Filed Jun 14, 2019 16:25 UTC | Fibrocell Science, Inc. FCSC · Entity 153085 | GrantOption to Purchase Common Stock · Derivative | 12,000 | Not disclosed Strike: $1.94 | Not disclosed |
DisclosureSEC source: 0001628280-19-008004 · wf-form4_156054393476617.xml · derivative · entry 1 Swirsky Douglas J · CIK 0001375884 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,000 Underlying: Common Stock · 12,000 shares Expires 2029-06-12 F2 · price: The options were issued in connection with the reporting person's service to the Company as a member of its Board of Directors. F1 · derivative.exercise_date: 50% of the shares vest and become exercisable on the earlier of (x) June 12, 2020 and (y) the date of the Company's 2020 Annual Meeting of Stockholders, and the remaining 50% of the shares vest and become exercisable on the earlier of (x) June 12, 2021 and (y) the date of the Company's 2021 Annual Meeting of Stockholders, in each case, subject to the grantee's continued service through the applicable vesting dates. Read SEC document |
| January 29, 2019 Filed Jan 30, 2019 12:32 UTC | Opus Genetics, Inc. RNN · Entity 5892 | PurchaseCommon Stock | 50,000 | $0.63 | $31,720.00 |
DisclosureSEC source: 0001140361-19-001802 · form4.xml · nonDerivative · entry 1 Swirsky Douglas J · CIK 0001375884 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 F1 · price: The price of $0.6344 per share represents a weighted average of purchase prices ranging from $0.6097 to $0.6386 per share. The reporting person undertakes to provide upon request by the Commission staff, the issuer, or any security holder of the issuer, full information regarding the number of shares purchased or sold at each separate price. Read SEC document |
| November 14, 2018 Filed Nov 16, 2018 21:54 UTC | Opus Genetics, Inc. RNN · Entity 5892 | GrantStock Option (right to buy) · Derivative | 500,000 | $0.00 Strike: $1.09 | $0.00 |
DisclosureSEC source: 0001140361-18-043286 · form4.xml · derivative · entry 1 Swirsky Douglas J · CIK 0001375884 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 500,000 Underlying: Common Stock · 500,000 shares Expires 2028-11-14 F1 · derivative.exercise_date: One quarter of the option vests and becomes exercisable on November 14, 2019, and, thereafter, 1/36th of the remaining option vests in equal installments on the first business day of each month following such date until fully vested. Read SEC document |
| October 12, 2018 Filed Oct 15, 2018 23:49 UTC | Cellectar Biosciences, Inc. CLRB · Entity 7572 | GrantStock option (right to buy) · Derivative | 19,500 | $0.00 Strike: $2.61 | $0.00 |
DisclosureSEC source: 0001144204-18-053878 · tv504843_form4.xml · derivative · entry 1 Swirsky Douglas J · CIK 0001375884 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,500 Underlying: Common Stock · 19,500 shares Expires 2028-10-12 F1 · derivative.exercise_date: This option grant was divided into a definitive grant of 6,150 shares, which vest in equal monthly installments over a seven month period from the grant date, and a contingent grant of 13,350 shares, which are subject to the following conditions: (i) approval by Cellectar's stockholders of an increase in shares available under the Amended and Restated 2015 Stock Incentive Plan at the Corporation's 2019 annual meeting of stockholders or other special meeting of stockholders called for such purpose; and (ii) to the extent stockholder approval is received, the contingent grant shall vest immediately upon such stockholder approval. Read SEC document |
| June 19, 2018 Filed Jun 21, 2018 16:07 UTC | Fibrocell Science, Inc. FCSC · Entity 153085 | GrantOption to Purchase Common Stock · Derivative | 6,000 | Not disclosed Strike: $2.36 | Not disclosed |
DisclosureSEC source: 0001628280-18-008176 · wf-form4_152961165477562.xml · derivative · entry 1 Swirsky Douglas J · CIK 0001375884 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,000 Underlying: Common Stock · 6,000 shares Expires 2028-06-19 F2 · price: The options were issued in connection with the reporting person's service to the Company as a member of its Board of Directors. F1 · derivative.exercise_date: 50% of the shares vest and become exercisable on the earlier of (x) June 19, 2019 and (y) the date of the Company's 2019 Annual Meeting of Stockholders, and the remaining 50% of the shares vest and become exercisable on the earlier of (x) June 19, 2020 and (y) the date of the Company's 2020 Annual Meeting of Stockholders, in each case, subject to the grantee's continued service through the applicable vesting dates. Read SEC document |
| May 22, 2018 Filed May 23, 2018 17:28 UTC | PERNIX THERAPEUTICS HOLDINGS, INC. PTX · Entity 161208 | GrantStock Option (right to buy) · Derivative | 25,000 | $0.00 Strike: $2.63 | $0.00 |
DisclosureSEC source: 0001136261-18-000143 · primary_doc.xml · derivative · entry 1 Swirsky Douglas J · CIK 0001375884 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 Underlying: Common Stock · 25,000 shares Expires 2028-05-21 F1 · derivative.exercise_date: The stock option vests in four equal annual installments of 6,250 shares over a four-year period, with the first installment vesting on May 22, 2019, which is the one-year anniversary of the grant date. Read SEC document |
| January 02, 2018 Filed Jan 4, 2018 21:56 UTC | Opus Genetics, Inc. RNN · Entity 5892 | GrantStock Option (right to buy) · Derivative | 250,000 | $0.00 Strike: $2.10 | $0.00 |
DisclosureSEC source: 0001140361-18-000861 · form4.xml · derivative · entry 1 Swirsky Douglas J · CIK 0001375884 · President and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 250,000 Underlying: Common Stock · 250,000 shares Expires 2028-01-02 F1 · derivative.exercise_date: One quarter of the option vests and becomes exercisable on January 2, 2019, and, thereafter, 1/36th of the remaining option vests in equal installments on the first business day of each month following such date until fully vested. Read SEC document |
| November 15, 2017 Filed Nov 17, 2017 14:23 UTC | PERNIX THERAPEUTICS HOLDINGS, INC. PTX · Entity 161208 | GrantStock Option (right to buy) · Derivative | 50,000 | $0.00 Strike: $2.97 | $0.00 |
DisclosureSEC source: 0001136261-17-000283 · primary_doc.xml · derivative · entry 1 Swirsky Douglas J · CIK 0001375884 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Stock · 50,000 shares Expires 2027-11-14 F1 · derivative.exercise_date: The stock option vests in four equal annual installments of 12,500 shares over a four-year period, with the first installment vesting on November 15, 2018, which is the one-year anniversary of the grant date. Read SEC document |
| June 22, 2017 Filed Jun 26, 2017 19:34 UTC | Fibrocell Science, Inc. FCSC · Entity 153085 | GrantOption to Purchase Common Stock · Derivative | 30,000 | Not disclosed Strike: $3.31 | Not disclosed |
DisclosureSEC source: 0001628280-17-006738 · wf-form4_149852008378559.xml · derivative · entry 1 Swirsky Douglas J · CIK 0001375884 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 Underlying: Common Stock · 30,000 shares Expires 2027-06-22 F2 · price: The options were issued in connection with the reporting person's service to the Company as a member of its Board of Directors. F1 · derivative.exercise_date: 50% of the shares vest and become exercisable on the earlier of (x) June 22, 2018 and (y) the date of the Company's 2018 Annual Meeting of Stockholders, and the remaining 50% of the shares vest and become exercisable on the earlier of (x) June 22, 2019 and (y) the date of the Company's 2019 Annual Meeting of Stockholders, in each case, subject to the grantee's continued service through the applicable vesting dates. Read SEC document |
| June 16, 2017 Filed Jun 20, 2017 16:33 UTC | GENVEC INC GNVC · Entity 175088 | Exercise / conversionStock Options (right to buy) · Derivative | 25,000 | $5.60 Strike: $5.60 | $140,000.00 |
DisclosureSEC source: 0001123292-17-001160 · edgar.xml · derivative · entry 4 Swirsky Douglas J · CIK 0001375884 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 25,000 shares Expires 2017-06-16 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. F5 · derivative.exercise_date: Pursuant to the Merger Agreement, the vesting date of unvested stock options accelerated to vest and become exercisable as of the closing of the merger. Read SEC document |
| June 16, 2017 Filed Jun 20, 2017 16:33 UTC | GENVEC INC GNVC · Entity 175088 | Disposition to issuerCommon Stock | 29,320 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001123292-17-001160 · edgar.xml · nonDerivative · entry 3 Swirsky Douglas J · CIK 0001375884 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F2 · shares: The shares of Common Stock were cancelled pursuant to the Agreement and Plan of Merger, dated January 24, 2017, among the Issuer, Intrexon Corporation ("Intrexon") and Intrexon GV Holding, Inc. (the "Merger Agreement") in exchange for (i) 8,708 shares of Intrexon common stock having a market value of $198,717 as of the close of trading on the date immediately prior to the effective date of the merger, and cash in lieu of fractional shares of Intrexon common stock, plus (ii) one contingent payment right (the "Merger Consideration"). F3 · shares: [footnote 2 continued] Each contingent payment right entitles the holder thereof to an amount equal to half of certain payments actually received by the registrant or its successor or any of their affiliates from or on behalf of Novartis Institutes for BioMedical Research, Inc. ("Novartis") under the Research Collaboration and License Agreement, dated January 13, 2010, as amended, between the registrant and Novartis, on account of milestone payments or royalties due in relation to the period ending June 16, 2019, divided by the number of shares of the regisrant's common stock having rights to the Merger Consideration, subject to any withholding of taxes required by applicable law. F4 · price: Disposed of pursuant to the Merger Agreement in exchange for the Merger Consideration. Read SEC document |
| June 16, 2017 Filed Jun 20, 2017 16:33 UTC | GENVEC INC GNVC · Entity 175088 | Exercise / conversionCommon Stock | 25,000 | $5.60 | $140,000.00 |
DisclosureSEC source: 0001123292-17-001160 · edgar.xml · nonDerivative · entry 1 Swirsky Douglas J · CIK 0001375884 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,250 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| May 31, 2017 Filed Jun 1, 2017 22:01 UTC | Cellectar Biosciences, Inc. CLRB · Entity 7572 | GrantStock option (right to buy) · Derivative | 10,000 | $0.00 Strike: $1.74 | $0.00 |
DisclosureSEC source: 0001144204-17-030679 · v468267_4.xml · derivative · entry 1 Swirsky Douglas J · CIK 0001375884 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Underlying: Common Stock · 10,000 shares Expires 2027-05-31 F1 · derivative.exercise_date: Options vest in equal annual increments over a period of three years from the date of grant. Read SEC document |
| September 16, 2016 Filed Sep 16, 2016 15:09 UTC | GENVEC INC GNVC · Entity 175088 | PurchaseCommon Stock | 10,000 | $0.50 | $5,000.00 |
DisclosureSEC source: 0001140361-16-080023 · doc1.xml · nonDerivative · entry 1 Swirsky Douglas J · CIK 0001375884 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 252,500 Read SEC document |
| June 16, 2016 Filed Jun 20, 2017 16:33 UTC | GENVEC INC GNVC · Entity 175088 | Tax withholdingCommon Stock | 20,930 | $7.19 | $150,486.70 |
DisclosureSEC source: 0001123292-17-001160 · edgar.xml · nonDerivative · entry 2 Swirsky Douglas J · CIK 0001375884 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,320 F1 · kind: Withholding of Common Stock to pay exercise price and to satisfy tax withholding obligations. 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.