Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Niagen Bioscience, Inc.CDXC · Entity 6146 | Director | June 17, 2021 | June 22, 2021 |
| OmniAb, Inc.OABI · Entity 5294 | Executive VP, Finance and CFO | April 07, 2026 | April 08, 2026 |
| SPECTRUM PHARMACEUTICALS INCSPPI · Entity 111009 | EVP & Chief Financial Officer | March 15, 2022 | March 16, 2022 |
| Xencor IncXNCR · Entity 4487 | Director | June 16, 2026 | July 08, 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.
Niagen Bioscience, Inc.
Report date June 17, 2021 · Filed June 22, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Options (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $9.99 · Expires 2031-06-16 | Direct | 20,000 |
Reported balance
After 2021-06-17 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2021-06-17 · Grant · Acquired 20,000 · Balance 20,000 F1: Options vest 100% on June 17, 2022 |
Filing footnotes · ownership attribution and instrument terms
F1: Options vest 100% on June 17, 2022
OmniAb, Inc.
Report date April 07, 2026 · Filed April 08, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 268,396 |
Reported balance
After 2026-04-07 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2026-04-07 · Exercise / conversion · Acquired 13,542 · Balance 268,396 F1: Represents the vesting of an RSU grant which occurs in three substantially equal annual installments beginning on April 7, 2024. F2: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock. F3: The total includes the transfer of 13,997 OABI common stock shares on March 11, 2026 to the reporting person's ex-spouse per a domestic relations order. |
| Common StockSEC Table I · non-derivative | Direct | 261,483 |
Reported balance
After 2026-04-07 transaction · row 2
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 2 · 2026-04-07 · Sale · Disposed 6,913 · Balance 261,483 F4: Represents the number of shares required to be sold by the reporting person to cover tax withholding obligations in connection with the vesting of RSUs. These sales are mandated by the Issuer's election under its equity incentive plans to require the satisfaction of a tax withholding obligation to be funded by a "sell-to-cover" transaction and do not represent discretionary trades by the reporting person. F5: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.46 to $1.53. The reporting person undertakes to provide 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. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 111,042 |
Reported balance
After 2026-04-07 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2026-04-07 · Exercise / conversion · Disposed 13,542 · Balance 111,042 F2: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock. F1: Represents the vesting of an RSU grant which occurs in three substantially equal annual installments beginning on April 7, 2024. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents the vesting of an RSU grant which occurs in three substantially equal annual installments beginning on April 7, 2024.
F2: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.
F3: The total includes the transfer of 13,997 OABI common stock shares on March 11, 2026 to the reporting person's ex-spouse per a domestic relations order.
F4: Represents the number of shares required to be sold by the reporting person to cover tax withholding obligations in connection with the vesting of RSUs. These sales are mandated by the Issuer's election under its equity incentive plans to require the satisfaction of a tax withholding obligation to be funded by a "sell-to-cover" transaction and do not represent discretionary trades by the reporting person.
F5: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.46 to $1.53. The reporting person undertakes to provide 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.
SPECTRUM PHARMACEUTICALS INC
Report date March 15, 2022 · Filed March 16, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, $0.001 par valueSEC Table I · non-derivative | Direct | 317,259 |
Ending reported balance
After 2022-03-16 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2022-03-15 · Sale · Disposed 20,653 · Balance 333,577 F1: All sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person for the purpose of satisfying tax withholding obligations in connection with restricted stock awards granted by the issuer. Row 2 · 2022-03-16 · Sale · Disposed 16,318 · Balance 317,259 F1: All sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person for the purpose of satisfying tax withholding obligations in connection with restricted stock awards granted by the issuer. |
| Common Stock, $0.001 par valueSEC Table I · non-derivative | IndirectBy 401(k) Plan | 11,840 |
Reported balance
Holding disclosure · report date 2022-03-15 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 11,840 |
Filing footnotes · ownership attribution and instrument terms
F1: All sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person for the purpose of satisfying tax withholding obligations in connection with restricted stock awards granted by the issuer.
Xencor Inc
Report date June 16, 2026 · Filed July 08, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 25,011 |
Reported balance
After 2026-06-16 transaction · row 1
1 source rowRow 1 · 2026-06-16 · Grant · Acquired 10,302 · Balance 25,011 F1: Represents restricted stock units that shall fully vest on the first anniversary of the date of grant. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $12.20 · Expires 2036-06-15 | Direct | 20,604 |
Reported balance
After 2026-06-16 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2026-06-16 · Grant · Acquired 20,604 · Balance 20,604 F2: The shares subject to the option will vest in equal monthly installments over one year beginning on the one-month anniversary of June 16, 2026, such that the total number of shares will be fully vested on June 16, 2027. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents restricted stock units that shall fully vest on the first anniversary of the date of grant.
F2: The shares subject to the option will vest in equal monthly installments over one year beginning on the one-month anniversary of June 16, 2026, such that the total number of shares will be fully vested on June 16, 2027.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
OmniAb Operations, Inc.
Report date November 01, 2022 · Filed November 04, 2022
Section 16 reporting ended · disclosed 2022-11-04. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Ending reported balance
After 2022-11-01 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2022-11-01 · Grant · Acquired 17,792 · Balance 17,792 F1: Includes 14,234 restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock and does not expire. Row 2 · 2022-11-01 · Disposition to issuer · Disposed 17,792 · Balance 0 F2: Pursuant to the business combination of Avista Public Acquisition Corp. II (after consummation of the transaction contemplated here, "New OmniAb") and the Issuer, as contemplated by an agreement and plan of merger, dated March 23, 2022 (the "Merger Agreement"), each share of common stock, option and award of restricted stock unit of the Issuer will automatically convert into the right to receive securities of New OmniAb with the same terms and conditions in accordance with exchange ratios described in the Merger Agreement. |
| Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $60.68 · Expires 2032-04-08 | Direct | 71,174 |
Reported balance
After 2022-11-01 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2022-11-01 · Grant · Acquired 71,174 · Balance 71,174 F3: The stock option vests and is exercisable as to 12.5% of the underlying shares on October 8, 2022, and in 42 substantially equal monthly installments thereafter. |
| Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $60.68 · Expires 2032-04-08 | Direct | 0 |
Reported balance
After 2022-11-01 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2022-11-01 · Disposition to issuer · Disposed 71,174 · Balance 0 F2: Pursuant to the business combination of Avista Public Acquisition Corp. II (after consummation of the transaction contemplated here, "New OmniAb") and the Issuer, as contemplated by an agreement and plan of merger, dated March 23, 2022 (the "Merger Agreement"), each share of common stock, option and award of restricted stock unit of the Issuer will automatically convert into the right to receive securities of New OmniAb with the same terms and conditions in accordance with exchange ratios described in the Merger Agreement. F3: The stock option vests and is exercisable as to 12.5% of the underlying shares on October 8, 2022, and in 42 substantially equal monthly installments thereafter. |
Filing footnotes · ownership attribution and instrument terms
F1: Includes 14,234 restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock and does not expire.
F2: Pursuant to the business combination of Avista Public Acquisition Corp. II (after consummation of the transaction contemplated here, "New OmniAb") and the Issuer, as contemplated by an agreement and plan of merger, dated March 23, 2022 (the "Merger Agreement"), each share of common stock, option and award of restricted stock unit of the Issuer will automatically convert into the right to receive securities of New OmniAb with the same terms and conditions in accordance with exchange ratios described in the Merger Agreement.
F3: The stock option vests and is exercisable as to 12.5% of the underlying shares on October 8, 2022, and in 42 substantially equal monthly installments thereafter.
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 |
|---|---|---|---|---|---|---|
| March 29, 2019 Filed Apr 1, 2019 18:14 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | SaleCommon Stock, $0.001 | 5,974 | $10.65 | $63,623.10 |
DisclosureSEC source: 0001209191-19-022062 · doc4.xml · nonDerivative · entry 1 GUSTAFSON KURT A · CIK 0001462354 · EVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 240,740 F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person for the purpose of satisfying tax withholding obligations in connection with restricted stock awards granted by the issuer. Read SEC document |
| March 26, 2019 Filed Mar 27, 2019 18:35 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | SaleCommon Stock, $0.001 | 926 | $9.90 | $9,167.40 |
DisclosureSEC source: 0001209191-19-021483 · doc4.xml · nonDerivative · entry 1 GUSTAFSON KURT A · CIK 0001462354 · EVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 246,714 F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person for the purpose of satisfying tax withholding obligations in connection with restricted stock awards granted by the issuer. Read SEC document |
| March 25, 2019 Filed Mar 25, 2019 17:51 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | SaleCommon Stock, $0.001 | 3,797 | $9.46 | $35,931.01 |
DisclosureSEC source: 0001209191-19-021208 · doc4.xml · nonDerivative · entry 1 GUSTAFSON KURT A · CIK 0001462354 · EVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 247,640 F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person for the purpose of satisfying tax withholding obligations in connection with restricted stock awards granted by the issuer. F2 · balance_after: Since the date of the reporting person's last ownership report, he transferred 5,459 shares of the Company's common stock to his ex-wife pursuant to a domestic relations order. The reporting person no longer reports as beneficially owned any securities owned by his ex-wife. Read SEC document |
| February 18, 2019 Filed Feb 20, 2019 17:46 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | GrantStock Option (Right to Buy) · Derivative | 90,000 | $0.00 Strike: $11.71 | $0.00 |
DisclosureSEC source: 0001209191-19-011737 · doc4.xml · derivative · entry 3 GUSTAFSON KURT A · CIK 0001462354 · EVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 90,000 Underlying: Common Stock · 90,000 shares Expires 2029-02-18 F2 · derivative.exercise_date: 25% of the option shares vested on February 18, 2019. The remaining option shares shall vest in 25% equal annual amounts on each anniversary date of the grant over three years. Read SEC document |
| February 18, 2019 Filed Feb 20, 2019 17:46 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | GrantCommon Stock, $0.001 par value | 40,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-011737 · doc4.xml · nonDerivative · entry 1 GUSTAFSON KURT A · CIK 0001462354 · EVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 256,896 F1 · shares: One third of the aggregate amount of restricted shares shall vest on each of February 18, 2020, 2021 and 2022, respectively. Read SEC document |
| January 16, 2019 Filed Jan 18, 2019 17:59 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | SaleCommon Stock, $0.001 | 3,207 | $10.44 | $33,471.46 |
DisclosureSEC source: 0001209191-19-004600 · doc4.xml · nonDerivative · entry 1 GUSTAFSON KURT A · CIK 0001462354 · EVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 216,896 F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person for the purpose of satisfying tax withholding obligations in connection with restricted stock awards granted by the issuer. Read SEC document |
| January 11, 2019 Filed Jan 11, 2019 18:27 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | SaleCommon Stock, $0.001 | 33,692 | $10.87 | $366,333.12 |
DisclosureSEC source: 0001209191-19-003468 · doc4.xml · nonDerivative · entry 2 GUSTAFSON KURT A · CIK 0001462354 · EVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 220,103 F2 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person for the purpose of satisfying tax withholding obligations in connection with performance restricted stock units granted by the issuer. F3 · balance_after: Since the date of the reporting person's last ownership report, he transferred 32,262 shares of the Company's common stock to his ex-wife pursuant to a domestic relations order. The reporting person no longer reports as beneficially owned any securities owned by his ex-wife. Read SEC document |
| January 09, 2019 Filed Jan 11, 2019 18:27 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | GrantCommon Stock, $0.001 | 100,326 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-003468 · doc4.xml · nonDerivative · entry 1 GUSTAFSON KURT A · CIK 0001462354 · EVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 253,795 F1 · shares: The shares of common stock reported herein as a result of the determination by the Compensation Committee that applicable performance criteria have been satisfied pursuant to the terms of Mr. Gustafson's award agreement. Read SEC document |
| June 26, 2018 Filed Jun 27, 2018 22:09 UTC | Xencor Inc XNCR · Entity 4487 | GrantStock Option (Right to Buy) · Derivative | 7,500 | $0.00 Strike: $38.93 | $0.00 |
DisclosureSEC source: 0001209191-18-039701 · doc4.xml · derivative · entry 1 GUSTAFSON KURT A · CIK 0001462354 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,500 Underlying: Common Stock · 7,500 shares Expires 2028-06-25 F1 · derivative.exercise_date: The shares subject to the option will vest in equal monthly installments over one year beginning on the one-month anniversary of June 26, 2018, such that the total number of shares will be fully vested on June 26, 2019. Read SEC document |
| June 22, 2018 Filed Jun 27, 2018 00:16 UTC | Niagen Bioscience, Inc. CDXC · Entity 6146 | GrantStock Options (right to buy) · Derivative | 20,000 | $0.00 Strike: $3.83 | $0.00 |
DisclosureSEC source: 0001415889-18-001039 · form4-06262018_050655.xml · derivative · entry 1 GUSTAFSON KURT A · CIK 0001462354 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2028-06-22 F1 · derivative.exercise_date: Options vest 100% on June 22, 2019. Read SEC document |
| March 28, 2018 Filed Mar 28, 2018 17:05 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | SaleCommon Stock, $0.001 | 4,350 | $16.35 | $71,122.50 |
DisclosureSEC source: 0001209191-18-021935 · doc4.xml · nonDerivative · entry 1 GUSTAFSON KURT A · CIK 0001462354 · EVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 187,193 F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person for the purpose of satisfying tax withholding obligations in connection with restricted stock awards granted by the issuer. Read SEC document |
| March 26, 2018 Filed Mar 27, 2018 18:33 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | SaleCommon Stock, $0.001 | 1,300 | $17.38 | $22,594.00 |
DisclosureSEC source: 0001209191-18-021824 · doc4.xml · nonDerivative · entry 1 GUSTAFSON KURT A · CIK 0001462354 · EVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 191,543 F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person for the purpose of satisfying tax withholding obligations in connection with restricted stock awards granted by the issuer. Read SEC document |
| March 22, 2018 Filed Mar 23, 2018 18:36 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | SaleCommon Stock, $0.001 | 2,640 | $18.13 | $47,868.22 |
DisclosureSEC source: 0001209191-18-021554 · doc4.xml · nonDerivative · entry 1 GUSTAFSON KURT A · CIK 0001462354 · EVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 192,843 F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person for the purpose of satisfying tax withholding obligations in connection with restricted stock awards granted by the issuer. Read SEC document |
| January 15, 2018 Filed Jan 19, 2018 16:21 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | GrantStock Option (Right to Buy) · Derivative | 87,500 | $0.00 Strike: $19.42 | $0.00 |
DisclosureSEC source: 0001209191-18-004550 · doc4.xml · derivative · entry 3 GUSTAFSON KURT A · CIK 0001462354 · EVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 87,500 Underlying: Common Stock · 87,500 shares Expires 2028-01-15 F2 · derivative.exercise_date: 25% of the option shares vested on January 15, 2018. The remaining option shares shall vest in 25% equal annual amounts on each anniversary date of the grant over three years. Read SEC document |
| January 15, 2018 Filed Jan 19, 2018 16:21 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | GrantCommon Stock, $0.001 par value | 19,445 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-004550 · doc4.xml · nonDerivative · entry 1 GUSTAFSON KURT A · CIK 0001462354 · EVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 195,483 F1 · shares: One third of the aggregate amount of restricted shares shall vest on each of January 15, 2019, 2020 and 2021, respectively. Read SEC document |
| June 22, 2017 Filed Jun 26, 2017 22:56 UTC | Xencor Inc XNCR · Entity 4487 | GrantStock Option (Right to Buy) · Derivative | 7,500 | $0.00 Strike: $22.20 | $0.00 |
DisclosureSEC source: 0001209191-17-041871 · doc4.xml · derivative · entry 1 GUSTAFSON KURT A · CIK 0001462354 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,500 Underlying: Common Stock · 7,500 shares Expires 2027-06-21 F1 · derivative.exercise_date: The shares subject to the option will vest in equal monthly installments over one year beginning on the one-month anniversary of June 22, 2017, such that the total number of shares will be fully vested on June 22, 2018. Read SEC document |
| June 20, 2017 Filed Jul 5, 2017 20:35 UTC | Niagen Bioscience, Inc. CDXC · Entity 6146 | GrantStock Options (right to buy) · Derivative | 20,000 | $0.00 Strike: $3.59 | $0.00 |
DisclosureSEC source: 0001415889-17-001113 · form4-07052017_010745.xml · derivative · entry 1 GUSTAFSON KURT A · CIK 0001462354 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2027-06-20 F1 · derivative.exercise_date: Options vest 100% on June 20, 2018. Read SEC document |
| June 03, 2017 Filed Jun 5, 2017 19:18 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | Tax withholdingCommon Stock, $0.001 par value | 9,395 | $5.96 | $55,994.20 |
DisclosureSEC source: 0001209191-17-037968 · doc4.xml · nonDerivative · entry 1 GUSTAFSON KURT A · CIK 0001462354 · EVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 171,393 F1 · shares: Represents shares withheld by Spectrum to satisfy the Reporting Person's tax withholding obligations. The shares have not been sold by the Reporting Person or by Spectrum. The shares have been cancelled by the transfer agent. Read SEC document |
| March 28, 2017 Filed Mar 30, 2017 18:52 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | GrantStock Option (Right to Buy) · Derivative | 116,959 | $0.00 Strike: $6.69 | $0.00 |
DisclosureSEC source: 0001209191-17-023727 · doc4.xml · derivative · entry 4 GUSTAFSON KURT A · CIK 0001462354 · EVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 116,959 Underlying: Common Stock · 116,959 shares Expires 2027-03-28 F3 · derivative.exercise_date: 25% of the option shares vested on March 28, 2017. The remaining option shares shall vest in 25% equal annual amounts on each anniversary date of the grant over three years. Read SEC document |
| March 28, 2017 Filed Mar 30, 2017 18:52 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | Tax withholdingCommon Stock, $0.001 par value | 4,713 | $6.69 | $31,529.97 |
DisclosureSEC source: 0001209191-17-023727 · doc4.xml · nonDerivative · entry 2 GUSTAFSON KURT A · CIK 0001462354 · EVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 180,788 F2 · shares: Represents shares withheld by Spectrum to satisfy Reporting Person's tax withholding obligations. The shares have not been sold by the Reporting Person or by Spectrum. The shares have been cancelled by the transfer agent. Read SEC document |
| March 28, 2017 Filed Mar 30, 2017 18:52 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | GrantCommon Stock, $0.001 par value | 50,163 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-023727 · doc4.xml · nonDerivative · entry 1 GUSTAFSON KURT A · CIK 0001462354 · EVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 185,501 F1 · shares: 25% of the restricted shares vested on March 28, 2017. The remaining restricted shares shall vest in 25% equal annual amounts on each anniversary date of the grant over three years. Read SEC document |
| March 25, 2017 Filed Mar 28, 2017 20:02 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | Tax withholdingCommon Stock, $0.001 par value | 1,410 | $6.61 | $9,320.10 |
DisclosureSEC source: 0001209191-17-023212 · doc4.xml · nonDerivative · entry 1 GUSTAFSON KURT A · CIK 0001462354 · EVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 135,338 F1 · shares: Represents restricted shares withheld by Spectrum to satisfy Reporting Person's tax withholding obligations. The shares have not been sold by the Reporting Person or by Spectrum. The shares have been cancelled by the transfer agent. Read SEC document |
| March 22, 2017 Filed Mar 24, 2017 16:49 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | Tax withholdingCommon Stock, $0.001 | 2,819 | $6.42 | $18,097.98 |
DisclosureSEC source: 0001209191-17-022774 · doc4.xml · nonDerivative · entry 1 GUSTAFSON KURT A · CIK 0001462354 · EVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 136,748 F1 · shares: Represents restricted shares withheld by Spectrum to satisfy Reporting Person's tax withholding obligations. The shares have not been sold by the Reporting Person or by Spectrum. The shares have been cancelled by the transfer agent. Read SEC document |
| February 18, 2017 Filed Feb 22, 2017 17:18 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | Tax withholdingCommon Stock, $0.001 par value | 2,471 | $5.91 | $14,603.61 |
DisclosureSEC source: 0001209191-17-013409 · doc4.xml · nonDerivative · entry 1 GUSTAFSON KURT A · CIK 0001462354 · EVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 139,567 F1 · shares: Represents shares withheld by Spectrum to satisfy the Reporting Person's tax withholding obligations. The shares have not been sold by the Reporting Person or by Spectrum. The shares have been cancelled by the transfer agent. Read SEC document |
| November 14, 2016 Filed Nov 16, 2016 21:16 UTC | Niagen Bioscience, Inc. CDXC · Entity 6146 | GrantEmployee Stock Options (right to buy) · Derivative | 40,000 | $0.00 Strike: $2.88 | $0.00 |
DisclosureSEC source: 0001415889-16-007441 · form4-11162016_011148.xml · derivative · entry 1 GUSTAFSON KURT A · CIK 0001462354 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Stock · 40,000 shares Expires 2026-11-14 F1 · derivative.exercise_date: Options vest 34% on November 14, 2017, 33% on November 14, 2018 and 33% on November 14, 2019. Read SEC document |
| June 23, 2016 Filed Mar 4, 2021 01:00 UTC Amendment | Xencor Inc XNCR · Entity 4487 | GrantStock Options · Derivative | 7,500 | $0.00 Strike: $14.43 | $0.00 |
DisclosureSEC source: 0001415889-21-001295 · form4a-03032021_080315.xml · derivative · entry 1 GUSTAFSON KURT A · CIK 0001462354 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,500 Underlying: Common Stock · 7,500 shares Expires 2026-06-22 F1 · derivative.exercise_price: The initial filing incorrectly listed the exercise price at $14.83 per share due to an administrative error. F2 · derivative.exercise_date: 100% of the shares subject to the option vest on June 23, 2017. 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.