Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ACHIEVE LIFE SCIENCES, INC.ACHV · Entity 5072 | Director | May 31, 2022 | June 01, 2022 |
| BioCardia, Inc.BCDA · Entity 7752 | Director | July 06, 2026 | July 08, 2026 |
| PREDICTIVE TECHNOLOGY GROUP, INC.PRED · Entity 140300 | Director | February 28, 2019 | April 12, 2019 |
| PUMA BIOTECHNOLOGY, INC.PBYI · Entity 5478 | Director | June 11, 2026 | June 16, 2026 |
| Sintx Technologies, Inc.SINT · Entity 8004 | Director | February 23, 2026 | February 25, 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.
ACHIEVE LIFE SCIENCES, INC.
Report date May 31, 2022 · Filed June 01, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $6.90 · Expires 2032-05-31 | Direct | 4,400 |
Reported balance
After 2022-05-31 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2022-05-31 · Grant · Acquired 4,400 · Balance 4,400 F1: The options vest 100% on the earlier of May 31, 2023 or the date immediately prior to the Issuer's next annual meeting of stockholders. |
Filing footnotes · ownership attribution and instrument terms
F1: The options vest 100% on the earlier of May 31, 2023 or the date immediately prior to the Issuer's next annual meeting of stockholders.
BioCardia, Inc.
Report date July 06, 2026 · Filed July 08, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.20 · Expires 2036-07-06 | Direct | 23,573 |
Reported balance
After 2026-07-06 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-07-06 · Grant · Acquired 8,000 · Balance 23,573 F1: One hundred percent of the shares are subject to the option vesting and becoming exercisable on the one-year anniversary of the date of grant, subject to the Reporting Person continuing as a service provider through such date. |
Filing footnotes · ownership attribution and instrument terms
F1: One hundred percent of the shares are subject to the option vesting and becoming exercisable on the one-year anniversary of the date of grant, subject to the Reporting Person continuing as a service provider through such date.
PREDICTIVE TECHNOLOGY GROUP, INC.
Report date February 28, 2019 · Filed April 12, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $2.07 · Expires 2029-04-09 | Direct | Not disclosed |
Reported balance
Holding disclosure · report date 2019-02-28 · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · Balance Not disclosed F1: Options exercisable for 83,333 shares become exercisable on April 09, 2020, options exercisable for 83,333 shares become exercisable on April 09, 2021 and options exercisable for 83,333 shares become exercisable on April 09, 2022. |
Filing footnotes · ownership attribution and instrument terms
F1: Options exercisable for 83,333 shares become exercisable on April 09, 2020, options exercisable for 83,333 shares become exercisable on April 09, 2021 and options exercisable for 83,333 shares become exercisable on April 09, 2022.
PUMA BIOTECHNOLOGY, INC.
Report date June 11, 2026 · Filed June 16, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 58,322 |
Ending reported balance
After 2026-06-12 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2026-06-11 · Grant · Acquired 27,000 · Balance 80,322 F1: Represents Restricted Stock Units which vest in full on the earlier of the one-year anniversary of the date of grant and the date of the annual shareholder meeting following the date of grant, subject to the Reporting Person's continued service with the Issuer. Row 2 · 2026-06-12 · Sale · Disposed 22,000 · Balance 58,322 F2: Adoption date of referenced 10b5-1(c) plan is: 03-12-2025 F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.98 to $7.32, 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 ranges set forth in this footnote. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents Restricted Stock Units which vest in full on the earlier of the one-year anniversary of the date of grant and the date of the annual shareholder meeting following the date of grant, subject to the Reporting Person's continued service with the Issuer.
F2: Adoption date of referenced 10b5-1(c) plan is: 03-12-2025
F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.98 to $7.32, 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 ranges set forth in this footnote.
Sintx Technologies, Inc.
Report date February 23, 2026 · Filed February 25, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 4,000 |
Reported balance
After 2026-02-23 transaction · row 1
1 source rowRow 1 · 2026-02-23 · Purchase · Acquired 1,000 · Balance 4,000 |
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
SERA PROGNOSTICS, INC.
Report date June 07, 2023 · Filed June 07, 2023
Section 16 reporting ended · disclosed 2023-06-07. Current position is not established by this disclosure.
No balance rows disclosed in this filing.
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 06, 2026 Filed Jul 8, 2026 01:44 UTC | BioCardia, Inc. BCDA · Entity 7752 | GrantStock Option (right to buy) · Derivative | 8,000 | $0.00 Strike: $1.20 | $0.00 |
DisclosureSEC source: 0001437749-26-022963 · rdgdoc.xml · derivative · entry 1 MOYES JAY M · CIK 0001191062 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 23,573 Underlying: Common stock · 8,000 shares Expires 2036-07-06 F1 · derivative.exercise_date: One hundred percent of the shares are subject to the option vesting and becoming exercisable on the one-year anniversary of the date of grant, subject to the Reporting Person continuing as a service provider through such date. Read SEC document |
| June 12, 2026 Filed Jun 16, 2026 00:10 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | SaleCommon Stock | 22,000 | $7.22 | $158,796.00 |
DisclosureSEC source: 0001437749-26-020704 · rdgdoc.xml · nonDerivative · entry 2 MOYES JAY M · CIK 0001191062 · Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 58,322 F2 · kind: Adoption date of referenced 10b5-1(c) plan is: 03-12-2025 F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.98 to $7.32, 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 ranges set forth in this footnote. Read SEC document |
| June 11, 2026 Filed Jun 16, 2026 00:10 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | GrantCommon Stock | 27,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-26-020704 · rdgdoc.xml · nonDerivative · entry 1 MOYES JAY M · CIK 0001191062 · Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 80,322 F1 · price: Represents Restricted Stock Units which vest in full on the earlier of the one-year anniversary of the date of grant and the date of the annual shareholder meeting following the date of grant, subject to the Reporting Person's continued service with the Issuer. Read SEC document |
| February 23, 2026 Filed Feb 25, 2026 14:00 UTC | Sintx Technologies, Inc. SINT · Entity 8004 | PurchaseCommon Stock | 1,000 | $2.91 | $2,910.00 |
DisclosureSEC source: 0001493152-26-007964 · ownership.xml · nonDerivative · entry 1 MOYES JAY M · CIK 0001191062 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 4,000 Read SEC document |
| December 08, 2025 Filed Dec 11, 2025 02:52 UTC | BioCardia, Inc. BCDA · Entity 7752 | GrantStock Option (right to buy) · Derivative | 12,000 | $0.00 Strike: $1.37 | $0.00 |
DisclosureSEC source: 0001437749-25-037471 · rdgdoc.xml · derivative · entry 1 MOYES JAY M · CIK 0001191062 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 15,573 Underlying: Common Stock · 12,000 shares Expires 2035-12-08 F1 · derivative.exercise_date: One hundred percent of the shares are subject to the option vesting and becoming exercisable on the one-year anniversary of the date of grant, subject to the Reporting Person continuing as a service provider through such date. Read SEC document |
| August 26, 2025 Filed Aug 27, 2025 12:00 UTC | Sintx Technologies, Inc. SINT · Entity 8004 | PurchaseCommon Stock | 3,000 | $3.59 | $10,756.20 |
DisclosureSEC source: 0001493152-25-012367 · ownership.xml · nonDerivative · entry 1 MOYES JAY M · CIK 0001191062 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 3,000 Read SEC document |
| June 13, 2025 Filed Jun 17, 2025 23:46 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | SaleCommon Stock | 22,000 | $3.40 | $74,800.00 |
DisclosureSEC source: 0001437749-25-020715 · rdgdoc.xml · nonDerivative · entry 1 MOYES JAY M · CIK 0001191062 · Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 53,322 F1 · kind: Adoption date of referenced 10b5-1(c) plan is: 03/12/2025 F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.34 to $3.49, 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 ranges set forth in this footnote. Read SEC document |
| June 11, 2025 Filed Jun 14, 2025 00:16 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | GrantCommon Stock | 27,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-25-020361 · rdgdoc.xml · nonDerivative · entry 1 MOYES JAY M · CIK 0001191062 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 75,322 F1 · price: Represents Restricted Stock Units which vest in full on the earlier of the one-year anniversary of the date of grant and the date of the annual shareholder meeting following the date of grant, subject to the Reporting Person's continued service with the Issuer. Read SEC document |
| October 11, 2024 Filed Oct 17, 2024 01:55 UTC | BioCardia, Inc. BCDA · Entity 7752 | GrantStock Option (right to buy) · Derivative | 829 | $0.00 Strike: $2.65 | $0.00 |
DisclosureSEC source: 0001437749-24-031409 · rdgdoc.xml · derivative · entry 1 MOYES JAY M · CIK 0001191062 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 3,573 Underlying: Common stock · 829 shares Expires 2034-10-11 F1 · derivative.exercise_date: One hundred percent of the shares subject to the option vest and become exercisable on the one-year anniversary of the date of grant, subject to the Reporting Person continuing as a service provider through such date. Read SEC document |
| June 18, 2024 Filed Jun 22, 2024 01:19 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | GrantCommon Stock | 27,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-24-021016 · rdgdoc.xml · nonDerivative · entry 1 MOYES JAY M · CIK 0001191062 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 48,322 F1 · price: Represents Restricted Stock Units which vest in full on the earlier of the one-year anniversary of the date of grant and the date of the annual shareholder meeting following the date of grant, subject to the Reporting Person's continued service with the Issuer. Read SEC document |
| June 13, 2024 Filed Jun 17, 2024 23:21 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | SaleCommon Stock | 22,000 | $3.34 | $73,466.80 |
DisclosureSEC source: 0001437749-24-020568 · rdgdoc.xml · nonDerivative · entry 1 MOYES JAY M · CIK 0001191062 · Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 21,322 F1 · kind: Adoption date of referenced 10b5-1(c) sell to cover program is: 12-17-2023. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.3001 to $3.5401, 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 purchased at each separate price within the ranges set forth in this footnote. Read SEC document |
| October 18, 2023 Filed Oct 19, 2023 21:03 UTC | BioCardia, Inc. BCDA;BCDAW · Entity 7752 | GrantStock Option (right to buy) · Derivative | 12,434 | $0.00 Strike: $0.40 | $0.00 |
DisclosureSEC source: 0001437749-23-028621 · rdgdoc.xml · derivative · entry 1 MOYES JAY M · CIK 0001191062 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 41,233 Underlying: Common stock · 12,434 shares Expires 2033-10-18 F1 · derivative.exercise_date: One hundred percent of the shares subject to the option vest and become exercisable on the one-year anniversary of the date of grant, subject to the Reporting Person continuing as a service provider through such date. Read SEC document |
| June 13, 2023 Filed Jun 16, 2023 01:10 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | GrantCommon Stock | 27,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-23-017610 · rdgdoc.xml · nonDerivative · entry 2 MOYES JAY M · CIK 0001191062 · Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 43,322 F3 · price: Represents Restricted Stock Units which vest in full on the earlier of the one-year anniversary of the date of grant and the date of the annual shareholder meeting following the date of grant, subject to the Reporting Person's continued service with the Issuer. Read SEC document |
| June 13, 2023 Filed Jun 16, 2023 01:10 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | SaleCommon Stock | 22,000 | $3.45 | $75,970.40 |
DisclosureSEC source: 0001437749-23-017610 · rdgdoc.xml · nonDerivative · entry 1 MOYES JAY M · CIK 0001191062 · Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 16,322 F1 · kind: Adoption date of referenced 10b5-1(c) sell to cover program is: 12-16-2022. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.42 to $3.48, 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 purchased at each separate price within the ranges set forth in this footnote. Read SEC document |
| March 06, 2023 Filed Mar 8, 2023 00:50 UTC | SERA PROGNOSTICS, INC. SERA · Entity 304 | GrantStock Option (right to buy) · Derivative | 51,800 | $0.00 Strike: $3.80 | $0.00 |
DisclosureSEC source: 0001534969-23-000017 · wf-form4_167823660648362.xml · derivative · entry 2 MOYES JAY M · CIK 0001191062 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,800 Underlying: Class A Common Stock · 51,800 shares Expires 2033-03-06 F2 · derivative.exercise_date: These stock options vest over four years as follows: 1/48 of the original grant amount vests in monthly installments for four years following the vesting commencement date, which is March 6, 2023, subject to the reporting person continuing to provide services to the issuer. Read SEC document |
| March 06, 2023 Filed Mar 8, 2023 00:50 UTC | SERA PROGNOSTICS, INC. SERA · Entity 304 | GrantClass A Common Stock | 32,800 | $0.00 | $0.00 |
DisclosureSEC source: 0001534969-23-000017 · wf-form4_167823660648362.xml · nonDerivative · entry 1 MOYES JAY M · CIK 0001191062 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,630 F1 · shares: Each share is represented by a restricted stock unit ("RSU"). These RSUs vest over four years as follows: 1/4 of the original grant amount vests in annual installments for four years following the vesting commencement date, which is March 6, 2023, subject to the reporting person continuing to provide services to the issuer. Read SEC document |
| June 16, 2022 Filed Jun 21, 2022 23:05 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | SaleCommon Stock | 22,858 | $2.64 | $60,370.26 |
DisclosureSEC source: 0001437749-22-015524 · rdgdoc.xml · nonDerivative · entry 1 MOYES JAY M · CIK 0001191062 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,322 F1 · shares: These shares were sold pursuant to a Rule 10b5-1 trading plan. F2 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.554 to $2.74, 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 price. Read SEC document |
| June 14, 2022 Filed Jun 17, 2022 20:22 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | GrantCommon Stock | 27,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-22-015294 · rdgdoc.xml · nonDerivative · entry 1 MOYES JAY M · CIK 0001191062 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,180 F1 · shares: Represents Restricted Stock Units which vest in full on the earlier of the one-year anniversary of the date of grant and the date of the annual shareholder meeting following the date of grant, subject to the Reporting Person's continued service with the Issuer. Read SEC document |
| June 10, 2022 Filed Sep 30, 2022 21:03 UTC | BioCardia, Inc. BCDA;BCDAW · Entity 7752 | GrantStock Option (right to buy) · Derivative | 12,434 | $0.00 Strike: $1.44 | $0.00 |
DisclosureSEC source: 0001437749-22-023326 · rdgdoc.xml · derivative · entry 1 MOYES JAY M · CIK 0001191062 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,789 Underlying: Common stock · 12,434 shares Expires 2032-06-10 F1 · derivative.exercise_date: One hundred percent of the shares subject to the option vest and become exercisable on the one-year anniversary of the date of grant. Read SEC document |
| May 31, 2022 Filed Jun 1, 2022 20:07 UTC | ACHIEVE LIFE SCIENCES, INC. ACHV · Entity 5072 | GrantStock Option (right to buy) · Derivative | 4,400 | $0.00 Strike: $6.90 | $0.00 |
DisclosureSEC source: 0001209191-22-033132 · doc4.xml · derivative · entry 1 MOYES JAY M · CIK 0001191062 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,400 Underlying: Common Stock · 4,400 shares Expires 2032-05-31 F1 · derivative.exercise_date: The options vest 100% on the earlier of May 31, 2023 or the date immediately prior to the Issuer's next annual meeting of stockholders. Read SEC document |
| March 23, 2022 Filed Mar 25, 2022 20:34 UTC | SERA PROGNOSTICS, INC. SERA · Entity 304 | GrantStock Option (right to buy) · Derivative | 168,275 | $0.00 Strike: $3.75 | $0.00 |
DisclosureSEC source: 0001534969-22-000019 · wf-form4_164824040790992.xml · derivative · entry 1 MOYES JAY M · CIK 0001191062 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 168,275 Underlying: Class A Common Stock · 168,275 shares Expires 2032-03-23 F1 · derivative.exercise_date: These stock options vest over four years beginning on the grant date of March 23, 2022 as follows: 15% of the original grant amount vests in equal monthly installments over the first year following the grant date, 20% of the original grant amount vests in equal monthly installments over the second year following the grant date, 25% of the original grant amount vests in equal monthly installments over the third year following the grant date, and 40% of the original grant amount vests in equal monthly installments over the fourth year following the grant date, subject to the reporting person continuing to provide services to the issuer. Read SEC document |
| July 19, 2021 Filed Jul 21, 2021 22:02 UTC | SERA PROGNOSTICS, INC. SERA · Entity 304 | ConversionSeries B-1 Preferred Stock · Derivative | 375 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-094520 · tm2122781-4_4seq1.xml · derivative · entry 4 MOYES JAY M · CIK 0001191062 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 375 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: The Issuer's Series B-1 Preferred Stock is convertible at the option of a holder at any time into shares of the Issuer's Class A Common Stock at a conversion price, as adjusted to reflect the Issuer's recent 1-for-0.481 reverse stock split, of $5.20 per share. The Series B-1 Preferred Stock has no expiration date. F3 · derivative.exercise_date: The shares of preferred stock automatically converted into the Issuer's Class A Common Stock in accordance with the Issuer's Restated Certificate of Incorporation, as amended, immediately upon completion of the Issuer's initial public offering, which became effective on July 19, 2021. F2 · derivative.expiration_date: The Issuer's Series B-1 Preferred Stock is convertible at the option of a holder at any time into shares of the Issuer's Class A Common Stock at a conversion price, as adjusted to reflect the Issuer's recent 1-for-0.481 reverse stock split, of $5.20 per share. The Series B-1 Preferred Stock has no expiration date. Read SEC document |
| July 19, 2021 Filed Jul 21, 2021 22:02 UTC | SERA PROGNOSTICS, INC. SERA · Entity 304 | ConversionSeries A-2 Preferred Stock · Derivative | 2,455 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-094520 · tm2122781-4_4seq1.xml · derivative · entry 3 MOYES JAY M · CIK 0001191062 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 2,455 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Issuer's Series A-2 Preferred Stock is convertible at the option of a holder at any time into shares of the Issuer's Class A Common Stock at a conversion price, as adjusted to reflect the Issuer's recent 1-for-0.481 reverse stock split, of $5.20 per share. The Series A-2 Preferred Stock has no expiration date. F3 · derivative.exercise_date: The shares of preferred stock automatically converted into the Issuer's Class A Common Stock in accordance with the Issuer's Restated Certificate of Incorporation, as amended, immediately upon completion of the Issuer's initial public offering, which became effective on July 19, 2021. F1 · derivative.expiration_date: The Issuer's Series A-2 Preferred Stock is convertible at the option of a holder at any time into shares of the Issuer's Class A Common Stock at a conversion price, as adjusted to reflect the Issuer's recent 1-for-0.481 reverse stock split, of $5.20 per share. The Series A-2 Preferred Stock has no expiration date. Read SEC document |
| July 19, 2021 Filed Jul 21, 2021 22:02 UTC | SERA PROGNOSTICS, INC. SERA · Entity 304 | ConversionClass A Common Stock | 375 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-21-094520 · tm2122781-4_4seq1.xml · nonDerivative · entry 2 MOYES JAY M · CIK 0001191062 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,830 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. F2 · price: The Issuer's Series B-1 Preferred Stock is convertible at the option of a holder at any time into shares of the Issuer's Class A Common Stock at a conversion price, as adjusted to reflect the Issuer's recent 1-for-0.481 reverse stock split, of $5.20 per share. The Series B-1 Preferred Stock has no expiration date. Read SEC document |
| July 19, 2021 Filed Jul 21, 2021 22:02 UTC | SERA PROGNOSTICS, INC. SERA · Entity 304 | ConversionClass A Common Stock | 2,455 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-21-094520 · tm2122781-4_4seq1.xml · nonDerivative · entry 1 MOYES JAY M · CIK 0001191062 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,455 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: The Issuer's Series A-2 Preferred Stock is convertible at the option of a holder at any time into shares of the Issuer's Class A Common Stock at a conversion price, as adjusted to reflect the Issuer's recent 1-for-0.481 reverse stock split, of $5.20 per share. The Series A-2 Preferred Stock has no expiration date. Read SEC document |
| June 15, 2021 Filed Jun 16, 2021 00:47 UTC | BioCardia, Inc. BCDA;BCDAW · Entity 7752 | GrantStock Option (right to buy) · Derivative | 12,434 | $0.00 Strike: $4.43 | $0.00 |
DisclosureSEC source: 0001437749-21-014878 · rdgdoc.xml · derivative · entry 1 MOYES JAY M · CIK 0001191062 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,355 Underlying: Common stock · 12,434 shares Expires 2031-06-15 F1 · derivative.exercise_date: One hundred percent of the shares subject to the option vest and become exercisable on the one-year anniversary of the date of grant. Read SEC document |
| June 15, 2021 Filed Jun 17, 2021 23:21 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | GrantCommon Stock | 27,858 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-041706 · doc4.xml · nonDerivative · entry 1 MOYES JAY M · CIK 0001191062 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,180 F1 · shares: Represents Restricted Stock Units which vest in full on the earlier of the one-year anniversary of the date of grant and the date of the annual shareholder meeting following the date of grant, subject to the Reporting Person's continued service with the Issuer. Read SEC document |
| June 10, 2021 Filed Jun 11, 2021 21:36 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | SaleCommon Stock | 25,248 | $11.36 | $286,860.20 |
DisclosureSEC source: 0001209191-21-039954 · doc4.xml · nonDerivative · entry 1 MOYES JAY M · CIK 0001191062 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,322 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.24 to $11.52, 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 |
| May 11, 2021 Filed May 13, 2021 20:27 UTC | ACHIEVE LIFE SCIENCES, INC. ACHV · Entity 5072 | GrantStock Option (right to buy) · Derivative | 3,750 | $0.00 Strike: $9.90 | $0.00 |
DisclosureSEC source: 0001209191-21-032339 · doc4.xml · derivative · entry 1 MOYES JAY M · CIK 0001191062 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,750 Underlying: Common Stock · 3,750 shares Expires 2031-05-11 F1 · derivative.exercise_date: The options vest 100% on the earlier of May 11, 2022 or the date immediately prior to the Issuer's next annual meeting of stockholders. Read SEC document |
| March 31, 2021 Filed Apr 8, 2021 00:22 UTC | BioCardia, Inc. BCDA;BCDAW · Entity 7752 | GrantCommon Stock | 3,456 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-21-008505 · rdgdoc.xml · nonDerivative · entry 1 MOYES JAY M · CIK 0001191062 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,267 F1 · shares: The award relates to vested restricted stock units ("RSUs") granted March 31, 2021, each of which represents a contingent right to receive one share of the Issuer's common stock, but for which delivery of common stock will occur the earliest of (1) the two (2) year anniversary of the grant date; (3) the Reporting Person's separation from service; (3) a change in control, as defined in the Issuer's 2016 Equity Incentive Plan; or (4) the Reporting Person's death. Read SEC document |
| December 31, 2020 Filed Jan 6, 2021 02:54 UTC | BioCardia, Inc. BCDA;BCDAW · Entity 7752 | GrantCommon Stock | 3,750 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-21-000194 · rdgdoc.xml · nonDerivative · entry 2 MOYES JAY M · CIK 0001191062 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,811 F1 · shares: The award relates to vested restricted stock units ("RSUs") granted December 31, 2020, each of which represents a contingent right to receive one share of the Issuer's common stock, but for which delivery of common stock will occur the earliest of (1) the two (2) year anniversary of the grant date; (3) the Reporting Person's separation from service; (3) a change in control, as defined in the Issuer's 2016 Equity Incentive Plan; or (4) the Reporting Person's death. Read SEC document |
| December 31, 2020 Filed Jan 6, 2021 02:54 UTC | BioCardia, Inc. BCDA;BCDAW · Entity 7752 | GrantCommon Stock | 2,800 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-21-000194 · rdgdoc.xml · nonDerivative · entry 1 MOYES JAY M · CIK 0001191062 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,061 F1 · shares: The award relates to vested restricted stock units ("RSUs") granted December 31, 2020, each of which represents a contingent right to receive one share of the Issuer's common stock, but for which delivery of common stock will occur the earliest of (1) the two (2) year anniversary of the grant date; (3) the Reporting Person's separation from service; (3) a change in control, as defined in the Issuer's 2016 Equity Incentive Plan; or (4) the Reporting Person's death. Read SEC document |
| September 30, 2020 Filed Oct 9, 2020 23:14 UTC | BioCardia, Inc. BCDA;BCDAW · Entity 7752 | GrantCommon Stock | 3,750 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-20-021023 · rdgdoc.xml · nonDerivative · entry 1 MOYES JAY M · CIK 0001191062 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,261 F1 · shares: The award relates to vested restricted stock units ("RSUs") granted September 30, 2020, each of which represents a contingent right to receive one share of the Issuer's common stock, but for which delivery of common stock will occur the earliest of (1) the two (2) year anniversary of the grant date; (3) the Reporting Person's separation from service; (3) a change in control, as defined in the Issuer's 2016 Equity Incentive Plan; or (4) the Reporting Person's death. Read SEC document |
| September 16, 2020 Filed Sep 17, 2020 21:18 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | SaleCOMMON STOCK | 9,703 | $10.00 | $97,030.00 |
DisclosureSEC source: 0001209191-20-050982 · doc4.xml · nonDerivative · entry 1 MOYES JAY M · CIK 0001191062 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,570 F1 · kind: The sale reported in this Form 4 was to satisfy tax obligations in connection with the vesting of restricted stock units. Read SEC document |
| June 30, 2020 Filed Jul 1, 2020 20:50 UTC | BioCardia, Inc. BCDA;BCDAW · Entity 7752 | GrantCommon Stock | 3,750 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-20-014376 · rdgdoc.xml · nonDerivative · entry 1 MOYES JAY M · CIK 0001191062 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,511 F1 · shares: The award relates to vested restricted stock units ("RSUs") granted June 30, 2020, each of which represents a contingent right to receive one share of the Issuer's common stock, but for which delivery of common stock will occur the earliest of (1) the two (2) year anniversary of the grant date; (3) the Reporting Person's separation from service; (3) a change in control, as defined in the Issuer's 2016 Equity Incentive Plan; or (4) the Reporting Person's death. Read SEC document |
| June 16, 2020 Filed Jun 17, 2020 23:47 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | SaleCOMMON STOCK | 9,720 | $9.50 | $92,340.00 |
DisclosureSEC source: 0001209191-20-037439 · doc4.xml · nonDerivative · entry 1 MOYES JAY M · CIK 0001191062 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,273 F1 · kind: The sale reported in this Form 4 was to satisfy tax obligations in connection with the vesting of restricted stock units. Read SEC document |
| June 09, 2020 Filed Jun 12, 2020 00:05 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | GrantCOMMON STOCK | 25,748 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-036125 · doc4.xml · nonDerivative · entry 1 MOYES JAY M · CIK 0001191062 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,993 F1 · shares: Represents Restricted Stock Units which vest in full on the earlier of the one-year anniversary of the date of grant and the date of the annual shareholder meeting following the date of grant, subject to the Reporting Person's continued service with the Issuer. Read SEC document |
| May 12, 2020 Filed May 14, 2020 20:08 UTC | ACHIEVE LIFE SCIENCES, INC. ACHV · Entity 5072 | GrantStock Option (right to buy) · Derivative | 22,000 | $0.00 Strike: $0.43 | $0.00 |
DisclosureSEC source: 0001209191-20-029153 · doc4.xml · derivative · entry 1 MOYES JAY M · CIK 0001191062 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,000 Underlying: Common Stock · 22,000 shares Expires 2030-05-12 F1 · derivative.exercise_date: The options vest 100% on the earlier of May 12, 2021 or the date immediately prior to the Issuer's next annual meeting of stockholders. Read SEC document |
| May 08, 2020 Filed May 21, 2020 00:54 UTC | BioCardia, Inc. BCDA;BCDAW · Entity 7752 | GrantCommon Stock | 8,800 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-20-011478 · rdgdoc.xml · nonDerivative · entry 1 MOYES JAY M · CIK 0001191062 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,761 F1 · shares: The award relates to vested restricted stock units ("RSUs") granted May 8, 2020, each of which represents a contingent right to receive one share of the Issuer's common stock, but for which delivery of common stock will occur the earliest of (1) the two (2) year anniversary of the grant date; (3) the Reporting Person's separation from service; (3) a change in control, as defined in the Issuer's 2016 Equity Incentive Plan; or (4) the Reporting Person's death. Read SEC document |
| April 30, 2020 Filed May 5, 2020 01:32 UTC | BioCardia, Inc. BCDA;BCDAW · Entity 7752 | GrantCommon Stock | 3,750 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-20-009336 · rdgdoc.xml · nonDerivative · entry 2 MOYES JAY M · CIK 0001191062 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,961 F1 · shares: The award relates to vested restricted stock units ("RSUs") granted April 30, 2020, each of which represents a contingent right to receive one share of the Issuer's common stock, but for which delivery of common stock will occur the earliest of (i) two years from the date of grant, (ii) the date the director ceases to be a service provider, or (iii) such other date as the administrator determines under the Issuer's 2016 Equity Incentive Plan. Read SEC document |
| April 30, 2020 Filed May 5, 2020 01:32 UTC | BioCardia, Inc. BCDA;BCDAW · Entity 7752 | GrantCommon Stock | 20,250 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-20-009336 · rdgdoc.xml · nonDerivative · entry 1 MOYES JAY M · CIK 0001191062 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,211 F1 · shares: The award relates to vested restricted stock units ("RSUs") granted April 30, 2020, each of which represents a contingent right to receive one share of the Issuer's common stock, but for which delivery of common stock will occur the earliest of (i) two years from the date of grant, (ii) the date the director ceases to be a service provider, or (iii) such other date as the administrator determines under the Issuer's 2016 Equity Incentive Plan. Read SEC document |
| July 26, 2019 Filed Aug 23, 2019 10:24 UTC | BioCardia, Inc. BCDA;BCDAW · Entity 7752 | Exercise / conversionRestricted Stock Units · Derivative | 3,594 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001437749-19-017328 · rdgdoc.xml · derivative · entry 2 MOYES JAY M · CIK 0001191062 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,594 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. F4 · derivative.exercise_date: On July 26, 2018, the reporting person was granted 32,353 RSUs (3,594 after the 1-for-9 reverse split effective May 7, 2019), which vested on July 26, 2019. The common stock into which such vested RSUs converted on July 26, 2019 is reported on Table I of this Form 4. F4 · derivative.expiration_date: On July 26, 2018, the reporting person was granted 32,353 RSUs (3,594 after the 1-for-9 reverse split effective May 7, 2019), which vested on July 26, 2019. The common stock into which such vested RSUs converted on July 26, 2019 is reported on Table I of this Form 4. Read SEC document |
| July 26, 2019 Filed Aug 23, 2019 10:24 UTC | BioCardia, Inc. BCDA;BCDAW · Entity 7752 | Exercise / conversionCommon Stock | 3,594 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-19-017328 · rdgdoc.xml · nonDerivative · entry 1 MOYES JAY M · CIK 0001191062 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,961 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Represents the conversion upon vesting of RSUs into common stock. On July 26, 2018, the reporting person was granted 32,353 RSUs (3,594 after the 1-for-9 reverse split effective May 7, 2019) that were previously reported on Table II of Form 4, which form was filed with the SEC on September 26, 2018. F2 · price: The converted RSU corresponds to a 1:1 common stock issuance. Read SEC document |
| June 10, 2019 Filed Jun 13, 2019 00:42 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | GrantCOMMON STOCK | 19,423 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-036574 · doc4.xml · nonDerivative · entry 1 MOYES JAY M · CIK 0001191062 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,245 F1 · shares: Represents Restricted Stock Units which vest in full on the earlier of the one-year anniversary of the date of grant and the date of the annual shareholder meeting following the date of grant, subject to the Reporting Person's continued service with the Issuer. Read SEC document |
| May 14, 2019 Filed May 15, 2019 20:48 UTC | ACHIEVE LIFE SCIENCES, INC. ACHV · Entity 5072 | GrantStock Option (right to buy) · Derivative | 7,000 | $0.00 Strike: $4.02 | $0.00 |
DisclosureSEC source: 0001209191-19-030055 · doc4.xml · derivative · entry 1 MOYES JAY M · CIK 0001191062 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,000 Underlying: Common Stock · 7,000 shares Expires 2029-05-14 F1 · derivative.exercise_date: The options vest 100% on the earlier of May 14, 2020 or the date immediately prior to the Issuer's next annual meeting of stockholders. Read SEC document |
| September 20, 2018 Filed Sep 21, 2018 20:53 UTC | ACHIEVE LIFE SCIENCES, INC. ACHV · Entity 5072 | GrantStock Option (right to buy) · Derivative | 12,000 | $0.00 Strike: $2.56 | $0.00 |
DisclosureSEC source: 0001209191-18-051909 · doc4.xml · derivative · entry 1 MOYES JAY M · CIK 0001191062 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,000 Underlying: Common Stock · 12,000 shares Expires 2028-09-20 F1 · derivative.exercise_date: The options vest in monthly installments over one year commencing one month from September 20 2018. Read SEC document |
| July 26, 2018 Filed Sep 27, 2018 01:17 UTC | BioCardia, Inc. BCDA · Entity 7752 | GrantRestricted Stock Units · Derivative | 32,353 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001437749-18-017512 · rdgdoc.xml · derivative · entry 1 MOYES JAY M · CIK 0001191062 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,353 Underlying: Common Stock · 32,353 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. F2 · derivative.exercise_date: The restricted stock units vest as to one hundred percent of the shares on July 26, 2019, subject to the Reporting Person continuing as a service provider through such date. Vested shares will be delivered to the Reporting Person on July 26, 2019. F2 · derivative.expiration_date: The restricted stock units vest as to one hundred percent of the shares on July 26, 2019, subject to the Reporting Person continuing as a service provider through such date. Vested shares will be delivered to the Reporting Person on July 26, 2019. Read SEC document |
| June 12, 2018 Filed Jun 14, 2018 23:10 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | GrantCOMMON STOCK | 5,822 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-037876 · doc4.xml · nonDerivative · entry 1 MOYES JAY M · CIK 0001191062 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,822 F1 · shares: Represents Restricted Stock Units which vest in full on the earlier of the one-year anniversary of the date of grant and the date of the annual shareholder meeting following the date of grant, subject to the Reporting Person's continued service with the Issuer. Read SEC document |
| August 01, 2017 Filed Aug 4, 2017 00:52 UTC | ACHIEVE LIFE SCIENCES, INC. ACHV · Entity 5072 | GrantStock Option (right to buy) · Derivative | 16,400 | $0.00 Strike: $4.57 | $0.00 |
DisclosureSEC source: 0001209191-17-047586 · doc4.xml · derivative · entry 1 MOYES JAY M · CIK 0001191062 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,400 Underlying: Common Stock · 16,400 shares Expires 2027-08-01 F1 · derivative.exercise_date: The options vest in monthly installments over 36 months commencing one month from August 1, 2017. Read SEC document |
| August 01, 2017 Filed Sep 12, 2017 19:15 UTC Amendment | ACHIEVE LIFE SCIENCES, INC. ACHV · Entity 5072 | GrantStock Option (right to buy) · Derivative | 16,400 | $0.00 Strike: $2.89 | $0.00 |
DisclosureSEC source: 0001209191-17-052399 · doc4a.xml · derivative · entry 1 MOYES JAY M · CIK 0001191062 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,400 Underlying: Common Stock · 16,400 shares Expires 2027-08-01 F1 · derivative.exercise_price: This amended Form 4 is filed to correct the exercise price to reflect that the grant was effective as of the issuer's first open trading window after approval of the grant. All other terms remain the same. F2 · derivative.exercise_date: The options vest in monthly installments over 36 months commencing one month from August 1, 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.