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person · Reporting owner

MOYES JAY M

Disclosed activity across 6 companies

Tapewire entity
31814
SEC CIK
0001191062

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Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
ACHIEVE LIFE SCIENCES, INC.ACHV · Entity 5072DirectorMay 31, 2022June 01, 2022
BioCardia, Inc.BCDA · Entity 7752DirectorJuly 06, 2026July 08, 2026
PREDICTIVE TECHNOLOGY GROUP, INC.PRED · Entity 140300DirectorFebruary 28, 2019April 12, 2019
PUMA BIOTECHNOLOGY, INC.PBYI · Entity 5478DirectorJune 11, 2026June 16, 2026
Sintx Technologies, Inc.SINT · Entity 8004DirectorFebruary 23, 2026February 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 / awardOwnership accountDisclosed shares / unitsDisclosure context
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $6.90 · Expires 2032-05-31Direct4,400 Reported balance After 2022-05-31 transaction · row 1 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 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 / awardOwnership accountDisclosed shares / unitsDisclosure context
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.20 · Expires 2036-07-06Direct23,573 Reported balance After 2026-07-06 transaction · row 1 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 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 / awardOwnership accountDisclosed shares / unitsDisclosure context
Common Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $2.07 · Expires 2029-04-09DirectNot disclosed Reported balance Holding disclosure · report date 2019-02-28 · row 1 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 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 / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect58,322 Ending reported balance After 2026-06-12 transaction · row 2
2 source rows · reconciled sequence

Row 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 / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect4,000 Reported balance After 2026-02-23 transaction · row 1
1 source row

Row 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

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Purchases/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 dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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.

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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
Disclosure

SEC 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.

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March 31, 2021 Filed Apr 8, 2021 00:22 UTC BioCardia, Inc. BCDA;BCDAW · Entity 7752 GrantCommon Stock 3,456 $0.00 $0.00
Disclosure

SEC 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.

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December 31, 2020 Filed Jan 6, 2021 02:54 UTC BioCardia, Inc. BCDA;BCDAW · Entity 7752 GrantCommon Stock 3,750 $0.00 $0.00
Disclosure

SEC 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.

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December 31, 2020 Filed Jan 6, 2021 02:54 UTC BioCardia, Inc. BCDA;BCDAW · Entity 7752 GrantCommon Stock 2,800 $0.00 $0.00
Disclosure

SEC 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.

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September 30, 2020 Filed Oct 9, 2020 23:14 UTC BioCardia, Inc. BCDA;BCDAW · Entity 7752 GrantCommon Stock 3,750 $0.00 $0.00
Disclosure

SEC 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.

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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
Disclosure

SEC 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.

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June 30, 2020 Filed Jul 1, 2020 20:50 UTC BioCardia, Inc. BCDA;BCDAW · Entity 7752 GrantCommon Stock 3,750 $0.00 $0.00
Disclosure

SEC 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.

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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
Disclosure

SEC 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.

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June 09, 2020 Filed Jun 12, 2020 00:05 UTC PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 GrantCOMMON STOCK 25,748 $0.00 $0.00
Disclosure

SEC 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.

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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
Disclosure

SEC 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.

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May 08, 2020 Filed May 21, 2020 00:54 UTC BioCardia, Inc. BCDA;BCDAW · Entity 7752 GrantCommon Stock 8,800 $0.00 $0.00
Disclosure

SEC 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.

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April 30, 2020 Filed May 5, 2020 01:32 UTC BioCardia, Inc. BCDA;BCDAW · Entity 7752 GrantCommon Stock 3,750 $0.00 $0.00
Disclosure

SEC 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.

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April 30, 2020 Filed May 5, 2020 01:32 UTC BioCardia, Inc. BCDA;BCDAW · Entity 7752 GrantCommon Stock 20,250 $0.00 $0.00
Disclosure

SEC 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.

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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
Disclosure

SEC 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.

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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
Disclosure

SEC 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.

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June 10, 2019 Filed Jun 13, 2019 00:42 UTC PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 GrantCOMMON STOCK 19,423 $0.00 $0.00
Disclosure

SEC 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.

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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
Disclosure

SEC 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.

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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
Disclosure

SEC 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.

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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
Disclosure

SEC 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.

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June 12, 2018 Filed Jun 14, 2018 23:10 UTC PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 GrantCOMMON STOCK 5,822 $0.00 $0.00
Disclosure

SEC 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.

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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
Disclosure

SEC 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.

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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
Disclosure

SEC 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.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.