Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| 22nd Century Group, Inc.XXII · Entity 8519 | Director | November 10, 2025 | November 14, 2025 |
| Asterias Biotherapeutics, Inc.AST · Entity 159180 | Director | June 21, 2018 | June 25, 2018 |
| Flyte Aviation, Inc.VTAK · Entity 8648 | Director | March 26, 2026 | March 30, 2026 |
| Insight Molecular Diagnostics Inc.IMDX · Entity 6631 | Director | July 01, 2026 | July 07, 2026 |
| SMITH MICRO SOFTWARE, INC.SMSI · Entity 7775 | Director | March 09, 2026 | March 10, 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.
22nd Century Group, Inc.
Report date November 10, 2025 · Filed November 14, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 17,481 |
Reported balance
After 2025-11-10 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2025-11-10 · Grant · Acquired 17,295 · Balance 17,481 F1: The restricted stock units vest 1/3 per year on November 10, 2026, 2027 and 2028, subject to continued service with the Company. F2: The amount shown reflects the number of shares held following the reported transaction, as adjusted for a 1-for-23 stock split effectuated by the issuer on June 20, 2025. |
| Non-Qualified Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $1.27 · Expires 2035-11-10 | Direct | 51,888 |
Reported balance
After 2025-11-10 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2025-11-10 · Grant · Acquired 51,888 · Balance 51,888 F3: Options vest 1/3 per year on the anniversary of the date of grant, subject to continued service with the Company. |
| Non-Qualified Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $46.23 · Expires 2035-03-10 | Direct | 553 |
Reported balance
Holding disclosure · report date 2025-11-10 · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · Balance 553 F3: Options vest 1/3 per year on the anniversary of the date of grant, subject to continued service with the Company. F2: The amount shown reflects the number of shares held following the reported transaction, as adjusted for a 1-for-23 stock split effectuated by the issuer on June 20, 2025. |
Filing footnotes · ownership attribution and instrument terms
F1: The restricted stock units vest 1/3 per year on November 10, 2026, 2027 and 2028, subject to continued service with the Company.
F2: The amount shown reflects the number of shares held following the reported transaction, as adjusted for a 1-for-23 stock split effectuated by the issuer on June 20, 2025.
F3: Options vest 1/3 per year on the anniversary of the date of grant, subject to continued service with the Company.
Asterias Biotherapeutics, Inc.
Report date June 21, 2018 · Filed June 25, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $1.75 · Expires 2028-06-21 | Direct | 20,000 |
Reported balance
After 2018-06-21 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2018-06-21 · Grant · Acquired 20,000 · Balance 20,000 F1: The stock options vest equally over the next four quarters, beginning on the June 30, 2018 contingent upon continued service on the Board of Directors. |
| Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $3.64 · Expires 2026-02-28 | Direct | 20,000 |
Reported balance
Holding disclosure · report date 2018-06-21 · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · Balance 20,000 |
| Series A Common StockSEC Table I · non-derivative | Direct | 5,000 |
Reported balance
Holding disclosure · report date 2018-06-21 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 5,000 |
| Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $3.45 · Expires 2027-03-29 | Direct | 20,000 |
Reported balance
Holding disclosure · report date 2018-06-21 · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · Balance 20,000 |
| Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $6.22 · Expires 2020-03-31 | Direct | 20,000 |
Reported balance
Holding disclosure · report date 2018-06-21 · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · Balance 20,000 |
| Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $2.34 · Expires 2019-03-31 | Direct | 20,000 |
Reported balance
Holding disclosure · report date 2018-06-21 · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · Balance 20,000 |
Filing footnotes · ownership attribution and instrument terms
F1: The stock options vest equally over the next four quarters, beginning on the June 30, 2018 contingent upon continued service on the Board of Directors.
Flyte Aviation, Inc.
Report date March 26, 2026 · Filed March 30, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Options (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.15 · Expires 2036-03-26 | Direct | 40,000 |
Reported balance
After 2026-03-26 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-03-26 · Grant · Acquired 40,000 · Balance 40,000 F1: Options vest 100% on 180 day anniversary of grant date. |
Filing footnotes · ownership attribution and instrument terms
F1: Options vest 100% on 180 day anniversary of grant date.
Insight Molecular Diagnostics Inc.
Report date July 01, 2026 · Filed July 07, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, no par valueSEC Table I · non-derivative | Direct | 156,785 |
Reported balance
After 2026-07-01 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2026-07-01 · Tax withholding · Disposed 12,100 · Balance 156,785 F1: The reported disposition reflects shares withheld by the Issuer to cover tax withholding obligations in connection with the vesting of 55,000 shares of restricted stock units granted to the reporting person on July 1, 2025. The reporting person did not sell any shares. The per-share value assigned to the shares withheld reflects the price per share on the date on which the shares vested as reported on the Nasdaq Capital Market. |
| Common Stock, no par valueSEC Table I · non-derivative | IndirectSee footnote | 7,804 |
Reported balance
Holding disclosure · report date 2026-07-01 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 7,804 F2: These shares of Common Stock are held by JBA Investments LLC ("JBA"). The Reporting Person is the Manager of JBA and, in such capacity, has the right to vote and dispose of securities held by JBA, including the shares of Common Stock reported here. |
| Common Stock, no par valueSEC Table I · non-derivative | IndirectSee footnote | 7,804 |
Reported balance
Holding disclosure · report date 2026-07-01 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 7,804 F3: These shares of Common Stock are held by MJA Investments LLC ("MJA"). The Reporting Person is the Manager of MJA and, in such capacity, has the right to vote and dispose of securities held by MJA, including the shares of Common Stock reported here. |
Filing footnotes · ownership attribution and instrument terms
F1: The reported disposition reflects shares withheld by the Issuer to cover tax withholding obligations in connection with the vesting of 55,000 shares of restricted stock units granted to the reporting person on July 1, 2025. The reporting person did not sell any shares. The per-share value assigned to the shares withheld reflects the price per share on the date on which the shares vested as reported on the Nasdaq Capital Market.
F2: These shares of Common Stock are held by JBA Investments LLC ("JBA"). The Reporting Person is the Manager of JBA and, in such capacity, has the right to vote and dispose of securities held by JBA, including the shares of Common Stock reported here.
F3: These shares of Common Stock are held by MJA Investments LLC ("MJA"). The Reporting Person is the Manager of MJA and, in such capacity, has the right to vote and dispose of securities held by MJA, including the shares of Common Stock reported here.
SMITH MICRO SOFTWARE, INC.
Report date March 09, 2026 · Filed March 10, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 88,007 |
Reported balance
After 2026-03-09 transaction · row 1
1 source rowRow 1 · 2026-03-09 · Grant · Acquired 12,500 · Balance 88,007 F1: Unrestricted stock award granted pursuant to the Company's Amended and Restated Omnibus Equity Incentive Plan. |
| Common StockSEC Table I · non-derivative | IndirectBy spouse IRA | 1,875 |
Reported balance
Holding disclosure · report date 2026-03-09 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 1,875 |
| Common StockSEC Table I · non-derivative | IndirectBy MJA Investment | 1,875 |
Reported balance
Holding disclosure · report date 2026-03-09 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 1,875 F2: Shares held by MJA Investment, a limited liability company, with respect to which the reporting person makes investment decisions. The reporting person disclaims ownership of these securities, and this report shall not be deemed an admission that the reporting person is beneficial owner of these securities for the purpose of Section 16 or any other purpose. |
| Common StockSEC Table I · non-derivative | IndirectBy JBA Investment | 1,875 |
Reported balance
Holding disclosure · report date 2026-03-09 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 1,875 F3: Shares held by JBA Investment, a limited liability company, with respect to which the reporting person makes investment decisions. The reporting person disclaims ownership of these securities, and this report shall not be deemed an admission that the reporting person is beneficial owner of these securities for the purpose of Section 16 or any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: Unrestricted stock award granted pursuant to the Company's Amended and Restated Omnibus Equity Incentive Plan.
F2: Shares held by MJA Investment, a limited liability company, with respect to which the reporting person makes investment decisions. The reporting person disclaims ownership of these securities, and this report shall not be deemed an admission that the reporting person is beneficial owner of these securities for the purpose of Section 16 or any other purpose.
F3: Shares held by JBA Investment, a limited liability company, with respect to which the reporting person makes investment decisions. The reporting person disclaims ownership of these securities, and this report shall not be deemed an admission that the reporting person is beneficial owner of these securities for the purpose of Section 16 or any other purpose.
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 01, 2026 Filed Jul 7, 2026 00:35 UTC | Insight Molecular Diagnostics Inc. IMDX · Entity 6631 | Tax withholdingCommon Stock, no par value | 12,100 | $5.69 | $68,849.00 |
DisclosureSEC source: 0001493152-26-032231 · ownership.xml · nonDerivative · entry 1 Arno Andrew · CIK 0001472122 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 156,785 F1 · security: The reported disposition reflects shares withheld by the Issuer to cover tax withholding obligations in connection with the vesting of 55,000 shares of restricted stock units granted to the reporting person on July 1, 2025. The reporting person did not sell any shares. The per-share value assigned to the shares withheld reflects the price per share on the date on which the shares vested as reported on the Nasdaq Capital Market. Read SEC document |
| June 11, 2026 Filed Jun 15, 2026 22:22 UTC | Insight Molecular Diagnostics Inc. IMDX · Entity 6631 | GrantCommon Stock, no par value | 32,331 | $0.00 | $0.00 |
DisclosureSEC source: 0001493152-26-028753 · ownership.xml · nonDerivative · entry 1 Arno Andrew · CIK 0001472122 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 168,885 F1 · security: The Restricted Stock Units shall vest on the date of the next annual meeting of shareholders, subject to the Reporting Person's continued service from the date of grant until the vesting date. Read SEC document |
| March 26, 2026 Filed Mar 30, 2026 21:58 UTC | Flyte Aviation, Inc. VTAK · Entity 8648 | GrantOptions (Right to Buy) · Derivative | 40,000 | $0.00 Strike: $1.15 | $0.00 |
DisclosureSEC source: 0001437749-26-010378 · rdgdoc.xml · derivative · entry 1 Arno Andrew · CIK 0001472122 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Stock · 40,000 shares Expires 2036-03-26 F1 · derivative.exercise_date: Options vest 100% on 180 day anniversary of grant date. Read SEC document |
| March 09, 2026 Filed Mar 10, 2026 21:41 UTC | SMITH MICRO SOFTWARE, INC. SMSI · Entity 7775 | GrantCommon Stock | 12,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-26-007574 · rdgdoc.xml · nonDerivative · entry 1 Arno Andrew · CIK 0001472122 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 88,007 F1 · shares: Unrestricted stock award granted pursuant to the Company's Amended and Restated Omnibus Equity Incentive Plan. Read SEC document |
| November 10, 2025 Filed Nov 14, 2025 21:58 UTC | 22nd Century Group, Inc. XXII · Entity 8519 | GrantNon-Qualified Stock Option · Derivative | 51,888 | $0.00 Strike: $1.27 | $0.00 |
DisclosureSEC source: 0000897069-25-001707 · form4.xml · derivative · entry 2 Arno Andrew · CIK 0001472122 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 51,888 Underlying: Common Stock · 51,888 shares Expires 2035-11-10 F3 · derivative.exercise_date: Options vest 1/3 per year on the anniversary of the date of grant, subject to continued service with the Company. Read SEC document |
| November 10, 2025 Filed Nov 14, 2025 21:58 UTC | 22nd Century Group, Inc. XXII · Entity 8519 | GrantCommon Stock | 17,295 | $0.00 | $0.00 |
DisclosureSEC source: 0000897069-25-001707 · form4.xml · nonDerivative · entry 1 Arno Andrew · CIK 0001472122 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 17,481 F1 · shares: The restricted stock units vest 1/3 per year on November 10, 2026, 2027 and 2028, subject to continued service with the Company. F2 · balance_after: The amount shown reflects the number of shares held following the reported transaction, as adjusted for a 1-for-23 stock split effectuated by the issuer on June 20, 2025. Read SEC document |
| October 09, 2025 Filed Oct 30, 2025 01:02 UTC | SMITH MICRO SOFTWARE, INC. SMSI · Entity 7775 | GrantCommon Stock | 7,993 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-25-032252 · rdgdoc.xml · nonDerivative · entry 1 Arno Andrew · CIK 0001472122 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 75,507 F1 · shares: Unrestricted stock award granted in lieu of fourth quarter 2025 cash compensation for service as a non-employee director. Read SEC document |
| August 12, 2025 Filed Aug 14, 2025 20:34 UTC | Flyte Aviation, Inc. VTAK · Entity 8648 | GrantOptions (Right to Buy) · Derivative | 50,000 | $0.00 Strike: $0.18 | $0.00 |
DisclosureSEC source: 0001654954-25-009661 · section16.xml · derivative · entry 1 Arno Andrew · CIK 0001472122 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Stock · 50,000 shares Expires 2035-08-12 F1 · derivative.exercise_date: Options vests 1/3 per year beginning on the first anniversary of the grant date. Read SEC document |
| July 01, 2025 Filed Jul 3, 2025 20:05 UTC | Insight Molecular Diagnostics Inc. IMDX · Entity 6631 | GrantCommon Stock, no par value | 55,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001641172-25-017798 · ownership.xml · nonDerivative · entry 1 Arno Andrew · CIK 0001472122 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 136,554 F1 · security: The Restricted Stock Units shall vest one year from the date of grant, subject to the Reporting Person's continued service from the date of grant until the vesting date or, if earlier, until the next annual meeting of shareholders. Read SEC document |
| March 10, 2025 Filed Mar 12, 2025 21:30 UTC | 22nd Century Group, Inc. XXII · Entity 8519 | GrantNon-Qualified Stock Option · Derivative | 12,713 | $0.00 Strike: $2.01 | $0.00 |
DisclosureSEC source: 0000897069-25-000586 · form4.xml · derivative · entry 2 Arno Andrew · CIK 0001472122 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 12,713 Underlying: Common Stock · 12,713 shares Expires 2030-03-10 F2 · derivative.exercise_date: 33.33% exercisable on March 10, 2026, 33.33% exercisable on March 10, 2027, and 33.34% exercisable on March 10, 2028.. Read SEC document |
| March 10, 2025 Filed Mar 12, 2025 21:30 UTC | 22nd Century Group, Inc. XXII · Entity 8519 | GrantCommon Stock | 4,237 | $0.00 | $0.00 |
DisclosureSEC source: 0000897069-25-000586 · form4.xml · nonDerivative · entry 1 Arno Andrew · CIK 0001472122 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 4,284 F1 · shares: Restricted stock units vest 100% on March 10, 2026, subject to continued service by the Reporting Person with the Company. Read SEC document |
| January 29, 2025 Filed Jan 31, 2025 21:37 UTC | Flyte Aviation, Inc. VTAK · Entity 8648 | GrantStock Option · Derivative | 100,000 | $0.00 Strike: $0.42 | $0.00 |
DisclosureSEC source: 0001437749-25-002426 · rdgdoc.xml · derivative · entry 1 Arno Andrew · CIK 0001472122 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 100,000 Underlying: Common stock · 100,000 shares Expires 2035-01-29 F1 · derivative.exercise_date: 33.33% exercisable on January 29, 2025, 33.33% exercisable on January 29, 2026, and 33.34% exercisable on January 29, 2027. Read SEC document |
| January 23, 2025 Filed Jan 27, 2025 22:19 UTC | SMITH MICRO SOFTWARE, INC. SMSI · Entity 7775 | GrantCommon Stock | 25,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-25-002686 · wk-form4_1738016346.xml · nonDerivative · entry 1 Arno Andrew · CIK 0001472122 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 67,514 Read SEC document |
| December 26, 2024 Filed Dec 26, 2024 23:17 UTC | Insight Molecular Diagnostics Inc. OCX · Entity 6631 | PurchaseCommon Stock, no par value | 12,500 | $2.11 | $26,350.00 |
DisclosureSEC source: 0001493152-24-052168 · ownership.xml · nonDerivative · entry 1 Arno Andrew · CIK 0001472122 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 81,554 F1 · price: The price of $2.1080 per share represents a weighted average of prices ranging from $2.1000 to $2.1300 per share. 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 range set forth in this footnote. Read SEC document |
| July 01, 2024 Filed Jul 4, 2024 01:00 UTC | Insight Molecular Diagnostics Inc. OCX · Entity 6631 | GrantOption to Purchase Common Stock · Derivative | 30,000 | $0.00 Strike: $2.95 | $0.00 |
DisclosureSEC source: 0001493152-24-026274 · ownership.xml · derivative · entry 1 Arno Andrew · CIK 0001472122 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 30,000 Underlying: Common Stock · 30,000 shares Expires 2034-07-01 F1 · derivative.exercise_date: Options shall vest one year from the date of grant, subject to the Reporting Person's continued service as a director of the Issuer from the date of grant until the vesting date or, if earlier, until the next annual meeting of shareholders. Read SEC document |
| May 20, 2024 Filed May 22, 2024 20:58 UTC | Insight Molecular Diagnostics Inc. OCX · Entity 6631 | GrantOption to Purchase Common Stock · Derivative | 20,000 | $0.00 Strike: $2.76 | $0.00 |
DisclosureSEC source: 0001493152-24-021049 · ownership.xml · derivative · entry 1 Arno Andrew · CIK 0001472122 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2034-05-20 F1 · derivative.exercise_date: 25% of the options will become exercisable after one year of continuous service from the effective date of grant, and the balance will become exercisable in 36 equal monthly installments commencing one year after the date of grant subject to continuous service through the applicable vesting date. Read SEC document |
| April 11, 2024 Filed Apr 15, 2024 10:02 UTC | Insight Molecular Diagnostics Inc. OCX · Entity 6631 | PurchaseCommon Stock, no par value | 33,898 | $2.95 | $99,999.10 |
DisclosureSEC source: 0001493152-24-014509 · ownership.xml · nonDerivative · entry 1 Arno Andrew · CIK 0001472122 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 69,054 F1 · shares: Reflects shares of the Issuer's common stock, no par value ("Common Stock"), purchased by the Reporting Person from the Issuer in a private offering. Read SEC document |
| January 16, 2024 Filed Jan 17, 2024 22:10 UTC | SMITH MICRO SOFTWARE, INC. SMSI · Entity 7775 | GrantCommon Stock | 25,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-24-001526 · wk-form4_1705529429.xml · nonDerivative · entry 1 Arno Andrew · CIK 0001472122 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 340,105 F1 · shares: Restricted stock grant vesting in 12 equal monthly installments Read SEC document |
| January 05, 2024 Filed Jan 9, 2024 01:04 UTC | 22nd Century Group, Inc. XXII · Entity 8519 | PurchaseCommon Stock | 100,000 | $0.17 | $17,490.00 |
DisclosureSEC source: 0001104659-24-002361 · tm242457-1_4seq1.xml · nonDerivative · entry 1 Arno Andrew · CIK 0001472122 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 100,000 F1 · price: The price reported in Column 4 is a weighted average price. The purchase prices ranged from $.17 to $.18. The reporting person will provide the issuer, any security holder of the issuer, or the SEC staff, upon request, full information regarding the number of shares sold at each separate price within the range. Read SEC document |
| June 23, 2023 Filed Jun 28, 2023 01:30 UTC | Insight Molecular Diagnostics Inc. OCX · Entity 6631 | GrantOption to Purchase Common Stock · Derivative | 135,000 | $0.00 Strike: $0.20 | $0.00 |
DisclosureSEC source: 0001493152-23-022668 · ownership.xml · derivative · entry 4 Arno Andrew · CIK 0001472122 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 135,000 Underlying: Common Stock · 135,000 shares Expires 2033-06-23 F4 · derivative.exercise_date: Options shall vest one year from the date of grant, subject to the Reporting Person's continued service as a director of the Issuer from the date of grant until the vesting date or, if earlier, until the next annual meeting of shareholders. Read SEC document |
| June 23, 2023 Filed Jun 28, 2023 01:30 UTC | Insight Molecular Diagnostics Inc. OCX · Entity 6631 | GrantCommon Stock, no par value | 30,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001493152-23-022668 · ownership.xml · nonDerivative · entry 1 Arno Andrew · CIK 0001472122 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 703,133 F1 · security: The Restricted Stock Units shall vest one year from the date of grant, subject to the Reporting Person's continued service as a director of the Issuer from the date of grant until the vesting date or, if earlier, until the next annual meeting of shareholders. Read SEC document |
| April 03, 2023 Filed Apr 6, 2023 01:29 UTC | Insight Molecular Diagnostics Inc. OCX · Entity 6631 | GrantCommon Stock, no par value | 141,084 | $0.35 | $50,000.17 |
DisclosureSEC source: 0001493152-23-011104 · ownership.xml · nonDerivative · entry 3 Arno Andrew · CIK 0001472122 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: 156,084 F2 · ownership.nature: These shares of Common Stock are held by MJA Investments LLC ("MJA"). The Reporting Person is the Manager of MJA and in such capacity has the right to vote and dispose of securities held by MJA. Read SEC document |
| April 03, 2023 Filed Apr 6, 2023 01:29 UTC | Insight Molecular Diagnostics Inc. OCX · Entity 6631 | GrantCommon Stock, no par value | 141,084 | $0.35 | $50,000.17 |
DisclosureSEC source: 0001493152-23-011104 · ownership.xml · nonDerivative · entry 2 Arno Andrew · CIK 0001472122 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: 156,084 F1 · ownership.nature: These shares of the Issuer's common stock, no par value ("Common Stock"), are held by JBA Investments LLC ("JBA"). The Reporting Person is the Manager of JBA and in such capacity has the right to vote and dispose of securities held by JBA. Read SEC document |
| April 03, 2023 Filed Apr 6, 2023 01:29 UTC | Insight Molecular Diagnostics Inc. OCX · Entity 6631 | GrantCommon Stock, no par value | 141,084 | $0.35 | $50,000.17 |
DisclosureSEC source: 0001493152-23-011104 · ownership.xml · nonDerivative · entry 1 Arno Andrew · CIK 0001472122 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 673,133 Read SEC document |
| January 27, 2023 Filed Jan 31, 2023 22:10 UTC | SMITH MICRO SOFTWARE, INC. SMSI · Entity 7775 | GrantCommon Stock | 25,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-23-001820 · wf-form4_167520299874370.xml · nonDerivative · entry 1 Arno Andrew · CIK 0001472122 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 315,105 F1 · security: Restricted stock grant vesting in 12 equal monthly installments Read SEC document |
| December 23, 2022 Filed Dec 28, 2022 21:05 UTC | Insight Molecular Diagnostics Inc. OCX · Entity 6631 | PurchaseCommon Stock, no par value | 250,000 | $0.35 | $87,875.00 |
DisclosureSEC source: 0001493152-22-036655 · ownership.xml · nonDerivative · entry 1 Arno Andrew · CIK 0001472122 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 532,049 F1 · price: The price of $0.3515 per share represents a weighted average of prices ranging from $0.29 to $0.4284 per share. 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 range set forth in this footnote. Read SEC document |
| August 22, 2022 Filed Aug 22, 2022 21:52 UTC | SMITH MICRO SOFTWARE, INC. SMSI · Entity 7775 | PurchaseCommon Stock | 2,500 | $2.18 | $5,448.50 |
DisclosureSEC source: 0001628280-22-023440 · wf-form4_166120512883238.xml · nonDerivative · entry 2 Arno Andrew · CIK 0001472122 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 290,105 Read SEC document |
| August 17, 2022 Filed Aug 18, 2022 22:42 UTC | SMITH MICRO SOFTWARE, INC. SMSI · Entity 7775 | PurchaseCommon Stock | 5,000 | $2.35 | $11,757.00 |
DisclosureSEC source: 0001628280-22-023293 · wf-form4_166086255345158.xml · nonDerivative · entry 3 Arno Andrew · CIK 0001472122 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By JBA Investment Disclosed balance after: 15,000 F1 · price: Shares were acquired in a series of transactions at a range of prices with a weighted average of $2.3514 per share. The reporting person undertakes to provide to Smith Micro Software, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within such range. F3 · ownership.nature: Shares held by JBA Investment, a limited liability company, with respect to which the reporting person makes investment decisions. The reporting person disclaims ownership of these securities, and this report shall not be deemed an admission that the reporting person is beneficial owner of these securities for the purpose of Section 16 or any other purpose. Read SEC document |
| August 17, 2022 Filed Aug 18, 2022 22:42 UTC | SMITH MICRO SOFTWARE, INC. SMSI · Entity 7775 | PurchaseCommon Stock | 5,000 | $2.35 | $11,757.00 |
DisclosureSEC source: 0001628280-22-023293 · wf-form4_166086255345158.xml · nonDerivative · entry 2 Arno Andrew · CIK 0001472122 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By MJA Investment Disclosed balance after: 15,000 F1 · price: Shares were acquired in a series of transactions at a range of prices with a weighted average of $2.3514 per share. The reporting person undertakes to provide to Smith Micro Software, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within such range. F2 · ownership.nature: Shares held by MJA Investment, a limited liability company, with respect to which the reporting person makes investment decisions. The reporting person disclaims ownership of these securities, and this report shall not be deemed an admission that the reporting person is beneficial owner of these securities for the purpose of Section 16 or any other purpose. Read SEC document |
| August 17, 2022 Filed Aug 18, 2022 22:42 UTC | SMITH MICRO SOFTWARE, INC. SMSI · Entity 7775 | PurchaseCommon Stock | 5,000 | $2.35 | $11,757.00 |
DisclosureSEC source: 0001628280-22-023293 · wf-form4_166086255345158.xml · nonDerivative · entry 1 Arno Andrew · CIK 0001472122 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By spouse IRA Disclosed balance after: 15,000 F1 · price: Shares were acquired in a series of transactions at a range of prices with a weighted average of $2.3514 per share. The reporting person undertakes to provide to Smith Micro Software, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within such range. Read SEC document |
| August 17, 2022 Filed Aug 19, 2022 12:00 UTC | Insight Molecular Diagnostics Inc. OCX · Entity 6631 | PurchaseCommon Stock, no par value | 7,500 | $0.90 | $6,750.00 |
DisclosureSEC source: 0001493152-22-023522 · ownership.xml · nonDerivative · entry 2 Arno Andrew · CIK 0001472122 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 15,000 F1 · price: The price of $0.90 per share represents a weighted average of prices ranging from $0.88 to $0.92 per share. 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. F3 · ownership.nature: The shares of common stock are held by MJA Investments LLC. The Reporting Person is the Manager of MJA Investments LLC and in such capacity has the right to vote and dispose of the securities held by such entity. Read SEC document |
| August 17, 2022 Filed Aug 19, 2022 12:00 UTC | Insight Molecular Diagnostics Inc. OCX · Entity 6631 | PurchaseCommon Stock, no par value | 7,500 | $0.90 | $6,750.00 |
DisclosureSEC source: 0001493152-22-023522 · ownership.xml · nonDerivative · entry 1 Arno Andrew · CIK 0001472122 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 15,000 F1 · price: The price of $0.90 per share represents a weighted average of prices ranging from $0.88 to $0.92 per share. 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. F2 · ownership.nature: The shares of common stock are held by JBA Investments LLC. The Reporting Person is the Manager of JBA Investments LLC and in such capacity has the right to vote and dispose of the securities held by such entity. Read SEC document |
| August 17, 2022 Filed Aug 22, 2022 21:52 UTC | SMITH MICRO SOFTWARE, INC. SMSI · Entity 7775 | PurchaseCommon Stock | 25,000 | $2.35 | $58,755.00 |
DisclosureSEC source: 0001628280-22-023440 · wf-form4_166120512883238.xml · nonDerivative · entry 1 Arno Andrew · CIK 0001472122 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 287,605 F1 · price: Shares were acquired in a series of transactions at a range of prices with a weighted average of $2.3502 per share. The reporting person undertakes to provide to Smith Micro Software, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within such range. Read SEC document |
| August 16, 2022 Filed Aug 18, 2022 00:15 UTC | Insight Molecular Diagnostics Inc. OCX · Entity 6631 | PurchaseCommon Stock, no par value | 115,523 | $0.97 | $112,057.31 |
DisclosureSEC source: 0001493152-22-023373 · ownership.xml · nonDerivative · entry 3 Arno Andrew · CIK 0001472122 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 282,049 F3 · price: The price of $0.97 per share represents a weighted average of prices ranging from $0.93 to $1.00 per share. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| August 15, 2022 Filed Aug 18, 2022 00:15 UTC | Insight Molecular Diagnostics Inc. OCX · Entity 6631 | GrantOption to Purchase Common Stock · Derivative | 45,000 | $0.00 Strike: $0.97 | $0.00 |
DisclosureSEC source: 0001493152-22-023373 · ownership.xml · derivative · entry 4 Arno Andrew · CIK 0001472122 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,000 Underlying: Common Stock · 45,000 shares Expires 2032-08-15 F4 · derivative.exercise_date: Options shall vest one year from the date of grant, subject to the Reporting Person's continued service as a director of the Issuer from the date of grant until the vesting date or, if earlier, until the next annual meeting of shareholders. Read SEC document |
| August 15, 2022 Filed Aug 18, 2022 00:15 UTC | Insight Molecular Diagnostics Inc. OCX · Entity 6631 | PurchaseCommon Stock, no par value | 34,477 | $0.93 | $32,063.61 |
DisclosureSEC source: 0001493152-22-023373 · ownership.xml · nonDerivative · entry 2 Arno Andrew · CIK 0001472122 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 166,526 F2 · price: The price of $0.93 per share represents a weighted average of prices ranging from $0.90 to $0.95 per share. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| August 15, 2022 Filed Aug 18, 2022 00:15 UTC | Insight Molecular Diagnostics Inc. OCX · Entity 6631 | GrantCommon Stock, no par value | 10,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001493152-22-023373 · ownership.xml · nonDerivative · entry 1 Arno Andrew · CIK 0001472122 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 132,049 F1 · security: The Restricted Stock Units shall vest one year from the date of grant, subject to the Reporting Person's continued service as a director of the Issuer from the date of grant until the vesting date or, if earlier, until the next annual meeting of shareholders. Read SEC document |
| June 24, 2022 Filed Jul 19, 2022 20:05 UTC | Insight Molecular Diagnostics Inc. OCX · Entity 6631 | Exercise / conversionRestricted Stock Units · Derivative | 10,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001493152-22-019816 · ownership.xml · derivative · entry 2 Arno Andrew · CIK 0001472122 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 10,000 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_date: The Restricted Stock Units vested on June 24, 2022. F1 · derivative.expiration_date: The Restricted Stock Units vested on June 24, 2022. Read SEC document |
| June 24, 2022 Filed Jul 19, 2022 20:05 UTC | Insight Molecular Diagnostics Inc. OCX · Entity 6631 | Exercise / conversionCommon Stock, no par value | 10,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001493152-22-019816 · ownership.xml · nonDerivative · entry 1 Arno Andrew · CIK 0001472122 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 122,049 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| January 18, 2022 Filed Jan 20, 2022 22:15 UTC | SMITH MICRO SOFTWARE, INC. SMSI · Entity 7775 | GrantCommon Stock | 25,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-004098 · doc4.xml · nonDerivative · entry 1 Arno Andrew · CIK 0001472122 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 262,605 F1 · security: Restricted stock grant vesting in 12 equal monthly installments Read SEC document |
| June 24, 2021 Filed Jun 29, 2021 00:30 UTC | Insight Molecular Diagnostics Inc. OCX · Entity 6631 | GrantRestricted Stock Units · Derivative | 10,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001493152-21-015446 · ownership.xml · derivative · entry 2 Arno Andrew · CIK 0001472122 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Underlying: Common Stock · 10,000 shares Expires 2022-06-24 F2 · derivative.exercise_date: The Restricted Stock Units shall vest one year from the date of grant, subject to the director's continued service as a director of the Company from the date of grant until the vesting date or, if earlier, until the next annual meeting of shareholders. Read SEC document |
| June 24, 2021 Filed Jun 29, 2021 00:30 UTC | Insight Molecular Diagnostics Inc. OCX · Entity 6631 | GrantOption to Purchase Common Stock · Derivative | 45,000 | $0.00 Strike: $5.46 | $0.00 |
DisclosureSEC source: 0001493152-21-015446 · ownership.xml · derivative · entry 1 Arno Andrew · CIK 0001472122 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,000 Underlying: Common Stock · 45,000 shares Expires 2031-06-23 F1 · derivative.exercise_date: Options shall vest one year from the date of grant, subject to the director's continued service as a director of the Company from the date of grant until the vesting date or, if earlier, until the next annual meeting of shareholders. Read SEC document |
| February 16, 2021 Filed Feb 19, 2021 00:07 UTC | SMITH MICRO SOFTWARE, INC. SMSI · Entity 7775 | GrantCommon Stock | 25,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-012126 · doc4.xml · nonDerivative · entry 1 Arno Andrew · CIK 0001472122 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 237,610 F1 · security: Restricted Stock Grant - Vesting in 12 equal monthly installments beginning on March 16, 2021 Read SEC document |
| December 11, 2020 Filed Dec 15, 2020 11:29 UTC | Insight Molecular Diagnostics Inc. OCX · Entity 6631 | GrantCommon Stock | 9,602 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001493152-20-023599 · ownership.xml · nonDerivative · entry 1 Arno Andrew · CIK 0001472122 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 112,049 F1 · price: The shares of the Issuer's common stock were issued to the Reporting Person for the repayment of deferred compensation in lieu of cash at a price of $2.07 per share. Read SEC document |
| August 10, 2020 Filed Aug 12, 2020 21:59 UTC | SMITH MICRO SOFTWARE, INC. SMSI · Entity 7775 | GrantCommon Stock | 2,500 | $3.94 | $9,857.50 |
DisclosureSEC source: 0001209191-20-046435 · doc4.xml · nonDerivative · entry 4 Arno Andrew · CIK 0001472122 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By JBA Investment Disclosed balance after: 10,000 F6 · price: Shares were acquired in a series of transactions at a range of prices with a weighted average of $3.943 per share. The reporting person undertakes to provide to Smith Micro Software, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within such range. F4 · balance_after: Includes 7,500 shares acquired on May 17, 2017 but not previously reported due to administrative error. F7 · ownership.nature: Shares held by JBA Investment, a limited liability company, with respect to which the reporting person makes investment decisions. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is a beneficial owner of such securities for purposes of Section 16 or any other purpose. Read SEC document |
| August 10, 2020 Filed Aug 12, 2020 21:59 UTC | SMITH MICRO SOFTWARE, INC. SMSI · Entity 7775 | GrantCommon Stock | 2,500 | $3.93 | $9,830.00 |
DisclosureSEC source: 0001209191-20-046435 · doc4.xml · nonDerivative · entry 3 Arno Andrew · CIK 0001472122 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By MJA Investment Disclosed balance after: 10,000 F3 · price: Shares were acquired in a series of transactions at a range of prices with a weighted average of $3.932 per share. The reporting person undertakes to provide to Smith Micro Software, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within such range. F4 · balance_after: Includes 7,500 shares acquired on May 17, 2017 but not previously reported due to administrative error. F5 · ownership.nature: Shares held by MJA Investment, a limited liability company, with respect to which the reporting person makes investment decisions. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is a beneficial owner of such securities for purposes of Section 16 or any other purpose. Read SEC document |
| August 10, 2020 Filed Aug 12, 2020 21:59 UTC | SMITH MICRO SOFTWARE, INC. SMSI · Entity 7775 | GrantCommon Stock | 10,000 | $3.95 | $39,450.00 |
DisclosureSEC source: 0001209191-20-046435 · doc4.xml · nonDerivative · entry 2 Arno Andrew · CIK 0001472122 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By spouse IRA Disclosed balance after: 10,000 F2 · price: Shares were acquired in a series of transactions at a range of prices with a weighted average of $3.945 per share. The reporting person undertakes to provide to Smith Micro Software, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within such range. Read SEC document |
| August 10, 2020 Filed Aug 12, 2020 21:59 UTC | SMITH MICRO SOFTWARE, INC. SMSI · Entity 7775 | GrantCommon Stock | 10,000 | $3.95 | $39,460.00 |
DisclosureSEC source: 0001209191-20-046435 · doc4.xml · nonDerivative · entry 1 Arno Andrew · CIK 0001472122 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 212,610 F1 · price: Shares were acquired in a series of transactions at a range of prices with a weighted average of $3.946 per share. The reporting person undertakes to provide to Smith Micro Software, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within such range. Read SEC document |
| June 17, 2020 Filed Jun 19, 2020 21:31 UTC | Insight Molecular Diagnostics Inc. OCX · Entity 6631 | GrantOption to purchase common stock · Derivative | 57,000 | $0.00 Strike: $2.38 | $0.00 |
DisclosureSEC source: 0001493152-20-011539 · ownership.xml · derivative · entry 1 Arno Andrew · CIK 0001472122 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,000 Underlying: Common Stock · 57,000 shares Expires not disclosed F1 · derivative.exercise_date: Options shall vest one year from the date of grant, subject to the director's continued service as a director of the Company or a subsidiary from the date of grant until the vesting date or, if earlier, until the next annual meeting of shareholders. F1 · derivative.expiration_date: Options shall vest one year from the date of grant, subject to the director's continued service as a director of the Company or a subsidiary from the date of grant until the vesting date or, if earlier, until the next annual meeting of shareholders. Read SEC document |
| February 11, 2020 Filed Feb 14, 2020 00:23 UTC | SMITH MICRO SOFTWARE, INC. SMSI · Entity 7775 | GrantCommon Stock | 25,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-009423 · doc4.xml · nonDerivative · entry 1 Arno Andrew · CIK 0001472122 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 202,610 F1 · security: Restricted Stock Grant - Vesting in 12 equal monthly installments beginning on March 11, 2020 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.