Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Assertio Holdings, Inc.ASRT · Entity 37706 | EVP & Chief Operating Officer | May 20, 2020 | May 23, 2020 |
| ROCKWELL MEDICAL, INC.RMTI · Entity 7426 | Director · President and CEO | October 01, 2026 | October 05, 2026 |
| WINDTREE THERAPEUTICS INC /DE/WINT · Entity 8761 | Director | August 23, 2023 | August 25, 2023 |
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.
Assertio Holdings, Inc.
Report date May 20, 2020 · Filed May 23, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 248,599 |
Reported balance
After 2020-05-20 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2020-05-20 · Grant · Acquired 248,599 · Balance 248,599 F1: Common stock of Assertio Holdings, Inc. ("Issuer") acquired at the effective time ("Effective Time") of the transactions contemplated in the Agreement and Plan of Merger, dated as of March 16, 2020 (the "Merger Agreement"), by and among Issuer, Zyla Life Sciences ("Zyla") and the other parties thereto. Pursuant to the Merger Agreement, each share of Zyla common stock issued and outstanding immediately prior to the Effective Time was converted into the right to receive, and became exchangeable for 2.5 shares of Issuer common stock. Issuer common stock had a market value of approximately $0.80 per share at the close of market immediately prior to the Effective Time. F2: Additionally, all outstanding time-based restricted stock units of Zyla were cancelled and, in exchange therefor, each former holder of any such cancelled restricted stock unit has the right to receive a number of shares of fully vested Issuer common stock (rounded to the nearest whole number) equal to the product of (1) 2.5 and (2) the number of shares of Zyla common stock covered by such restricted stock unit. F3: Totals exclude shares withheld by the Issuer for applicable tax withholdings. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.60 · Expires 2030-03-04 | Direct | 291,000 |
Reported balance
After 2020-05-20 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2020-05-20 · Grant · Acquired 291,000 · Balance 291,000 F4: At the Effective Time, each outstanding option to purchase shares of Zyla's common stock, whether vested or unvested, that is outstanding immediately prior to the Effective Time was converted into an option to purchase shares of Issuer common stock, on the same terms and conditions (including any vesting or forfeiture provisions or repurchase rights, but taking into account any acceleration thereof provided for in the relevant Zyla equity plan or in the related award document by reason of the transactions contemplated by the Merger Agreement) as were applicable to such Zyla option as of immediately prior to the Effective Time. F5: The number of shares of Issuer common stock subject to each such Parent option is equal to (1) the number of shares of Zyla common stock subject to the corresponding Zyla option immediately prior to the Effective Time multiplied by (2) 2.5, rounded, if necessary, to the nearest whole share of Issuer common stock, with an exercise per share (rounded to the nearest whole cent) adjusted as provided in the Merger Agreement. |
Filing footnotes · ownership attribution and instrument terms
F1: Common stock of Assertio Holdings, Inc. ("Issuer") acquired at the effective time ("Effective Time") of the transactions contemplated in the Agreement and Plan of Merger, dated as of March 16, 2020 (the "Merger Agreement"), by and among Issuer, Zyla Life Sciences ("Zyla") and the other parties thereto. Pursuant to the Merger Agreement, each share of Zyla common stock issued and outstanding immediately prior to the Effective Time was converted into the right to receive, and became exchangeable for 2.5 shares of Issuer common stock. Issuer common stock had a market value of approximately $0.80 per share at the close of market immediately prior to the Effective Time.
F2: Additionally, all outstanding time-based restricted stock units of Zyla were cancelled and, in exchange therefor, each former holder of any such cancelled restricted stock unit has the right to receive a number of shares of fully vested Issuer common stock (rounded to the nearest whole number) equal to the product of (1) 2.5 and (2) the number of shares of Zyla common stock covered by such restricted stock unit.
F3: Totals exclude shares withheld by the Issuer for applicable tax withholdings.
F4: At the Effective Time, each outstanding option to purchase shares of Zyla's common stock, whether vested or unvested, that is outstanding immediately prior to the Effective Time was converted into an option to purchase shares of Issuer common stock, on the same terms and conditions (including any vesting or forfeiture provisions or repurchase rights, but taking into account any acceleration thereof provided for in the relevant Zyla equity plan or in the related award document by reason of the transactions contemplated by the Merger Agreement) as were applicable to such Zyla option as of immediately prior to the Effective Time.
F5: The number of shares of Issuer common stock subject to each such Parent option is equal to (1) the number of shares of Zyla common stock subject to the corresponding Zyla option immediately prior to the Effective Time multiplied by (2) 2.5, rounded, if necessary, to the nearest whole share of Issuer common stock, with an exercise per share (rounded to the nearest whole cent) adjusted as provided in the Merger Agreement.
ROCKWELL MEDICAL, INC.
Report date October 01, 2026 · Filed October 05, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 61,349 |
Reported balance
After 2026-10-01 transaction · row 1
1 source rowRow 1 · 2026-10-01 · Sale · Disposed 1,000 · Balance 61,349 F1: This transaction was executed pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 19, 2026. |
Filing footnotes · ownership attribution and instrument terms
F1: This transaction was executed pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 19, 2026.
WINDTREE THERAPEUTICS INC /DE/
Report date August 23, 2023 · Filed August 25, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 2,300 |
Reported balance
After 2023-08-23 transaction · row 1
1 source rowRow 1 · 2023-08-23 · Grant · Acquired 2,300 · Balance 2,300 F1: These shares represent restricted stock units (RSUs), which represent a contingent right to receive the equivalent number of shares of common stock. These RSUs shall vest upon the earlier of (a) the one-year anniversary of the date of grant and (b) Windtree's subsequent annual meeting of stockholders, provided that the reporting person remains in continuous service through the vesting date. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.21 · Expires 2033-08-23 | Direct | 3,450 |
Reported balance
After 2023-08-23 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2023-08-23 · Grant · Acquired 3,450 · Balance 3,450 F2: The stock option shall vest upon the earlier of (a) the one-year anniversary of the date of grant and (b) Windtree's subsequent annual meeting of stockholders, provided that the reporting person remains in continuous service through the vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: These shares represent restricted stock units (RSUs), which represent a contingent right to receive the equivalent number of shares of common stock. These RSUs shall vest upon the earlier of (a) the one-year anniversary of the date of grant and (b) Windtree's subsequent annual meeting of stockholders, provided that the reporting person remains in continuous service through the vesting date.
F2: The stock option shall vest upon the earlier of (a) the one-year anniversary of the date of grant and (b) Windtree's subsequent annual meeting of stockholders, provided that the reporting person remains in continuous service through the vesting date.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Zyla Life Sciences
Report date May 20, 2020 · Filed May 21, 2020
Section 16 reporting ended · disclosed 2020-05-21. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2020-05-20 transaction · row 1
1 source rowRow 1 · 2020-05-20 · Disposition to issuer · Disposed 180,864 · Balance 0 F1: Common stock and derivative securities of Zyla Life Sciences ("Issuer") were disposed of pursuant to the Agreement and Plan of Merger, dated as of March 16, 2020 (the "Merger Agreement"), by and among Issuer, Assertio Holdings, Inc. ("Parent"), Assertio Therapeutics, Inc., Alligator Merger Sub, Inc. and Zyla Merger Sub, Inc. ("Merger Sub"), pursuant to which each share of the Issuer's common stock issued and outstanding immediately prior to the effective time of the merger of Merger Sub with and into Issuer (the "Effective Time") was converted into the right to receive, and became exchangeable for, (1) 2.5 shares of Parent common stock for each share of Issuer's common stock and (2) any cash in lieu of fractional shares of Parent common stock. Parent common stock had a market value of approximately $0.80 per share at the close of market immediately prior to the Effective Time. F2: Includes unvested time-based and performance-based restricted stock units representing a contingent right to receive 180,864 shares of Issuer common stock upon vesting and settlement of such time-based restricted stock units. At the Effective Time, all outstanding time-based restricted stock units of Issuer were cancelled and, in exchange therefor, each former holder of any such cancelled restricted stock unit has the right to receive a number of shares of fully vested Parent common stock (rounded to the nearest whole number) equal to the product of (1) 2.5 and (2) the number of shares of Issuer common stock covered by such restricted stock unit. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.50 · Expires 2030-03-04 | Direct | 0 |
Reported balance
After 2020-05-20 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2020-05-20 · Disposition to issuer · Disposed 116,400 · Balance 0 F3: At the Effective Time, each outstanding option to purchase shares of Issuer's common stock, whether vested or unvested, that is outstanding immediately prior to the Effective Time, ceased to represent a right to acquire shares of Issuer common stock and was converted, at the Effective Time, into an option to purchase shares of Parent common stock, on the same terms and conditions (including any vesting or forfeiture provisions or repurchase rights, but taking into account any acceleration thereof provided for in the relevant Issuer equity plan or in the related award document by reason of the transactions contemplated by the Merger Agreement) as were applicable to such Issuer option as of immediately prior to the Effective Time. F4: The number of shares of Parent common stock subject to each such Parent option is equal to (1) the number of shares of Issuer common stock subject to the corresponding Issuer option immediately prior to the Effective Time multiplied by (2) 2.5, rounded, if necessary, to the nearest whole share of Parent common stock, with an exercise per share (rounded to the nearest whole cent) adjusted as provided in the Merger Agreement. |
Filing footnotes · ownership attribution and instrument terms
F1: Common stock and derivative securities of Zyla Life Sciences ("Issuer") were disposed of pursuant to the Agreement and Plan of Merger, dated as of March 16, 2020 (the "Merger Agreement"), by and among Issuer, Assertio Holdings, Inc. ("Parent"), Assertio Therapeutics, Inc., Alligator Merger Sub, Inc. and Zyla Merger Sub, Inc. ("Merger Sub"), pursuant to which each share of the Issuer's common stock issued and outstanding immediately prior to the effective time of the merger of Merger Sub with and into Issuer (the "Effective Time") was converted into the right to receive, and became exchangeable for, (1) 2.5 shares of Parent common stock for each share of Issuer's common stock and (2) any cash in lieu of fractional shares of Parent common stock. Parent common stock had a market value of approximately $0.80 per share at the close of market immediately prior to the Effective Time.
F2: Includes unvested time-based and performance-based restricted stock units representing a contingent right to receive 180,864 shares of Issuer common stock upon vesting and settlement of such time-based restricted stock units. At the Effective Time, all outstanding time-based restricted stock units of Issuer were cancelled and, in exchange therefor, each former holder of any such cancelled restricted stock unit has the right to receive a number of shares of fully vested Parent common stock (rounded to the nearest whole number) equal to the product of (1) 2.5 and (2) the number of shares of Issuer common stock covered by such restricted stock unit.
F3: At the Effective Time, each outstanding option to purchase shares of Issuer's common stock, whether vested or unvested, that is outstanding immediately prior to the Effective Time, ceased to represent a right to acquire shares of Issuer common stock and was converted, at the Effective Time, into an option to purchase shares of Parent common stock, on the same terms and conditions (including any vesting or forfeiture provisions or repurchase rights, but taking into account any acceleration thereof provided for in the relevant Issuer equity plan or in the related award document by reason of the transactions contemplated by the Merger Agreement) as were applicable to such Issuer option as of immediately prior to the Effective Time.
F4: The number of shares of Parent common stock subject to each such Parent option is equal to (1) the number of shares of Issuer common stock subject to the corresponding Issuer option immediately prior to the Effective Time multiplied by (2) 2.5, rounded, if necessary, to the nearest whole share of Parent common stock, with an exercise per share (rounded to the nearest whole cent) adjusted as provided in the Merger Agreement.
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 |
|---|---|---|---|---|---|---|
| October 01, 2026 Filed Oct 5, 2026 20:03 UTC | ROCKWELL MEDICAL, INC. RMTI · Entity 7426 | SaleCommon Stock | 1,000 | $8.42 | $8,420.00 |
DisclosureSEC source: 0001628280-26-064902 · wk-form4_1791230621.xml · nonDerivative · entry 1 Strobeck Mark · CIK 0001599219 · Director · President and CEO 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 61,349 F1 · kind: This transaction was executed pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 19, 2026. Read SEC document |
| July 01, 2026 Filed Jul 6, 2026 13:21 UTC | ROCKWELL MEDICAL, INC. RMTI · Entity 7426 | GrantCommon Stock | 30,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-26-047107 · wk-form4_1783344086.xml · nonDerivative · entry 1 Strobeck Mark · CIK 0001599219 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 62,349 F1 · kind: Restricted stock units ("RSUs") vest in three equal installments on the first, second and third anniversaries of July 1, 2026, subject to the Reporting Person's continued service to the Issuer. F2 · balance_after: Effective at 12:01 AM on July 1, 2026, the Issuer effected a 1-for-10 reverse split of the Issuer's common stock resulting in a reduction in the number of shares held by the Reporting Person. In addition, proportionate adjustments were made to the Issuer's outstanding equity awards. Accordingly, the shares listed under Amount of Securities Beneficially Owned Following Reported Transaction(s) reported in this Form 4 have been adjusted to reflect the 1-for-10 reverse split. Read SEC document |
| March 14, 2026 Filed Mar 16, 2026 22:08 UTC | ROCKWELL MEDICAL, INC. RMTI · Entity 7426 | Tax withholdingCommon Stock | 7,333 | $0.90 | $6,599.70 |
DisclosureSEC source: 0001628280-26-018314 · wk-form4_1773698920.xml · nonDerivative · entry 1 Strobeck Mark · CIK 0001599219 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 323,493 F1 · kind: These shares were withheld from the vesting of restricted stock units to cover the estimated tax withholding obligation. Read SEC document |
| October 01, 2025 Filed Oct 1, 2025 20:22 UTC | ROCKWELL MEDICAL, INC. RMTI · Entity 7426 | SaleCommon Stock | 6,926 | $1.19 | $8,241.94 |
DisclosureSEC source: 0001628280-25-043430 · wk-form4_1759350124.xml · nonDerivative · entry 1 Strobeck Mark · CIK 0001599219 · Director · President and CEO 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 330,826 F1 · kind: This transaction was executed pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 30, 2024. The price reported above reflects the sales price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| July 01, 2025 Filed Jul 2, 2025 21:17 UTC | ROCKWELL MEDICAL, INC. RMTI · Entity 7426 | SaleCommon Stock | 6,926 | $0.82 | $5,679.32 |
DisclosureSEC source: 0001628280-25-034068 · wk-form4_1751491044.xml · nonDerivative · entry 1 Strobeck Mark · CIK 0001599219 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 337,752 F1 · kind: This transaction was executed pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 30, 2024 in multiple trades at prices ranging from $0.81 to $0.84. The price reported above reflects the weighted average sales price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| July 01, 2025 Filed Jul 3, 2025 17:26 UTC Amendment | ROCKWELL MEDICAL, INC. RMTI · Entity 7426 | SaleCommon Stock | 6,926 | $0.82 | $5,679.32 |
DisclosureSEC source: 0001628280-25-034186 · wk-form4a_1751563574.xml · nonDerivative · entry 1 Strobeck Mark · CIK 0001599219 · Director · President and CEO 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 337,752 F1 · kind: This transaction was executed pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 30, 2024 in multiple trades at prices ranging from $0.81 to $0.84. The price reported above reflects the weighted average sales price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| May 20, 2025 Filed May 21, 2025 22:56 UTC | ROCKWELL MEDICAL, INC. RMTI · Entity 7426 | GrantStock Option (Right to Buy) · Derivative | 308,000 | $0.00 Strike: $1.07 | $0.00 |
DisclosureSEC source: 0001104659-25-051704 · tm2515860-9_4seq1.xml · derivative · entry 2 Strobeck Mark · CIK 0001599219 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 308,000 Underlying: Common Stock · 308,000 shares Expires 2035-05-20 F2 · derivative.exercise_date: Stock options vest 1/3 on the first anniversary of May 20, 2025, with the remaining vesting in equal monthly installments through May 20, 2028, subject to the Reporting Person's continued service to the Issuer. Read SEC document |
| May 20, 2025 Filed May 21, 2025 22:56 UTC | ROCKWELL MEDICAL, INC. RMTI · Entity 7426 | GrantCommon Stock | 220,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-25-051704 · tm2515860-9_4seq1.xml · nonDerivative · entry 1 Strobeck Mark · CIK 0001599219 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 344,678 F1 · kind: Restricted stock units vest on May 20, 2027, subject to the Reporting Person's continued service to the Issuer. Read SEC document |
| May 20, 2025 Filed Apr 17, 2026 22:49 UTC Amendment | ROCKWELL MEDICAL, INC. RMTI · Entity 7426 | GrantPerformance-based restricted stock units · Derivative | 352,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-26-045046 · tm2612183-1_4aseq1.xml · derivative · entry 1 Strobeck Mark · CIK 0001599219 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 352,000 Underlying: Common Stock · 352,000 shares Expires 2028-05-20 F1 · derivative.exercise_price: These are performance-based restricted stock units ("PSU") with terms as follows. The term of each PSU award runs from the grant date through the third anniversary of the grant date. Any unvested PSUs remaining after the third anniversary will be cancelled. The performance period for the award is the same three-year period. PSUs will vest on or after the first anniversary of the grant date only if the stock price meets the performance hurdle. The performance hurdle is met if the average closing price of the Company's common stock over any 60 consecutive trading days during the performance period equals two times the base price. The base price was calculated as the average closing price over the ten trading days ending on the trading day prior to the grant date and is $2.14 for this award. F1 · kind: These are performance-based restricted stock units ("PSU") with terms as follows. The term of each PSU award runs from the grant date through the third anniversary of the grant date. Any unvested PSUs remaining after the third anniversary will be cancelled. The performance period for the award is the same three-year period. PSUs will vest on or after the first anniversary of the grant date only if the stock price meets the performance hurdle. The performance hurdle is met if the average closing price of the Company's common stock over any 60 consecutive trading days during the performance period equals two times the base price. The base price was calculated as the average closing price over the ten trading days ending on the trading day prior to the grant date and is $2.14 for this award. F1 · derivative.exercise_date: These are performance-based restricted stock units ("PSU") with terms as follows. The term of each PSU award runs from the grant date through the third anniversary of the grant date. Any unvested PSUs remaining after the third anniversary will be cancelled. The performance period for the award is the same three-year period. PSUs will vest on or after the first anniversary of the grant date only if the stock price meets the performance hurdle. The performance hurdle is met if the average closing price of the Company's common stock over any 60 consecutive trading days during the performance period equals two times the base price. The base price was calculated as the average closing price over the ten trading days ending on the trading day prior to the grant date and is $2.14 for this award. Read SEC document |
| April 01, 2025 Filed Apr 2, 2025 22:06 UTC | ROCKWELL MEDICAL, INC. RMTI · Entity 7426 | SaleCommon Stock | 6,926 | $1.08 | $7,480.08 |
DisclosureSEC source: 0001104659-25-031297 · tm2511323-3_4seq1.xml · nonDerivative · entry 1 Strobeck Mark · CIK 0001599219 · Director · President and CEO 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 124,678 F1 · kind: This transaction was executed pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 30, 2024 in multiple trades at prices ranging from $1.065 to $1.12. The price reported above reflects the weighted average sales price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| March 17, 2025 Filed Mar 18, 2025 22:13 UTC | ROCKWELL MEDICAL, INC. RMTI · Entity 7426 | Tax withholdingCommon Stock | 6,101 | $1.77 | $10,798.77 |
DisclosureSEC source: 0001104659-25-025172 · tm259684-1_4seq1.xml · nonDerivative · entry 2 Strobeck Mark · CIK 0001599219 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 131,604 F1 · kind: These shares were withheld from the vesting of restricted stock units to cover the estimated tax withholding obligation. Read SEC document |
| March 14, 2025 Filed Mar 18, 2025 22:13 UTC | ROCKWELL MEDICAL, INC. RMTI · Entity 7426 | Tax withholdingCommon Stock | 7,333 | $1.70 | $12,466.10 |
DisclosureSEC source: 0001104659-25-025172 · tm259684-1_4seq1.xml · nonDerivative · entry 1 Strobeck Mark · CIK 0001599219 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 137,705 F1 · kind: These shares were withheld from the vesting of restricted stock units to cover the estimated tax withholding obligation. Read SEC document |
| January 02, 2025 Filed Jan 6, 2025 21:43 UTC | ROCKWELL MEDICAL, INC. RMTI · Entity 7426 | SaleCommon Stock | 2,163 | $2.06 | $4,444.97 |
DisclosureSEC source: 0001104659-25-001358 · tm252076-1_4seq1.xml · nonDerivative · entry 1 Strobeck Mark · CIK 0001599219 · Director · President and CEO 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 145,038 F1 · kind: This transaction was executed pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 30, 2024. Read SEC document |
| October 01, 2024 Filed Oct 3, 2024 01:54 UTC | ROCKWELL MEDICAL, INC. RMTI · Entity 7426 | SaleCommon Stock | 2,163 | $3.69 | $7,971.09 |
DisclosureSEC source: 0001104659-24-105580 · tm2425510-1_4seq1.xml · nonDerivative · entry 1 Strobeck Mark · CIK 0001599219 · Director · President and CEO 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 147,201 F1 · kind: This transaction was executed pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 30, 2024 in multiple trades at prices ranging from $3.67 to $3.69. The price reported above reflects the weighted average sales price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| March 17, 2024 Filed Mar 19, 2024 20:33 UTC | ROCKWELL MEDICAL, INC. RMTI · Entity 7426 | Tax withholdingCommon Stock | 6,101 | $1.40 | $8,541.40 |
DisclosureSEC source: 0001104659-24-036181 · tm249266-2_4seq1.xml · nonDerivative · entry 1 Strobeck Mark · CIK 0001599219 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 149,364 F1 · kind: These shares were withheld from the vesting of restricted stock units to cover the estimated tax withholding obligation. Read SEC document |
| March 14, 2024 Filed Mar 15, 2024 20:34 UTC | ROCKWELL MEDICAL, INC. RMTI · Entity 7426 | GrantStock Option (Right to Buy) · Derivative | 141,560 | $0.00 Strike: $1.39 | $0.00 |
DisclosureSEC source: 0001104659-24-035044 · tm248985-2_4seq1.xml · derivative · entry 2 Strobeck Mark · CIK 0001599219 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 141,560 Underlying: Common Stock · 141,560 shares Expires 2034-03-14 F2 · derivative.exercise_date: Stock options vest 25% on the first anniversary of March 14, 2024, with the remainder vesting in equal monthly installments through March 14, 2028, subject to the Reporting Person's continued service to the Issuer. Read SEC document |
| March 14, 2024 Filed Mar 15, 2024 20:34 UTC | ROCKWELL MEDICAL, INC. RMTI · Entity 7426 | GrantCommon Stock | 100,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-24-035044 · tm248985-2_4seq1.xml · nonDerivative · entry 1 Strobeck Mark · CIK 0001599219 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 155,465 F1 · kind: Restricted stock units vest in three equal installments on the first, second and third anniversaries of March 14, 2024, subject to the Reporting Person's continued service to the Issuer. Read SEC document |
| August 23, 2023 Filed Aug 25, 2023 22:03 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | GrantStock Option (Right to Buy) · Derivative | 3,450 | $0.00 Strike: $1.21 | $0.00 |
DisclosureSEC source: 0001437749-23-024715 · rdgdoc.xml · derivative · entry 2 Strobeck Mark · CIK 0001599219 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 3,450 Underlying: Common Stock · 3,450 shares Expires 2033-08-23 F2 · derivative.exercise_date: The stock option shall vest upon the earlier of (a) the one-year anniversary of the date of grant and (b) Windtree's subsequent annual meeting of stockholders, provided that the reporting person remains in continuous service through the vesting date. Read SEC document |
| August 23, 2023 Filed Aug 25, 2023 22:03 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | GrantCommon Stock | 2,300 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-23-024715 · rdgdoc.xml · nonDerivative · entry 1 Strobeck Mark · CIK 0001599219 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,300 F1 · shares: These shares represent restricted stock units (RSUs), which represent a contingent right to receive the equivalent number of shares of common stock. These RSUs shall vest upon the earlier of (a) the one-year anniversary of the date of grant and (b) Windtree's subsequent annual meeting of stockholders, provided that the reporting person remains in continuous service through the vesting date. Read SEC document |
| March 17, 2023 Filed Mar 21, 2023 22:36 UTC | ROCKWELL MEDICAL, INC. RMTI · Entity 7426 | GrantStock Option (Right to Buy) · Derivative | 77,105 | $0.00 Strike: $1.37 | $0.00 |
DisclosureSEC source: 0001104659-23-035190 · tm2310125-1_4seq1.xml · derivative · entry 2 Strobeck Mark · CIK 0001599219 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 77,105 Underlying: Common Stock · 77,105 shares Expires 2033-03-17 F2 · derivative.exercise_date: Stock options vest 25% on the first anniversary of March 17, 2023, with the remainder vesting in equal monthly installments through March 17, 2027, subject to the Reporting Person's continued service to the Issuer. Stock options are also subject to stockholder approval of an increase in the share reserve under the Rockwell Medical, Inc. Amended and Restated 2018 Long Term Incentive Plan at the 2023 annual meeting of stockholders. Read SEC document |
| March 17, 2023 Filed Mar 21, 2023 22:36 UTC | ROCKWELL MEDICAL, INC. RMTI · Entity 7426 | GrantCommon Stock | 55,465 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-23-035190 · tm2310125-1_4seq1.xml · nonDerivative · entry 1 Strobeck Mark · CIK 0001599219 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 55,465 F1 · kind: Restricted stock units ("RSUs") vest in two equal installments on the first and second anniversaries of March 17, 2023, subject to the Reporting Person's continued service to the Issuer. RSUs are also subject to stockholder approval of an increase in the share reserve under the Rockwell Medical, Inc. Amended and Restated 2018 Long Term Incentive Plan at the 2023 annual meeting of stockholders. Read SEC document |
| July 01, 2022 Filed Jul 5, 2022 20:37 UTC | ROCKWELL MEDICAL, INC. RMTI · Entity 7426 | GrantStock Option (Right to Buy) · Derivative | 400,000 | $0.00 Strike: $1.28 | $0.00 |
DisclosureSEC source: 0001104659-22-077393 · tm2220421-2_4seq1.xml · derivative · entry 1 Strobeck Mark · CIK 0001599219 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 400,000 Underlying: Common Stock · 400,000 shares Expires 2032-07-01 F1 · derivative.exercise_date: Stock options vest in four equal installments on the first, second, third and fourth anniversaries of July 1, 2022. Read SEC document |
| May 20, 2020 Filed May 21, 2020 16:33 UTC | Zyla Life Sciences ZCOR · Entity 148990 | Disposition to issuerStock Option (right to buy) · Derivative | 116,400 | Not disclosed Strike: $1.50 | Not disclosed |
DisclosureSEC source: 0001104659-20-064799 · a4.xml · derivative · entry 2 Strobeck Mark · CIK 0001599219 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 116,400 shares Expires 2030-03-04 F3 · kind: At the Effective Time, each outstanding option to purchase shares of Issuer's common stock, whether vested or unvested, that is outstanding immediately prior to the Effective Time, ceased to represent a right to acquire shares of Issuer common stock and was converted, at the Effective Time, into an option to purchase shares of Parent common stock, on the same terms and conditions (including any vesting or forfeiture provisions or repurchase rights, but taking into account any acceleration thereof provided for in the relevant Issuer equity plan or in the related award document by reason of the transactions contemplated by the Merger Agreement) as were applicable to such Issuer option as of immediately prior to the Effective Time. F4 · kind: The number of shares of Parent common stock subject to each such Parent option is equal to (1) the number of shares of Issuer common stock subject to the corresponding Issuer option immediately prior to the Effective Time multiplied by (2) 2.5, rounded, if necessary, to the nearest whole share of Parent common stock, with an exercise per share (rounded to the nearest whole cent) adjusted as provided in the Merger Agreement. F3 · price: At the Effective Time, each outstanding option to purchase shares of Issuer's common stock, whether vested or unvested, that is outstanding immediately prior to the Effective Time, ceased to represent a right to acquire shares of Issuer common stock and was converted, at the Effective Time, into an option to purchase shares of Parent common stock, on the same terms and conditions (including any vesting or forfeiture provisions or repurchase rights, but taking into account any acceleration thereof provided for in the relevant Issuer equity plan or in the related award document by reason of the transactions contemplated by the Merger Agreement) as were applicable to such Issuer option as of immediately prior to the Effective Time. F4 · price: The number of shares of Parent common stock subject to each such Parent option is equal to (1) the number of shares of Issuer common stock subject to the corresponding Issuer option immediately prior to the Effective Time multiplied by (2) 2.5, rounded, if necessary, to the nearest whole share of Parent common stock, with an exercise per share (rounded to the nearest whole cent) adjusted as provided in the Merger Agreement. F3 · derivative.exercise_date: At the Effective Time, each outstanding option to purchase shares of Issuer's common stock, whether vested or unvested, that is outstanding immediately prior to the Effective Time, ceased to represent a right to acquire shares of Issuer common stock and was converted, at the Effective Time, into an option to purchase shares of Parent common stock, on the same terms and conditions (including any vesting or forfeiture provisions or repurchase rights, but taking into account any acceleration thereof provided for in the relevant Issuer equity plan or in the related award document by reason of the transactions contemplated by the Merger Agreement) as were applicable to such Issuer option as of immediately prior to the Effective Time. F4 · derivative.exercise_date: The number of shares of Parent common stock subject to each such Parent option is equal to (1) the number of shares of Issuer common stock subject to the corresponding Issuer option immediately prior to the Effective Time multiplied by (2) 2.5, rounded, if necessary, to the nearest whole share of Parent common stock, with an exercise per share (rounded to the nearest whole cent) adjusted as provided in the Merger Agreement. Read SEC document |
| May 20, 2020 Filed May 21, 2020 16:33 UTC | Zyla Life Sciences ZCOR · Entity 148990 | Disposition to issuerCommon Stock | 180,864 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-20-064799 · a4.xml · nonDerivative · entry 1 Strobeck Mark · CIK 0001599219 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · kind: Common stock and derivative securities of Zyla Life Sciences ("Issuer") were disposed of pursuant to the Agreement and Plan of Merger, dated as of March 16, 2020 (the "Merger Agreement"), by and among Issuer, Assertio Holdings, Inc. ("Parent"), Assertio Therapeutics, Inc., Alligator Merger Sub, Inc. and Zyla Merger Sub, Inc. ("Merger Sub"), pursuant to which each share of the Issuer's common stock issued and outstanding immediately prior to the effective time of the merger of Merger Sub with and into Issuer (the "Effective Time") was converted into the right to receive, and became exchangeable for, (1) 2.5 shares of Parent common stock for each share of Issuer's common stock and (2) any cash in lieu of fractional shares of Parent common stock. Parent common stock had a market value of approximately $0.80 per share at the close of market immediately prior to the Effective Time. F2 · kind: Includes unvested time-based and performance-based restricted stock units representing a contingent right to receive 180,864 shares of Issuer common stock upon vesting and settlement of such time-based restricted stock units. At the Effective Time, all outstanding time-based restricted stock units of Issuer were cancelled and, in exchange therefor, each former holder of any such cancelled restricted stock unit has the right to receive a number of shares of fully vested Parent common stock (rounded to the nearest whole number) equal to the product of (1) 2.5 and (2) the number of shares of Issuer common stock covered by such restricted stock unit. F1 · price: Common stock and derivative securities of Zyla Life Sciences ("Issuer") were disposed of pursuant to the Agreement and Plan of Merger, dated as of March 16, 2020 (the "Merger Agreement"), by and among Issuer, Assertio Holdings, Inc. ("Parent"), Assertio Therapeutics, Inc., Alligator Merger Sub, Inc. and Zyla Merger Sub, Inc. ("Merger Sub"), pursuant to which each share of the Issuer's common stock issued and outstanding immediately prior to the effective time of the merger of Merger Sub with and into Issuer (the "Effective Time") was converted into the right to receive, and became exchangeable for, (1) 2.5 shares of Parent common stock for each share of Issuer's common stock and (2) any cash in lieu of fractional shares of Parent common stock. Parent common stock had a market value of approximately $0.80 per share at the close of market immediately prior to the Effective Time. F2 · price: Includes unvested time-based and performance-based restricted stock units representing a contingent right to receive 180,864 shares of Issuer common stock upon vesting and settlement of such time-based restricted stock units. At the Effective Time, all outstanding time-based restricted stock units of Issuer were cancelled and, in exchange therefor, each former holder of any such cancelled restricted stock unit has the right to receive a number of shares of fully vested Parent common stock (rounded to the nearest whole number) equal to the product of (1) 2.5 and (2) the number of shares of Issuer common stock covered by such restricted stock unit. Read SEC document |
| May 20, 2020 Filed May 23, 2020 00:56 UTC | Assertio Holdings, Inc. ASRT · Entity 37706 | GrantStock Option (right to buy) · Derivative | 291,000 | Not disclosed Strike: $0.60 | Not disclosed |
DisclosureSEC source: 0001104659-20-065546 · a4.xml · derivative · entry 2 Strobeck Mark · CIK 0001599219 · EVP & Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 291,000 Underlying: Common Stock · 291,000 shares Expires 2030-03-04 F4 · kind: At the Effective Time, each outstanding option to purchase shares of Zyla's common stock, whether vested or unvested, that is outstanding immediately prior to the Effective Time was converted into an option to purchase shares of Issuer common stock, on the same terms and conditions (including any vesting or forfeiture provisions or repurchase rights, but taking into account any acceleration thereof provided for in the relevant Zyla equity plan or in the related award document by reason of the transactions contemplated by the Merger Agreement) as were applicable to such Zyla option as of immediately prior to the Effective Time. F5 · kind: The number of shares of Issuer common stock subject to each such Parent option is equal to (1) the number of shares of Zyla common stock subject to the corresponding Zyla option immediately prior to the Effective Time multiplied by (2) 2.5, rounded, if necessary, to the nearest whole share of Issuer common stock, with an exercise per share (rounded to the nearest whole cent) adjusted as provided in the Merger Agreement. F4 · price: At the Effective Time, each outstanding option to purchase shares of Zyla's common stock, whether vested or unvested, that is outstanding immediately prior to the Effective Time was converted into an option to purchase shares of Issuer common stock, on the same terms and conditions (including any vesting or forfeiture provisions or repurchase rights, but taking into account any acceleration thereof provided for in the relevant Zyla equity plan or in the related award document by reason of the transactions contemplated by the Merger Agreement) as were applicable to such Zyla option as of immediately prior to the Effective Time. F5 · price: The number of shares of Issuer common stock subject to each such Parent option is equal to (1) the number of shares of Zyla common stock subject to the corresponding Zyla option immediately prior to the Effective Time multiplied by (2) 2.5, rounded, if necessary, to the nearest whole share of Issuer common stock, with an exercise per share (rounded to the nearest whole cent) adjusted as provided in the Merger Agreement. F4 · derivative.exercise_date: At the Effective Time, each outstanding option to purchase shares of Zyla's common stock, whether vested or unvested, that is outstanding immediately prior to the Effective Time was converted into an option to purchase shares of Issuer common stock, on the same terms and conditions (including any vesting or forfeiture provisions or repurchase rights, but taking into account any acceleration thereof provided for in the relevant Zyla equity plan or in the related award document by reason of the transactions contemplated by the Merger Agreement) as were applicable to such Zyla option as of immediately prior to the Effective Time. F5 · derivative.exercise_date: The number of shares of Issuer common stock subject to each such Parent option is equal to (1) the number of shares of Zyla common stock subject to the corresponding Zyla option immediately prior to the Effective Time multiplied by (2) 2.5, rounded, if necessary, to the nearest whole share of Issuer common stock, with an exercise per share (rounded to the nearest whole cent) adjusted as provided in the Merger Agreement. Read SEC document |
| May 20, 2020 Filed May 23, 2020 00:56 UTC | Assertio Holdings, Inc. ASRT · Entity 37706 | GrantCommon Stock | 248,599 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-20-065546 · a4.xml · nonDerivative · entry 1 Strobeck Mark · CIK 0001599219 · EVP & Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 248,599 F1 · kind: Common stock of Assertio Holdings, Inc. ("Issuer") acquired at the effective time ("Effective Time") of the transactions contemplated in the Agreement and Plan of Merger, dated as of March 16, 2020 (the "Merger Agreement"), by and among Issuer, Zyla Life Sciences ("Zyla") and the other parties thereto. Pursuant to the Merger Agreement, each share of Zyla common stock issued and outstanding immediately prior to the Effective Time was converted into the right to receive, and became exchangeable for 2.5 shares of Issuer common stock. Issuer common stock had a market value of approximately $0.80 per share at the close of market immediately prior to the Effective Time. F2 · kind: Additionally, all outstanding time-based restricted stock units of Zyla were cancelled and, in exchange therefor, each former holder of any such cancelled restricted stock unit has the right to receive a number of shares of fully vested Issuer common stock (rounded to the nearest whole number) equal to the product of (1) 2.5 and (2) the number of shares of Zyla common stock covered by such restricted stock unit. F3 · shares: Totals exclude shares withheld by the Issuer for applicable tax withholdings. F1 · price: Common stock of Assertio Holdings, Inc. ("Issuer") acquired at the effective time ("Effective Time") of the transactions contemplated in the Agreement and Plan of Merger, dated as of March 16, 2020 (the "Merger Agreement"), by and among Issuer, Zyla Life Sciences ("Zyla") and the other parties thereto. Pursuant to the Merger Agreement, each share of Zyla common stock issued and outstanding immediately prior to the Effective Time was converted into the right to receive, and became exchangeable for 2.5 shares of Issuer common stock. Issuer common stock had a market value of approximately $0.80 per share at the close of market immediately prior to the Effective Time. F2 · price: Additionally, all outstanding time-based restricted stock units of Zyla were cancelled and, in exchange therefor, each former holder of any such cancelled restricted stock unit has the right to receive a number of shares of fully vested Issuer common stock (rounded to the nearest whole number) equal to the product of (1) 2.5 and (2) the number of shares of Zyla common stock covered by such restricted stock unit. F3 · balance_after: Totals exclude shares withheld by the Issuer for applicable tax withholdings. Read SEC document |
| March 26, 2020 Filed Mar 26, 2020 18:25 UTC | Zyla Life Sciences ZCOR · Entity 148990 | Exercise / conversionRestricted Stock Units · Derivative | 29,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-20-004143 · edgar.xml · derivative · entry 5 Strobeck Mark · CIK 0001599219 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 29,000 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. F2 · derivative.exercise_price: Restricted Stock Units convert into Common Stock on a one-for-one basis. F3 · shares: On March 26, 2019 the reporting person was granted 87,000 time-based restricted stock units that were eligible to vest 1/3 on each of the first three anniversaries of the grant date. F3 · derivative.exercise_date: On March 26, 2019 the reporting person was granted 87,000 time-based restricted stock units that were eligible to vest 1/3 on each of the first three anniversaries of the grant date. F3 · derivative.expiration_date: On March 26, 2019 the reporting person was granted 87,000 time-based restricted stock units that were eligible to vest 1/3 on each of the first three anniversaries of the grant date. Read SEC document |
| March 26, 2020 Filed Mar 26, 2020 18:25 UTC | Zyla Life Sciences ZCOR · Entity 148990 | Exercise / conversionRestricted Stock Units · Derivative | 33,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-20-004143 · edgar.xml · derivative · entry 4 Strobeck Mark · CIK 0001599219 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 33,000 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. F2 · derivative.exercise_price: Restricted Stock Units convert into Common Stock on a one-for-one basis. F4 · shares: On March 26, 2019 the reporting person was granted 33,000 time-based restricted stock units that were eligible to vest on the first anniversary of the grant date. F4 · derivative.exercise_date: On March 26, 2019 the reporting person was granted 33,000 time-based restricted stock units that were eligible to vest on the first anniversary of the grant date. F4 · derivative.expiration_date: On March 26, 2019 the reporting person was granted 33,000 time-based restricted stock units that were eligible to vest on the first anniversary of the grant date. Read SEC document |
| March 26, 2020 Filed Mar 26, 2020 18:25 UTC | Zyla Life Sciences ZCOR · Entity 148990 | Tax withholdingCommon Stock | 17,038 | $1.60 | $27,260.80 |
DisclosureSEC source: 0001179110-20-004143 · edgar.xml · nonDerivative · entry 3 Strobeck Mark · CIK 0001599219 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,962 F1 · shares: Represents shares withheld to pay taxes applicable to vesting of restricted stock units. Read SEC document |
| March 26, 2020 Filed Mar 26, 2020 18:25 UTC | Zyla Life Sciences ZCOR · Entity 148990 | Exercise / conversionCommon Stock | 29,000 | $1.60 | $46,400.00 |
DisclosureSEC source: 0001179110-20-004143 · edgar.xml · nonDerivative · entry 2 Strobeck Mark · CIK 0001599219 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,000 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 · shares: On March 26, 2019 the reporting person was granted 87,000 time-based restricted stock units that were eligible to vest 1/3 on each of the first three anniversaries of the grant date. Read SEC document |
| March 26, 2020 Filed Mar 26, 2020 18:25 UTC | Zyla Life Sciences ZCOR · Entity 148990 | Exercise / conversionCommon Stock | 33,000 | $1.60 | $52,800.00 |
DisclosureSEC source: 0001179110-20-004143 · edgar.xml · nonDerivative · entry 1 Strobeck Mark · CIK 0001599219 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,000 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. F4 · shares: On March 26, 2019 the reporting person was granted 33,000 time-based restricted stock units that were eligible to vest on the first anniversary of the grant date. Read SEC document |
| March 04, 2020 Filed Mar 5, 2020 20:46 UTC | Zyla Life Sciences ZCOR · Entity 148990 | GrantStock Option (right to buy) · Derivative | 116,400 | $0.00 Strike: $1.50 | $0.00 |
DisclosureSEC source: 0001179110-20-003206 · edgar.xml · derivative · entry 2 Strobeck Mark · CIK 0001599219 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 116,400 Underlying: Common Stock · 116,400 shares Expires 2030-03-04 F1 · derivative.exercise_date: Represents non-qualified stock option, 1/3 of which vests on the first anniversary of the grant date and 1/36 of which vests each month thereafter until the option is 100% vested. Read SEC document |
| March 04, 2020 Filed Mar 5, 2020 20:46 UTC | Zyla Life Sciences ZCOR · Entity 148990 | GrantCommon Stock | 79,800 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-20-003206 · edgar.xml · nonDerivative · entry 1 Strobeck Mark · CIK 0001599219 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 79,800 F2 · shares: Represents restricted stock units, which vest in three equal annual installments on the first three anniversaries of the date of grant. Read SEC document |
| March 01, 2020 Filed Mar 2, 2020 20:54 UTC | Zyla Life Sciences ZCOR · Entity 148990 | Exercise / conversionRestricted Stock Units · Derivative | 32,670 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-20-002746 · edgar.xml · derivative · entry 5 Strobeck Mark · CIK 0001599219 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 32,670 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: Restricted Stock Units convert into Common Stock on a one-for-one basis. F5 · derivative.exercise_date: On March 26, 2019 the reporting person was granted 33,000 performance-based restricted stock units that were eligible to vest on March 1, 2020, subject to the Company's achievement of at least 75% of its 2019 Corporate Goals, as set by the Board in March 2019, with the exact number of performance-based RSUs vesting pro-rated based on the level of achievement between 75% and 100%. F5 · derivative.expiration_date: On March 26, 2019 the reporting person was granted 33,000 performance-based restricted stock units that were eligible to vest on March 1, 2020, subject to the Company's achievement of at least 75% of its 2019 Corporate Goals, as set by the Board in March 2019, with the exact number of performance-based RSUs vesting pro-rated based on the level of achievement between 75% and 100%. Read SEC document |
| March 01, 2020 Filed Mar 2, 2020 20:54 UTC | Zyla Life Sciences ZCOR · Entity 148990 | Exercise / conversionRestricted Stock Units · Derivative | 43,065 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-20-002746 · edgar.xml · derivative · entry 4 Strobeck Mark · CIK 0001599219 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 43,065 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: Restricted Stock Units convert into Common Stock on a one-for-one basis. F4 · derivative.exercise_date: On March 26, 2019 the reporting person was granted 87,000 performance-based restricted stock units that were eligible to vest 1/2 on March 1, 2020 and 1/2 on March 1, 2021, subject to the Company's achievement of at least 75% of its 2019 Corporate Goals, as set by the Board in March 2019, with the exact number of performance-based RSUs vesting pro-rated based on the level of achievement between 75% and 100%. F4 · derivative.expiration_date: On March 26, 2019 the reporting person was granted 87,000 performance-based restricted stock units that were eligible to vest 1/2 on March 1, 2020 and 1/2 on March 1, 2021, subject to the Company's achievement of at least 75% of its 2019 Corporate Goals, as set by the Board in March 2019, with the exact number of performance-based RSUs vesting pro-rated based on the level of achievement between 75% and 100%. Read SEC document |
| March 01, 2020 Filed Mar 2, 2020 20:54 UTC | Zyla Life Sciences ZCOR · Entity 148990 | Tax withholdingCommon Stock | 20,812 | $1.50 | $31,218.00 |
DisclosureSEC source: 0001179110-20-002746 · edgar.xml · nonDerivative · entry 3 Strobeck Mark · CIK 0001599219 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,923 F2 · shares: Represents shares withheld to pay taxes applicable to vesting of restricted stock units. Read SEC document |
| March 01, 2020 Filed Mar 2, 2020 20:54 UTC | Zyla Life Sciences ZCOR · Entity 148990 | Exercise / conversionCommon Stock | 32,670 | $1.50 | $49,005.00 |
DisclosureSEC source: 0001179110-20-002746 · edgar.xml · nonDerivative · entry 2 Strobeck Mark · CIK 0001599219 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,735 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 · shares: Performance-based restricted stock units granted on March 26, 2019 that vested based on 99% attainment of corporate goals. The restricted stock units represent the right to receive an equal number of shares of Common Stock issued pursuant to the Zyla Life Sciences 2019 Stock-Based Incentive Compensation Plan. The shares are convertible into Common Stock immediately. Read SEC document |
| March 01, 2020 Filed Mar 2, 2020 20:54 UTC | Zyla Life Sciences ZCOR · Entity 148990 | Exercise / conversionCommon Stock | 43,065 | $1.50 | $64,597.50 |
DisclosureSEC source: 0001179110-20-002746 · edgar.xml · nonDerivative · entry 1 Strobeck Mark · CIK 0001599219 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,065 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 · shares: Performance-based restricted stock units granted on March 26, 2019 that vested based on 99% attainment of corporate goals. The restricted stock units represent the right to receive an equal number of shares of Common Stock issued pursuant to the Zyla Life Sciences 2019 Stock-Based Incentive Compensation Plan. The shares are convertible into Common Stock immediately. Read SEC document |
| March 26, 2019 Filed Mar 28, 2019 16:01 UTC | Zyla Life Sciences EGLT · Entity 148990 | GrantCommon Stock | 33,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-19-004350 · edgar.xml · nonDerivative · entry 2 Strobeck Mark · CIK 0001599219 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 120,000 F2 · shares: Represents restricted stock units, which vest 100% on the first anniversary of the date of grant. Read SEC document |
| March 26, 2019 Filed Mar 28, 2019 16:01 UTC | Zyla Life Sciences EGLT · Entity 148990 | GrantCommon Stock | 87,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-19-004350 · edgar.xml · nonDerivative · entry 1 Strobeck Mark · CIK 0001599219 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 87,000 F1 · shares: Represents restricted stock units, which vest in three equal annual installments on the first three anniversaries of the date of grant. Read SEC document |
| January 31, 2019 Filed Feb 4, 2019 18:32 UTC | Zyla Life Sciences EGLT · Entity 148990 | Disposition to issuerStock Option (Right to Buy) · Derivative | 100,000 | Not disclosed Strike: $2.38 | Not disclosed |
DisclosureSEC source: 0001179110-19-001247 · edgar.xml · derivative · entry 6 Strobeck Mark · CIK 0001599219 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 100,000 shares Expires 2027-06-08 F2 · price: Pursuant to the First Amended Joint Plan of Reorganization filed by Egalet Corporation and its subsidiaries under Chapter 11 of the United States Bankruptcy Code (the "Plan"), the common stock and other equity interests of Egalet Corporation reported as disposed of herein were cancelled and retired and ceased to exist at the effective time of the Plan. F2 · derivative.exercise_date: Pursuant to the First Amended Joint Plan of Reorganization filed by Egalet Corporation and its subsidiaries under Chapter 11 of the United States Bankruptcy Code (the "Plan"), the common stock and other equity interests of Egalet Corporation reported as disposed of herein were cancelled and retired and ceased to exist at the effective time of the Plan. Read SEC document |
| January 31, 2019 Filed Feb 4, 2019 18:32 UTC | Zyla Life Sciences EGLT · Entity 148990 | Disposition to issuerStock Option (Right to Buy) · Derivative | 100,000 | Not disclosed Strike: $8.11 | Not disclosed |
DisclosureSEC source: 0001179110-19-001247 · edgar.xml · derivative · entry 5 Strobeck Mark · CIK 0001599219 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 100,000 shares Expires 2026-12-06 F2 · price: Pursuant to the First Amended Joint Plan of Reorganization filed by Egalet Corporation and its subsidiaries under Chapter 11 of the United States Bankruptcy Code (the "Plan"), the common stock and other equity interests of Egalet Corporation reported as disposed of herein were cancelled and retired and ceased to exist at the effective time of the Plan. F2 · derivative.exercise_date: Pursuant to the First Amended Joint Plan of Reorganization filed by Egalet Corporation and its subsidiaries under Chapter 11 of the United States Bankruptcy Code (the "Plan"), the common stock and other equity interests of Egalet Corporation reported as disposed of herein were cancelled and retired and ceased to exist at the effective time of the Plan. Read SEC document |
| January 31, 2019 Filed Feb 4, 2019 18:32 UTC | Zyla Life Sciences EGLT · Entity 148990 | Disposition to issuerStock Option (Right to Buy) · Derivative | 115,000 | Not disclosed Strike: $8.59 | Not disclosed |
DisclosureSEC source: 0001179110-19-001247 · edgar.xml · derivative · entry 4 Strobeck Mark · CIK 0001599219 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 115,000 shares Expires 2025-11-20 F2 · price: Pursuant to the First Amended Joint Plan of Reorganization filed by Egalet Corporation and its subsidiaries under Chapter 11 of the United States Bankruptcy Code (the "Plan"), the common stock and other equity interests of Egalet Corporation reported as disposed of herein were cancelled and retired and ceased to exist at the effective time of the Plan. F2 · derivative.exercise_date: Pursuant to the First Amended Joint Plan of Reorganization filed by Egalet Corporation and its subsidiaries under Chapter 11 of the United States Bankruptcy Code (the "Plan"), the common stock and other equity interests of Egalet Corporation reported as disposed of herein were cancelled and retired and ceased to exist at the effective time of the Plan. Read SEC document |
| January 31, 2019 Filed Feb 4, 2019 18:32 UTC | Zyla Life Sciences EGLT · Entity 148990 | Disposition to issuerStock Option (Right to Buy) · Derivative | 40,000 | Not disclosed Strike: $5.25 | Not disclosed |
DisclosureSEC source: 0001179110-19-001247 · edgar.xml · derivative · entry 3 Strobeck Mark · CIK 0001599219 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 40,000 shares Expires 2024-12-04 F2 · price: Pursuant to the First Amended Joint Plan of Reorganization filed by Egalet Corporation and its subsidiaries under Chapter 11 of the United States Bankruptcy Code (the "Plan"), the common stock and other equity interests of Egalet Corporation reported as disposed of herein were cancelled and retired and ceased to exist at the effective time of the Plan. F2 · derivative.exercise_date: Pursuant to the First Amended Joint Plan of Reorganization filed by Egalet Corporation and its subsidiaries under Chapter 11 of the United States Bankruptcy Code (the "Plan"), the common stock and other equity interests of Egalet Corporation reported as disposed of herein were cancelled and retired and ceased to exist at the effective time of the Plan. Read SEC document |
| January 31, 2019 Filed Feb 4, 2019 18:32 UTC | Zyla Life Sciences EGLT · Entity 148990 | Disposition to issuerCommon Stock | 80,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001179110-19-001247 · edgar.xml · nonDerivative · entry 2 Strobeck Mark · CIK 0001599219 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F3 · shares: Consists of Restricted Stock Units granted on March 6, 2018. F2 · price: Pursuant to the First Amended Joint Plan of Reorganization filed by Egalet Corporation and its subsidiaries under Chapter 11 of the United States Bankruptcy Code (the "Plan"), the common stock and other equity interests of Egalet Corporation reported as disposed of herein were cancelled and retired and ceased to exist at the effective time of the Plan. Read SEC document |
| January 31, 2019 Filed Feb 4, 2019 18:32 UTC | Zyla Life Sciences EGLT · Entity 148990 | Disposition to issuerCommon Stock | 237,080 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001179110-19-001247 · edgar.xml · nonDerivative · entry 1 Strobeck Mark · CIK 0001599219 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · shares: Includes 225,000 shares of Restricted Stock granted on June 13, 2018. F2 · price: Pursuant to the First Amended Joint Plan of Reorganization filed by Egalet Corporation and its subsidiaries under Chapter 11 of the United States Bankruptcy Code (the "Plan"), the common stock and other equity interests of Egalet Corporation reported as disposed of herein were cancelled and retired and ceased to exist at the effective time of the Plan. Read SEC document |
| June 13, 2018 Filed Jun 15, 2018 17:31 UTC | Zyla Life Sciences EGLT · Entity 148990 | GrantCommon Stock | 225,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-18-008654 · edgar.xml · nonDerivative · entry 1 Strobeck Mark · CIK 0001599219 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 317,080 F1 · shares: Represents restricted stock, 100% of which vests on the first anniversary of the date of grant. Read SEC document |
| March 06, 2018 Filed Mar 8, 2018 16:46 UTC | Zyla Life Sciences EGLT · Entity 148990 | GrantCommon Stock | 80,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-18-003878 · edgar.xml · nonDerivative · entry 1 Strobeck Mark · CIK 0001599219 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 92,080 F1 · shares: Represents restricted stock units, which vest in four equal annual installments beginning on the first anniversary of the date of grant, subject to acceleration of vesting based upon the percentage achievement of 2018 corporate goals attained. If there is 75% or greater achievement of 2018 corporate goals, 100% of the RSUs will vest on the first anniversary of the grant date and if there is less than 75% achievement of 2018 corporate goals, the RSUs will remain subject to the time-based vesting schedule. Read SEC document |
| October 02, 2017 Filed Oct 3, 2017 17:03 UTC | Zyla Life Sciences EGLT · Entity 148990 | SaleCommon Stock | 8,700 | $1.29 | $11,223.00 |
DisclosureSEC source: 0001179110-17-012991 · edgar.xml · nonDerivative · entry 1 Strobeck Mark · CIK 0001599219 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,080 F1 · kind: Sale effected pursuant to a Rule 10b5-1 trading plan to pay tax liability on vesting restricted stock. The restricted stock was originally granted on February 11, 2014. F2 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.28 to $1.31, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| June 30, 2017 Filed Jul 5, 2017 18:26 UTC | Zyla Life Sciences EGLT · Entity 148990 | SaleCommon Stock | 8,700 | $2.39 | $20,793.00 |
DisclosureSEC source: 0001179110-17-010067 · edgar.xml · nonDerivative · entry 1 Strobeck Mark · CIK 0001599219 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,780 F1 · kind: Sale effected pursuant to a Rule 10b5-1 trading plan to pay tax liability on vesting restricted stock. The restricted stock was originally granted on February 11, 2014. F2 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.34 to $2.45, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.