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 |
|---|---|---|---|---|---|---|
| June 08, 2017 Filed Jun 12, 2017 16:40 UTC | Zyla Life Sciences EGLT · Entity 148990 | GrantStock Option (Right to Buy) · Derivative | 100,000 | $0.00 Strike: $2.38 | $0.00 |
DisclosureSEC source: 0001179110-17-008925 · edgar.xml · derivative · entry 1 Strobeck Mark · CIK 0001599219 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock · 100,000 shares Expires 2027-06-08 F1 · derivative.exercise_date: 25% of the options will vest on the later of (i) the 6-month anniversary of the grant date and (ii) the date on which the average closing price of the Company's common stock on NASDAQ is at least $3.33 for 30 consecutive trading days, provided that the grantee remains employed by the Company on the vesting date. 25% of the options will vest on the later of (i) the 12-month anniversary of the grant date and (ii) the date on which the average closing price of the Company's common stock on NASDAQ is at least $4.05 for 30 consecutive trading days, provided that the grantee remains employed by the Company on the vesting date. The remaining 50% of the options will vest on the later of (i) the 24-month anniversary of the grant date and (ii) the date on which the average closing price of the Company's common stock on NASDAQ is at least $4.76 for 30 consecutive trading days, provided that the grantee remains employed by the Company on the vesting date. Read SEC document |
| March 31, 2017 Filed Mar 31, 2017 19:52 UTC | Zyla Life Sciences EGLT · Entity 148990 | SaleCommon Stock | 8,700 | $5.11 | $44,457.00 |
DisclosureSEC source: 0001179110-17-005319 · edgar.xml · nonDerivative · entry 1 Strobeck Mark · CIK 0001599219 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,480 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 $5.05 to $5.19, 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 |
| December 30, 2016 Filed Jan 4, 2017 16:55 UTC | Zyla Life Sciences EGLT · Entity 148990 | SaleCommon Stock | 8,700 | $7.81 | $67,947.00 |
DisclosureSEC source: 0001179110-17-000249 · edgar.xml · nonDerivative · entry 1 Strobeck Mark · CIK 0001599219 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,180 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 $7.74 to $8.03, 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 |
| December 06, 2016 Filed Dec 8, 2016 16:27 UTC | Zyla Life Sciences EGLT · Entity 148990 | GrantStock Option (Right to Buy) · Derivative | 100,000 | $0.00 Strike: $8.11 | $0.00 |
DisclosureSEC source: 0001179110-16-032590 · edgar.xml · derivative · entry 1 Strobeck Mark · CIK 0001599219 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock · 100,000 shares Expires 2026-12-06 F1 · derivative.exercise_date: The option vests with respect to one-fourth of the underlying shares on the first anniversary of the grant date and with respect to one-forty eighth of the underlying shares each month thereafter until fully vested. Read SEC document |
| September 30, 2016 Filed Oct 3, 2016 17:24 UTC | Zyla Life Sciences EGLT · Entity 148990 | SaleCommon Stock | 25,000 | $7.59 | $189,750.00 |
DisclosureSEC source: 0001179110-16-030195 · edgar.xml · nonDerivative · entry 2 Strobeck Mark · CIK 0001599219 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,880 F3 · kind: Sale effected pursuant to a Rule 10b5-1 trading plan. The restricted stock was originally granted on February 11, 2014. F4 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.41 to $7.83, 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 |
| September 30, 2016 Filed Oct 3, 2016 17:24 UTC | Zyla Life Sciences EGLT · Entity 148990 | SaleCommon Stock | 8,700 | $7.55 | $65,685.00 |
DisclosureSEC source: 0001179110-16-030195 · edgar.xml · nonDerivative · entry 1 Strobeck Mark · CIK 0001599219 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 71,880 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 $7.41 to $7.74, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each 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.