Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| AVENUE THERAPEUTICS, INC.ATXI · Entity 8537 | Director | December 02, 2024 | December 03, 2024 |
| Journey Medical CorpDERM · Entity 6273 | Director | July 01, 2026 | July 02, 2026 |
| MUSTANG BIO, INC.MBIO · Entity 8350 | Director | December 30, 2025 | December 30, 2025 |
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.
AVENUE THERAPEUTICS, INC.
Report date December 02, 2024 · Filed December 03, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| COMMON STOCK, PAR VALUE $0.0001SEC Table I · non-derivative | Direct | 97 |
Reported balance
After 2024-12-02 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2024-12-02 · Sale · Disposed 23 · Balance 97 F1: Effective April 26, 2024, the Issuer effected a one-for-seventy-five reverse stock split of its common stock (the "Reverse Stock Split") and the amount of common stock reflected on this Form 4 has been adjusted to reflect the Reverse Stock Split. |
Filing footnotes · ownership attribution and instrument terms
F1: Effective April 26, 2024, the Issuer effected a one-for-seventy-five reverse stock split of its common stock (the "Reverse Stock Split") and the amount of common stock reflected on this Form 4 has been adjusted to reflect the Reverse Stock Split.
Journey Medical Corp
Report date July 01, 2026 · Filed July 02, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, $0.0001 par valueSEC Table I · non-derivative | Direct | 168,618 |
Reported balance
After 2026-07-01 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2026-07-01 · Grant · Acquired 50,000 · Balance 168,618 F1: On July 1, 2026, the reporting person was granted 50,000 restricted stock units pursuant to the Issuer's 2015 Stock Plan, as amended, which will vest in accordance with the following schedule: 16,666 shares on July 1, 2029, 16,667 shares on July 1, 2030 and 16,667 shares on July 1, 2031. F2: Includes restricted stock units, which vest over various time periods. |
Filing footnotes · ownership attribution and instrument terms
F1: On July 1, 2026, the reporting person was granted 50,000 restricted stock units pursuant to the Issuer's 2015 Stock Plan, as amended, which will vest in accordance with the following schedule: 16,666 shares on July 1, 2029, 16,667 shares on July 1, 2030 and 16,667 shares on July 1, 2031.
F2: Includes restricted stock units, which vest over various time periods.
MUSTANG BIO, INC.
Report date December 30, 2025 · Filed December 30, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| COMMON STOCK, PAR VALUE $0.0001SEC Table I · non-derivative | Direct | 145 |
Reported balance
After 2025-12-30 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2025-12-30 · Sale · Disposed 247 · Balance 145 F1: Represents a private sale of 247 shares of common stock to another member of the board of directors of the Issuer. F2: Effective January 15, 2025, the Issuer effected a one-for-fifty reverse stock split of its common stock (the "Reverse Stock Split"). The amount of common stock reflected on this Form 4 has been adjusted to reflect the Reverse Stock Split. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents a private sale of 247 shares of common stock to another member of the board of directors of the Issuer.
F2: Effective January 15, 2025, the Issuer effected a one-for-fifty reverse stock split of its common stock (the "Reverse Stock Split"). The amount of common stock reflected on this Form 4 has been adjusted to reflect the Reverse Stock Split.
Past disclosures · reporting ended (2)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Checkpoint Therapeutics, Inc.
Report date May 28, 2025 · Filed May 30, 2025
Section 16 reporting ended · disclosed 2025-05-30. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| COMMON STOCKSEC Table I · non-derivative | Direct | 147,007 |
Reported balance
After 2025-05-28 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2025-05-28 · Grant · Acquired 12,195 · Balance 147,007 F1: Includes restricted shares of Common Stock which vest over various time periods, subject to Mr. Herskotitz's continued service on the board. |
| COMMON STOCKSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2025-05-30 transaction · row 2
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 2 · 2025-05-30 · Other · Disposed 147,007 · Balance 0 F2: Disposed of in connection with an offer made pursuant to the Agreement and Plan of Merger, dated as of March 9, 2025 and as amended on April 14, 2025 (the "Merger Agreement"), in exchange for $4.10 per share, net to the holder in cash, plus one contractual contingent value right ("CVR") per share. Each CVR represents the right to receive a payment ranging from $0.20 to $0.70 pursuant to certain milestone payments as defined in the Merger Agreement relating to the regulatory approval for cosibelimab in the European Union. The CVR milestone must be achieved within thirty-six (36) months after the date on which a marketing authorization application or equivalent application for cosibelimab receives a positive validation outcome by the European Medicines Agency. |
Filing footnotes · ownership attribution and instrument terms
F1: Includes restricted shares of Common Stock which vest over various time periods, subject to Mr. Herskotitz's continued service on the board.
F2: Disposed of in connection with an offer made pursuant to the Agreement and Plan of Merger, dated as of March 9, 2025 and as amended on April 14, 2025 (the "Merger Agreement"), in exchange for $4.10 per share, net to the holder in cash, plus one contractual contingent value right ("CVR") per share. Each CVR represents the right to receive a payment ranging from $0.20 to $0.70 pursuant to certain milestone payments as defined in the Merger Agreement relating to the regulatory approval for cosibelimab in the European Union. The CVR milestone must be achieved within thirty-six (36) months after the date on which a marketing authorization application or equivalent application for cosibelimab receives a positive validation outcome by the European Medicines Agency.
NATIONAL HOLDINGS CORP
Report date February 12, 2018 · Filed March 06, 2019
Section 16 reporting ended · disclosed 2019-03-06. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 60,593 |
Ending reported balance
After 2019-02-13 transaction · row 4
4 source rows · reconciled sequenceRow 1 · 2019-02-12 · Exercise / conversion · Acquired 25,000 · Balance 25,000 F1: Each restricted stock unit converted into one share of National Holdings Corporation (the "Company") common stock. Row 2 · 2019-02-12 · Exercise / conversion · Acquired 3,495 · Balance 28,495 F1: Each restricted stock unit converted into one share of National Holdings Corporation (the "Company") common stock. Row 3 · 2019-02-13 · Exercise / conversion · Acquired 25,000 · Balance 53,495 F1: Each restricted stock unit converted into one share of National Holdings Corporation (the "Company") common stock. Row 4 · 2019-02-13 · Exercise / conversion · Acquired 7,098 · Balance 60,593 F1: Each restricted stock unit converted into one share of National Holdings Corporation (the "Company") common stock. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 50,000 |
Reported balance
After 2018-02-12 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2018-02-12 · Grant · Acquired 50,000 · Balance 50,000 F2: Each restricted stock unit represents a contingent right to receive one share of the Company's common stock. F3: The restricted stock units vest in two equal annual installments beginning February 12, 2019. Vested shares will be delivered to the reporting person annually in accordance to the vesting delivery schedule. The Company's Board of Directors approved accelerated vesting of the remaining shares on February 13, 2019. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 60,593 |
Reported balance
After 2018-02-12 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2018-02-12 · Grant · Acquired 10,593 · Balance 60,593 F2: Each restricted stock unit represents a contingent right to receive one share of the Company's common stock. F4: The restricted stock units vest in three equal annual installments beginning February 12, 2019. Vested shares will be delivered to the reporting person annually in accordance to the vesting delivery schedule. The Company's Board of Directors approved accelerated vesting of the remaining shares on February 13, 2019. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 35,593 |
Reported balance
After 2019-02-12 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2019-02-12 · Exercise / conversion · Disposed 25,000 · Balance 35,593 F2: Each restricted stock unit represents a contingent right to receive one share of the Company's common stock. F5: On February 12, 2018, the reporting person was granted 50,000 restricted stock units. These stock units vest in two equal annual installments beginning February 12, 2019. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 32,098 |
Reported balance
After 2019-02-12 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2019-02-12 · Exercise / conversion · Disposed 3,495 · Balance 32,098 F2: Each restricted stock unit represents a contingent right to receive one share of the Company's common stock. F6: On February 12, 2018, the reporting person was granted 10,593 restricted stock units. These stock units vest in three equal annual installments beginning February 12, 2019. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 7,098 |
Reported balance
After 2019-02-13 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2019-02-13 · Exercise / conversion · Disposed 25,000 · Balance 7,098 F2: Each restricted stock unit represents a contingent right to receive one share of the Company's common stock. F7: On February 12, 2018, the reporting person was granted 50,000 restricted stock units. The Company's Board of Directors approved accelerated vesting of the remaining shares on February 13, 2019. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2019-02-13 transaction · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · 2019-02-13 · Exercise / conversion · Disposed 7,098 · Balance 0 F2: Each restricted stock unit represents a contingent right to receive one share of the Company's common stock. F8: On February 12, 2018, the reporting person was granted 10,593 restricted stock units. The Company's Board of Directors approved accelerated vesting of the remaining shares on February 13, 2019. |
Filing footnotes · ownership attribution and instrument terms
F1: Each restricted stock unit converted into one share of National Holdings Corporation (the "Company") common stock.
F2: Each restricted stock unit represents a contingent right to receive one share of the Company's common stock.
F3: The restricted stock units vest in two equal annual installments beginning February 12, 2019. Vested shares will be delivered to the reporting person annually in accordance to the vesting delivery schedule. The Company's Board of Directors approved accelerated vesting of the remaining shares on February 13, 2019.
F4: The restricted stock units vest in three equal annual installments beginning February 12, 2019. Vested shares will be delivered to the reporting person annually in accordance to the vesting delivery schedule. The Company's Board of Directors approved accelerated vesting of the remaining shares on February 13, 2019.
F5: On February 12, 2018, the reporting person was granted 50,000 restricted stock units. These stock units vest in two equal annual installments beginning February 12, 2019.
F6: On February 12, 2018, the reporting person was granted 10,593 restricted stock units. These stock units vest in three equal annual installments beginning February 12, 2019.
F7: On February 12, 2018, the reporting person was granted 50,000 restricted stock units. The Company's Board of Directors approved accelerated vesting of the remaining shares on February 13, 2019.
F8: On February 12, 2018, the reporting person was granted 10,593 restricted stock units. The Company's Board of Directors approved accelerated vesting of the remaining shares on February 13, 2019.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| July 01, 2026 Filed Jul 2, 2026 20:05 UTC | Journey Medical Corp DERM · Entity 6273 | GrantCommon Stock, $0.0001 par value | 50,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-26-080309 · tm2619538-1_4seq1.xml · nonDerivative · entry 1 Herskowitz Neil · CIK 0001298246 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 168,618 F1 · shares: On July 1, 2026, the reporting person was granted 50,000 restricted stock units pursuant to the Issuer's 2015 Stock Plan, as amended, which will vest in accordance with the following schedule: 16,666 shares on July 1, 2029, 16,667 shares on July 1, 2030 and 16,667 shares on July 1, 2031. F2 · balance_after: Includes restricted stock units, which vest over various time periods. Read SEC document |
| June 25, 2026 Filed Jun 26, 2026 20:18 UTC | Journey Medical Corp DERM · Entity 6273 | GrantCommon Stock, $0.0001 par value | 10,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-26-078282 · tm2619089-4_4seq1.xml · nonDerivative · entry 1 Herskowitz Neil · CIK 0001298246 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 118,618 F1 · shares: On June 25, 2026, the reporting person was granted 10,000 restricted stock units pursuant to the Issuer's 2015 Stock Plan, as amended, which will vest in accordance with the following schedule: 10,000 shares on June 25, 2027. F2 · balance_after: Includes restricted stock units, which vest over various time periods. Read SEC document |
| December 30, 2025 Filed Dec 30, 2025 21:17 UTC | MUSTANG BIO, INC. MBIO · Entity 8350 | SaleCOMMON STOCK, PAR VALUE $0.0001 | 247 | $0.96 | $237.61 |
DisclosureSEC source: 0001104659-25-125233 · tm2534509-3_4seq1.xml · nonDerivative · entry 1 Herskowitz Neil · CIK 0001298246 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 145 F1 · shares: Represents a private sale of 247 shares of common stock to another member of the board of directors of the Issuer. F2 · balance_after: Effective January 15, 2025, the Issuer effected a one-for-fifty reverse stock split of its common stock (the "Reverse Stock Split"). The amount of common stock reflected on this Form 4 has been adjusted to reflect the Reverse Stock Split. Read SEC document |
| August 05, 2025 Filed Aug 7, 2025 21:14 UTC | Journey Medical Corp DERM · Entity 6273 | GrantCommon Stock, $0.0001 par value | 20,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-25-075260 · tm2522819-1_4seq1.xml · nonDerivative · entry 1 Herskowitz Neil · CIK 0001298246 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 108,618 F1 · shares: On August 5, 2025, the reporting person was granted 20,000 restricted stock units pursuant to the Issuer's 2015 Stock Plan, as amended, which will vest in accordance with the following schedule: 6,667 shares on August 5, 2028, 6,667 shares on August 5, 2029 and 6,666 shares on August 5, 2030. F2 · balance_after: Includes restricted stock units, which vest over various time periods. Read SEC document |
| June 25, 2025 Filed Jul 8, 2025 01:46 UTC | Journey Medical Corp DERM · Entity 6273 | GrantCommon Stock, $0.0001 par value | 7,173 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-25-066236 · tm2520050-1_4seq1.xml · nonDerivative · entry 1 Herskowitz Neil · CIK 0001298246 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 88,618 F1 · shares: On June 25, 2025, the reporting person was granted 7,173 restricted stock units pursuant to the Issuer's 2015 Stock Plan, as amended, which will vest in full on June 25, 2026. F2 · balance_after: Includes restricted stock units, which vest over various time periods. Read SEC document |
| May 30, 2025 Filed May 30, 2025 15:17 UTC | Checkpoint Therapeutics, Inc. CKPT · Entity 78931 | OtherCOMMON STOCK | 147,007 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-25-054688 · tm2516581-4_4seq1.xml · nonDerivative · entry 2 Herskowitz Neil · CIK 0001298246 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 F2 · price: Disposed of in connection with an offer made pursuant to the Agreement and Plan of Merger, dated as of March 9, 2025 and as amended on April 14, 2025 (the "Merger Agreement"), in exchange for $4.10 per share, net to the holder in cash, plus one contractual contingent value right ("CVR") per share. Each CVR represents the right to receive a payment ranging from $0.20 to $0.70 pursuant to certain milestone payments as defined in the Merger Agreement relating to the regulatory approval for cosibelimab in the European Union. The CVR milestone must be achieved within thirty-six (36) months after the date on which a marketing authorization application or equivalent application for cosibelimab receives a positive validation outcome by the European Medicines Agency. Read SEC document |
| May 28, 2025 Filed May 30, 2025 15:17 UTC | Checkpoint Therapeutics, Inc. CKPT · Entity 78931 | GrantCOMMON STOCK | 12,195 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-25-054688 · tm2516581-4_4seq1.xml · nonDerivative · entry 1 Herskowitz Neil · CIK 0001298246 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 147,007 F1 · balance_after: Includes restricted shares of Common Stock which vest over various time periods, subject to Mr. Herskotitz's continued service on the board. Read SEC document |
| December 13, 2024 Filed Dec 18, 2024 02:30 UTC | Checkpoint Therapeutics, Inc. CKPT · Entity 78931 | GrantCOMMON STOCK | 17,638 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-24-129522 · tm2431396-1_4seq1.xml · nonDerivative · entry 1 Herskowitz Neil · CIK 0001298246 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 134,812 F1 · shares: Represents previously-granted performance-based award that became vested upon achievement of a corporate milestone on December 13, 2024. F2 · balance_after: Includes shares of restricted common stock, which vest over various time periods. Read SEC document |
| December 02, 2024 Filed Dec 3, 2024 21:30 UTC | AVENUE THERAPEUTICS, INC. ATXI · Entity 8537 | SaleCOMMON STOCK, PAR VALUE $0.0001 | 23 | $2.00 | $46.00 |
DisclosureSEC source: 0001104659-24-125093 · tm2429982-1_4seq1.xml · nonDerivative · entry 1 Herskowitz Neil · CIK 0001298246 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 97 F1 · balance_after: Effective April 26, 2024, the Issuer effected a one-for-seventy-five reverse stock split of its common stock (the "Reverse Stock Split") and the amount of common stock reflected on this Form 4 has been adjusted to reflect the Reverse Stock Split. Read SEC document |
| September 23, 2024 Filed Sep 25, 2024 20:57 UTC | AVENUE THERAPEUTICS, INC. ATXI · Entity 8537 | GrantEmployee stock option (right to buy) · Derivative | 30,000 | $0.00 Strike: $2.46 | $0.00 |
DisclosureSEC source: 0001104659-24-102839 · tm2424771-6_4seq1.xml · derivative · entry 1 Herskowitz Neil · CIK 0001298246 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 30,000 Underlying: Common Stock · 30,000 shares Expires 2034-09-23 F1 · derivative.exercise_date: The option vests in accordance with the following schedule: (i) one-third of the shares subject to the option vest on January 1, 2025; (ii) one-third of the shares subject to the option vest on January 1, 2026; and (iii) one-third of the shares subject to the option vest on January 1, 2027. Read SEC document |
| July 08, 2024 Filed Jul 10, 2024 20:45 UTC | Journey Medical Corp DERM · Entity 6273 | GrantCommon Stock, $0.0001 par value | 9,728 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-24-078972 · tm2419199-3_4seq1.xml · nonDerivative · entry 1 Herskowitz Neil · CIK 0001298246 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 81,445 F1 · shares: On July 8, 2024, the reporting person was granted 9,728 restricted stock units pursuant to the Issuer's 2015 Stock Plan, which will vest in full on July 8, 2025. F2 · balance_after: Includes restricted stock units, which vest over various time periods. Read SEC document |
| May 14, 2024 Filed May 16, 2024 23:31 UTC | Checkpoint Therapeutics, Inc. CKPT · Entity 78931 | GrantCOMMON STOCK | 50,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-24-062663 · tm2414703-2_4seq1.xml · nonDerivative · entry 2 Herskowitz Neil · CIK 0001298246 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 117,174 F3 · shares: The 50,000 shares of restricted Common Stock will vest according to the following schedule, subject to Mr. Herskowitz's continued service on the board on each date: one third on May 14, 2027, one third on May 14, 2028, and one third on May 14, 2029. F2 · balance_after: Includes restricted shares of Common Stock which vest over various time periods, subject to Mr. Herskowitz's continued service on the board. Read SEC document |
| May 14, 2024 Filed May 16, 2024 23:31 UTC | Checkpoint Therapeutics, Inc. CKPT · Entity 78931 | GrantCOMMON STOCK | 32,051 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-24-062663 · tm2414703-2_4seq1.xml · nonDerivative · entry 1 Herskowitz Neil · CIK 0001298246 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 67,174 F1 · shares: The 32,051 shares of restricted Common Stock will vest on May 14, 2027, subject to Mr. Herskowitz's continued service on the board on such date. F2 · balance_after: Includes restricted shares of Common Stock which vest over various time periods, subject to Mr. Herskowitz's continued service on the board. Read SEC document |
| July 21, 2023 Filed Jul 25, 2023 20:07 UTC | Journey Medical Corp DERM · Entity 6273 | GrantCommon Stock, par value $0.0001 per share | 27,472 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-23-083836 · tm2321950-1_4seq1.xml · nonDerivative · entry 1 Herskowitz Neil · CIK 0001298246 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 71,717 F1 · shares: On July 21, 2023, the reporting person was granted 27,472 restricted stock units pursuant to the Issuer's 2015 Stock Plan, which will vest in full on July 21, 2024. F2 · balance_after: Includes 61,717 restricted stock units, 27,472 of which will vest in full on July 21, 2024 as set forth in footnote 1, and 10,000 units of which will vest on July 1, 2024. Read SEC document |
| July 05, 2023 Filed Jul 7, 2023 20:06 UTC | MUSTANG BIO, INC. MBIO · Entity 8350 | GrantCOMMON STOCK, PAR VALUE $0.0001 | 7,246 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-23-079111 · tm2320790-2_4seq1.xml · nonDerivative · entry 1 Herskowitz Neil · CIK 0001298246 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 19,703 F1 · shares: The Reporting Person was granted 7,246 restricted shares pursuant to the Issuer's 2016 Incentive Plan on July 5, 2023. The shares will vest on July 5, 2026, subject to the Reporting Person's continued service on the Issuer's board on such date. F2 · shares: Effective April 3, 2023, the Issuer effected a fifteen-for-one reverse stock split of its common stock (the "Reverse Stock Split"). The amount of common stock reflected on this Form 4 has been adjusted to reflect the Reverse Stock Split. F2 · balance_after: Effective April 3, 2023, the Issuer effected a fifteen-for-one reverse stock split of its common stock (the "Reverse Stock Split"). The amount of common stock reflected on this Form 4 has been adjusted to reflect the Reverse Stock Split. F3 · balance_after: Includes restricted share units, which vest over various time periods. Read SEC document |
| June 30, 2023 Filed Jul 5, 2023 20:07 UTC | AVENUE THERAPEUTICS, INC. ATXI · Entity 8537 | GrantEmployee stock option (right to buy) · Derivative | 100,000 | $0.00 Strike: $1.14 | $0.00 |
DisclosureSEC source: 0001104659-23-078088 · tm2320488d1_4seq1.xml · derivative · entry 1 Herskowitz Neil · CIK 0001298246 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock · 100,000 shares Expires 2033-06-30 F1 · derivative.exercise_date: The option vests in accordance with the following schedule: (i) one-third of the shares subject to the option vest on January 1, 2024; (ii) one-third of the shares subject to the option vest on January 1, 2025; and (iii) one-third of the shares subject to the option vest on January 1, 2026. F2 · derivative.underlying_shares: Effective September 22, 2022, the Issuer effected a one-for-fifteen reverse stock split of its common stock (the "Reverse Stock Split"). The amount of common stock reflected on this Form 4 has been adjusted to reflect the Reverse Stock Split. F2 · balance_after: Effective September 22, 2022, the Issuer effected a one-for-fifteen reverse stock split of its common stock (the "Reverse Stock Split"). The amount of common stock reflected on this Form 4 has been adjusted to reflect the Reverse Stock Split. Read SEC document |
| June 13, 2023 Filed Jun 16, 2023 00:00 UTC | Checkpoint Therapeutics, Inc. CKPT · Entity 78931 | GrantCOMMON STOCK | 17,483 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-23-071758 · tm2318836-3_4seq1.xml · nonDerivative · entry 1 Herskowitz Neil · CIK 0001298246 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 35,123 F1 · shares: The 17,483 shares of restricted Common Stock will vest on June 13, 2026, subject to Mr. Herskowitz's continued service on the board on such date. F2 · balance_after: Includes restricted shares of Common Stock which vest over various time periods, subject to Mr. Herskowitz's continued service on the board. Read SEC document |
| July 29, 2022 Filed Apr 3, 2023 20:50 UTC | MUSTANG BIO, INC. MBIO · Entity 8350 | GrantCOMMON STOCK, PAR VALUE $0.0001 | 71,664 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-23-040929 · tm2311237-4_4seq1.xml · nonDerivative · entry 1 Herskowitz Neil · CIK 0001298246 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 186,861 F1 · shares: The Reporting Person was granted 71,664 restricted shares pursuant to the Issuer's 2016 Incentive Plan on July 29, 2022. The shares will vest on June 17, 2025, subject to the Reporting Person's continued service on the Issuer's board on such date. F2 · balance_after: Includes restricted share units, which vest over various time periods. Read SEC document |
| July 21, 2022 Filed Jul 25, 2022 13:36 UTC | Journey Medical Corp DERM · Entity 6273 | GrantCommon Stock, par value $0.0001 per share | 14,245 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-22-082288 · tm2221508-4_4seq1.xml · nonDerivative · entry 1 Herskowitz Neil · CIK 0001298246 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,245 F1 · shares: On July 21, 2022, the reporting person was granted 14,245 restricted stock units pursuant to the Issuer's 2015 Stock Plan, which will vest in full on July 21, 2023. F2 · balance_after: Includes 34,245 restricted stock units, 14,245 of which will vest over various time periods as set forth in footnote 1, and 20,000 of which will vest in increments as follows: (1) 10,000 units on July 1, 2023, and (2) 10,000 units on July 1, 2024. Read SEC document |
| June 16, 2022 Filed Jun 25, 2022 01:54 UTC | Checkpoint Therapeutics, Inc. CKPT · Entity 78931 | GrantCOMMON STOCK | 47,619 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-22-074467 · tm229209-1_4seq1.xml · nonDerivative · entry 1 Herskowitz Neil · CIK 0001298246 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 176,401 F1 · shares: The 47,619 shares of restricted Common Stock will vest on June 16, 2025, subject to Mr. Herskowitz's continued service on the board on such date. F2 · balance_after: Includes restricted shares of Common Stock which vest over various time periods, subject to Mr. Herskowitz's continued service on the board. Read SEC document |
| January 14, 2022 Filed Apr 4, 2022 20:51 UTC | Journey Medical Corp DERM · Entity 6273 | GrantCOMMON STOCK | 30,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-22-042276 · tm2211324-8_4.xml · nonDerivative · entry 1 Herskowitz Neil · CIK 0001298246 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 F1 · shares: The 30,000 restricted stock units relating to this grant will vest in three increments as follows: (1) 10,000 units on July 1, 2022, (2) 10,000 units on July 1, 2023, and (3) 10,000 units on July 1, 2024. F2 · balance_after: Includes restricted stock units, which vest over various time periods as set forth in footnote 1. Read SEC document |
| December 17, 2021 Filed Dec 21, 2021 21:26 UTC | AVENUE THERAPEUTICS, INC. ATXI · Entity 8537 | GrantCommon Stock | 20,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-152198 · tm2135922-2_4seq1.xml · nonDerivative · entry 2 Herskowitz Neil · CIK 0001298246 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 183,744 F2 · shares: This RSA vests on March 15, 2022. F3 · balance_after: Includes 85,668 shares of restricted stock. Read SEC document |
| December 17, 2021 Filed Dec 21, 2021 21:26 UTC | AVENUE THERAPEUTICS, INC. ATXI · Entity 8537 | GrantCommon Stock | 49,020 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-152198 · tm2135922-2_4seq1.xml · nonDerivative · entry 1 Herskowitz Neil · CIK 0001298246 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 163,744 F1 · shares: This restricted stock award (RSA) vests on December 17, 2024, three years after the date granted. Read SEC document |
| June 28, 2021 Filed Jul 8, 2021 20:31 UTC | MUSTANG BIO, INC. MBIO · Entity 8350 | GrantCOMMON STOCK | 13,774 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-090240 · tm2121675-2_4seq1.xml · nonDerivative · entry 1 Herskowitz Neil · CIK 0001298246 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 115,197 F1 · shares: The Reporting Person was granted 13,774 restricted shares pursuant to the Issuer's 2016 Incentive Plan on June 28, 2021. The shares will vest on June 17, 2024, subject to the Reporting Person's continued service on the Issuer's board on such date. F2 · balance_after: Includes restricted share units, which vest over various time periods. Read SEC document |
| June 10, 2021 Filed Jun 11, 2021 23:59 UTC | Checkpoint Therapeutics, Inc. CKPT · Entity 78931 | GrantCOMMON STOCK | 16,502 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-080361 · tm2119513-2_4.xml · nonDerivative · entry 1 Herskowitz Neil · CIK 0001298246 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 128,782 F1 · shares: The 16,502 shares of restricted Common Stock will vest on June 10, 2024, subject to Mr. Herskowitz's continued service on the board on such date. F2 · balance_after: Includes restricted shares of Common Stock which vest over various time periods, subject to Mr. Herskowitz's continued service on the board. Read SEC document |
| May 06, 2021 Filed May 7, 2021 12:02 UTC | AVENUE THERAPEUTICS, INC. ATXI · Entity 8537 | PurchaseCommon Stock | 2,500 | $3.99 | $9,975.00 |
DisclosureSEC source: 0001104659-21-062774 · tm2115514d1_4.xml · nonDerivative · entry 1 Herskowitz Neil · CIK 0001298246 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 134,724 F1 · balance_after: Includes 67,997 shares of restricted stock. Read SEC document |
| July 14, 2020 Filed Aug 19, 2020 20:32 UTC | MUSTANG BIO, INC. MBIO · Entity 8350 | GrantCommon Stock | 16,611 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-20-096924 · tm2028955d2_4.xml · nonDerivative · entry 1 Herskowitz Neil · CIK 0001298246 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 101,423 F1 · balance_after: 101,423 shares are restricted Common Stock which vest over various time periods. Read SEC document |
| June 16, 2020 Filed Jun 16, 2020 21:09 UTC | AVENUE THERAPEUTICS, INC. ATXI · Entity 8537 | GrantCommon Stock | 10,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-20-073824 · tm2022744d1_form4.xml · nonDerivative · entry 1 Herskowitz Neil · CIK 0001298246 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 132,224 F1 · shares: Common Stock vests upon the earliest to occur of the following: (i) Grantee's death or disability; (ii) a change in control of Avenue Therapeutics, Inc.; or (iii) the Second Stage Closing with InvaGen. F2 · balance_after: Includes 84,663 shares of restricted stock. Read SEC document |
| June 05, 2020 Filed Jun 9, 2020 20:32 UTC | Checkpoint Therapeutics, Inc. CKPT · Entity 78931 | GrantCOMMON STOCK | 24,390 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-20-071411 · tm2022118d3_4.xml · nonDerivative · entry 1 Herskowitz Neil · CIK 0001298246 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 112,280 F1 · shares: The 24,390 shares of restricted Common Stock will vest on June 5, 2023, subject to Mr. Herskowitz's continued service on the board on such date. F2 · balance_after: Includes restricted shares of Common Stock which vest over various time periods, subject to Mr. Herskowitz's continued service on the board. Read SEC document |
| February 27, 2020 Filed Mar 2, 2020 13:10 UTC | AVENUE THERAPEUTICS, INC. ATXI · Entity 8537 | PurchaseCommon Stock | 2,400 | $8.20 | $19,680.00 |
DisclosureSEC source: 0001104659-20-027510 · tm2011386d1_4.xml · nonDerivative · entry 2 Herskowitz Neil · CIK 0001298246 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 122,224 F1 · balance_after: Includes 74,663 shares of restricted stock. Read SEC document |
| February 26, 2020 Filed Mar 2, 2020 13:10 UTC | AVENUE THERAPEUTICS, INC. ATXI · Entity 8537 | PurchaseCommon Stock | 161 | $8.73 | $1,405.53 |
DisclosureSEC source: 0001104659-20-027510 · tm2011386d1_4.xml · nonDerivative · entry 1 Herskowitz Neil · CIK 0001298246 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 119,824 F1 · balance_after: Includes 74,663 shares of restricted stock. Read SEC document |
| February 25, 2020 Filed Feb 25, 2020 21:53 UTC | AVENUE THERAPEUTICS, INC. ATXI · Entity 8537 | PurchaseCommon Stock | 10,000 | $9.31 | $93,100.00 |
DisclosureSEC source: 0001104659-20-024813 · tm2010943d1_4.xml · nonDerivative · entry 1 Herskowitz Neil · CIK 0001298246 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 119,663 F1 · balance_after: Includes 74,663 shares of restricted stock. Read SEC document |
| August 28, 2019 Filed Jan 17, 2020 22:44 UTC | MUSTANG BIO, INC. MBIO · Entity 8350 | GrantCommon Stock | 13,812 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-20-005211 · tm203350d4_form4.xml · nonDerivative · entry 1 Herskowitz Neil · CIK 0001298246 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 84,812 F1 · balance_after: 83,812 shares are restricted Common Stock which vest over various time periods. Read SEC document |
| August 27, 2019 Filed Aug 28, 2019 20:17 UTC | AVENUE THERAPEUTICS, INC. ATXI · Entity 8537 | GrantCommon Stock | 10,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001144204-19-042093 · tv528433_form4.xml · nonDerivative · entry 1 Herskowitz Neil · CIK 0001298246 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 109,663 F1 · shares: Common Stock vests upon the earliest to occur of the following: (i) Grantee's death or disability; (ii) a change in control of Avenue Therapeutics, Inc.; or (iii) the Second Stage Closing with InvaGen. Read SEC document |
| June 18, 2019 Filed Jun 19, 2019 20:54 UTC | AVENUE THERAPEUTICS, INC. ATXI · Entity 8537 | PurchaseCommon Stock | 2,000 | $5.83 | $11,660.00 |
DisclosureSEC source: 0001144204-19-031499 · tv523735_4.xml · nonDerivative · entry 2 Herskowitz Neil · CIK 0001298246 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 99,663 F1 · balance_after: Includes 64,663 shares of restricted stock. Read SEC document |
| June 17, 2019 Filed Jun 19, 2019 20:54 UTC | AVENUE THERAPEUTICS, INC. ATXI · Entity 8537 | PurchaseCommon Stock | 3,000 | $5.88 | $17,640.00 |
DisclosureSEC source: 0001144204-19-031499 · tv523735_4.xml · nonDerivative · entry 1 Herskowitz Neil · CIK 0001298246 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 97,663 F1 · balance_after: Includes 64,663 shares of restricted stock. Read SEC document |
| June 13, 2019 Filed Jun 14, 2019 20:47 UTC | Checkpoint Therapeutics, Inc. CKPT · Entity 78931 | GrantCOMMON STOCK | 11,442 | $0.00 | $0.00 |
DisclosureSEC source: 0001144204-19-031018 · tv523631_4.xml · nonDerivative · entry 1 Herskowitz Neil · CIK 0001298246 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 87,890 F1 · shares: The 11,442 shares of restricted Common Stock will vest on June 13, 2022, subject to Mr. Herskowitz's continued service on the board on such date. F2 · balance_after: Includes restricted shares of Common Stock which vest over various time periods, subject to Mr. Herskowitz's continued service on the board. Read SEC document |
| April 15, 2019 Filed Apr 15, 2019 20:33 UTC | AVENUE THERAPEUTICS, INC. ATXI · Entity 8537 | PurchaseCommon Stock | 1,000 | $4.52 | $4,520.00 |
DisclosureSEC source: 0001144204-19-019691 · tv518915_4.xml · nonDerivative · entry 1 Herskowitz Neil · CIK 0001298246 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 94,663 F1 · balance_after: Includes 64,663 shares of restricted stock. Read SEC document |
| March 29, 2019 Filed Mar 29, 2019 20:33 UTC | AVENUE THERAPEUTICS, INC. ATXI · Entity 8537 | PurchaseCommon Stock | 1,400 | $5.11 | $7,154.00 |
DisclosureSEC source: 0001144204-19-017010 · tv517581_4.xml · nonDerivative · entry 2 Herskowitz Neil · CIK 0001298246 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 93,663 F1 · balance_after: Includes 64,663 shares of restricted stock. Read SEC document |
| March 28, 2019 Filed Mar 29, 2019 20:33 UTC | AVENUE THERAPEUTICS, INC. ATXI · Entity 8537 | PurchaseCommon Stock | 600 | $5.11 | $3,066.00 |
DisclosureSEC source: 0001144204-19-017010 · tv517581_4.xml · nonDerivative · entry 1 Herskowitz Neil · CIK 0001298246 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 92,263 F1 · balance_after: Includes 64,663 shares of restricted stock. Read SEC document |
| February 25, 2019 Filed Feb 25, 2019 21:13 UTC | AVENUE THERAPEUTICS, INC. ATXI · Entity 8537 | PurchaseCommon Stock | 5,000 | $5.46 | $27,300.00 |
DisclosureSEC source: 0001144204-19-009857 · tv512626_4.xml · nonDerivative · entry 1 Herskowitz Neil · CIK 0001298246 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 91,663 F1 · balance_after: Includes 64,663 shares of restricted stock. Read SEC document |
| February 13, 2019 Filed Mar 6, 2019 19:47 UTC | NATIONAL HOLDINGS CORP NHLD · Entity 142239 | Exercise / conversionRestricted Stock Units · Derivative | 7,098 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-19-004251 · rdgdoc.xml · derivative · entry 10 Herskowitz Neil · CIK 0001298246 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 7,098 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: Each restricted stock unit represents a contingent right to receive one share of the Company's common stock. F8 · derivative.exercise_date: On February 12, 2018, the reporting person was granted 10,593 restricted stock units. The Company's Board of Directors approved accelerated vesting of the remaining shares on February 13, 2019. F8 · derivative.expiration_date: On February 12, 2018, the reporting person was granted 10,593 restricted stock units. The Company's Board of Directors approved accelerated vesting of the remaining shares on February 13, 2019. Read SEC document |
| February 13, 2019 Filed Mar 6, 2019 19:47 UTC | NATIONAL HOLDINGS CORP NHLD · Entity 142239 | Exercise / conversionRestricted Stock Units · Derivative | 25,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-19-004251 · rdgdoc.xml · derivative · entry 9 Herskowitz Neil · CIK 0001298246 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,098 Underlying: Common Stock · 25,000 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: Each restricted stock unit represents a contingent right to receive one share of the Company's common stock. F7 · derivative.exercise_date: On February 12, 2018, the reporting person was granted 50,000 restricted stock units. The Company's Board of Directors approved accelerated vesting of the remaining shares on February 13, 2019. F7 · derivative.expiration_date: On February 12, 2018, the reporting person was granted 50,000 restricted stock units. The Company's Board of Directors approved accelerated vesting of the remaining shares on February 13, 2019. Read SEC document |
| February 13, 2019 Filed Mar 6, 2019 19:47 UTC | NATIONAL HOLDINGS CORP NHLD · Entity 142239 | Exercise / conversionCommon Stock | 7,098 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001437749-19-004251 · rdgdoc.xml · nonDerivative · entry 4 Herskowitz Neil · CIK 0001298246 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,593 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each restricted stock unit converted into one share of National Holdings Corporation (the "Company") common stock. Read SEC document |
| February 13, 2019 Filed Mar 6, 2019 19:47 UTC | NATIONAL HOLDINGS CORP NHLD · Entity 142239 | Exercise / conversionCommon Stock | 25,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001437749-19-004251 · rdgdoc.xml · nonDerivative · entry 3 Herskowitz Neil · CIK 0001298246 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,495 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each restricted stock unit converted into one share of National Holdings Corporation (the "Company") common stock. Read SEC document |
| February 12, 2019 Filed Mar 6, 2019 19:47 UTC | NATIONAL HOLDINGS CORP NHLD · Entity 142239 | Exercise / conversionRestricted Stock Units · Derivative | 3,495 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-19-004251 · rdgdoc.xml · derivative · entry 8 Herskowitz Neil · CIK 0001298246 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,098 Underlying: Common Stock · 3,495 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: Each restricted stock unit represents a contingent right to receive one share of the Company's common stock. F6 · derivative.exercise_date: On February 12, 2018, the reporting person was granted 10,593 restricted stock units. These stock units vest in three equal annual installments beginning February 12, 2019. F6 · derivative.expiration_date: On February 12, 2018, the reporting person was granted 10,593 restricted stock units. These stock units vest in three equal annual installments beginning February 12, 2019. Read SEC document |
| February 12, 2019 Filed Mar 6, 2019 19:47 UTC | NATIONAL HOLDINGS CORP NHLD · Entity 142239 | Exercise / conversionRestricted Stock Units · Derivative | 25,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-19-004251 · rdgdoc.xml · derivative · entry 7 Herskowitz Neil · CIK 0001298246 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,593 Underlying: Common Stock · 25,000 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: Each restricted stock unit represents a contingent right to receive one share of the Company's common stock. F5 · derivative.exercise_date: On February 12, 2018, the reporting person was granted 50,000 restricted stock units. These stock units vest in two equal annual installments beginning February 12, 2019. F5 · derivative.expiration_date: On February 12, 2018, the reporting person was granted 50,000 restricted stock units. These stock units vest in two equal annual installments beginning February 12, 2019. Read SEC document |
| February 12, 2019 Filed Mar 6, 2019 19:47 UTC | NATIONAL HOLDINGS CORP NHLD · Entity 142239 | Exercise / conversionCommon Stock | 3,495 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001437749-19-004251 · rdgdoc.xml · nonDerivative · entry 2 Herskowitz Neil · CIK 0001298246 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,495 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each restricted stock unit converted into one share of National Holdings Corporation (the "Company") common stock. Read SEC document |
| February 12, 2019 Filed Mar 6, 2019 19:47 UTC | NATIONAL HOLDINGS CORP NHLD · Entity 142239 | Exercise / conversionCommon Stock | 25,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001437749-19-004251 · rdgdoc.xml · nonDerivative · entry 1 Herskowitz Neil · CIK 0001298246 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 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. F1 · price: Each restricted stock unit converted into one share of National Holdings Corporation (the "Company") common stock. Read SEC document |
| February 05, 2019 Filed Feb 6, 2019 21:31 UTC | AVENUE THERAPEUTICS, INC. ATXI · Entity 8537 | PurchaseCommon Stock | 1,850 | $5.77 | $10,674.50 |
DisclosureSEC source: 0001144204-19-005339 · tv512626_form4.xml · nonDerivative · entry 2 Herskowitz Neil · CIK 0001298246 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 86,663 F2 · balance_after: Includes 64,663 shares of restricted stock. 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.