Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CERENOME, INC.CNSY · Entity 7637 | Director | October 01, 2026 | October 01, 2026 |
| Savara IncSVRA · Entity 4900 | Director | December 09, 2025 | December 11, 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.
CERENOME, INC.
Report date October 01, 2026 · Filed October 01, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 2,450 |
Reported balance
After 2026-10-01 transaction · row 1
1 source rowRow 1 · 2026-10-01 · Exercise / conversion · Acquired 921 · Balance 2,450 F2: Represents the vesting of an RSU grant which occurs in four substantially equal quarterly installments beginning on July 1, 2026. F1: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the issuer's Common Stock. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 1,843 |
Reported balance
After 2026-10-01 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2026-10-01 · Exercise / conversion · Disposed 921 · Balance 1,843 F2: Represents the vesting of an RSU grant which occurs in four substantially equal quarterly installments beginning on July 1, 2026. |
Filing footnotes · ownership attribution and instrument terms
F1: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the issuer's Common Stock.
F2: Represents the vesting of an RSU grant which occurs in four substantially equal quarterly installments beginning on July 1, 2026.
Savara Inc
Report date December 09, 2025 · Filed December 11, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 161,326 |
Reported balance
After 2025-12-09 transaction · row 1
1 source rowRow 1 · 2025-12-09 · Grant · Acquired 40,000 · Balance 161,326 F1: Represents restricted stock units ("RSUs") that vest in full on December 9, 2026, subject to the reporting person's continued service with the Issuer. Each RSU represents a contingent right to receive one share of the Issuer's common stock. The reporting person has elected to defer receipt of the shares of common stock underlying the RSUs upon vesting. In accordance with the reporting person's deferral election, the vested shares will be delivered to the reporting person following the reporting person's termination of service with the Issuer. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents restricted stock units ("RSUs") that vest in full on December 9, 2026, subject to the reporting person's continued service with the Issuer. Each RSU represents a contingent right to receive one share of the Issuer's common stock. The reporting person has elected to defer receipt of the shares of common stock underlying the RSUs upon vesting. In accordance with the reporting person's deferral election, the vested shares will be delivered to the reporting person following the reporting person's termination of service with the Issuer.
Past disclosures · reporting ended (2)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
LUMOS PHARMA, INC.
Report date December 12, 2024 · Filed December 13, 2024
Section 16 reporting ended · disclosed 2024-12-13. 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 2024-12-12 transaction · row 1
1 source rowRow 1 · 2024-12-12 · Disposition to issuer · Disposed 753,093 · Balance 0 F1: Disposed of pursuant to that certain Agreement and Plan of Merger, dated October 22, 2024, by and between the Issuer, DPV Parent, Inc., DPV MergerSub, Inc. and Double Point Ventures LLC ("DPV") (the "Merger Agreement") in exchange for (i) $4.25 in cash per share (the "Cash Amount"), plus (ii) one non-transferable contingent value right ("CVR") per share. Each restricted stock unit ("RSU") was cancelled and will receive the Cash Amount plus one CVR per RSU. |
| Common StockSEC Table I · non-derivative | IndirectBy Charitable Trust | 0 |
Reported balance
After 2024-12-12 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 2 · 2024-12-12 · Disposition to issuer · Disposed 4,469 · Balance 0 F1: Disposed of pursuant to that certain Agreement and Plan of Merger, dated October 22, 2024, by and between the Issuer, DPV Parent, Inc., DPV MergerSub, Inc. and Double Point Ventures LLC ("DPV") (the "Merger Agreement") in exchange for (i) $4.25 in cash per share (the "Cash Amount"), plus (ii) one non-transferable contingent value right ("CVR") per share. Each restricted stock unit ("RSU") was cancelled and will receive the Cash Amount plus one CVR per RSU. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.84 · Expires 2029-06-27 | Direct | 0 |
Reported balance
After 2024-12-12 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2024-12-12 · Disposition to issuer · Disposed 19,624 · Balance 0 F2: This option was cancelled pursuant to the Merger Agreement in exchange for (i) an amount in cash equal to the product of (x) the total number of shares underlying such option multiplied by (y) the excess of the Cash Amount over the applicable exercise price per share and (ii) one CVR for each share underlying such in-the-money option. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.84 · Expires 2034-03-31 | Direct | 0 |
Reported balance
After 2024-12-12 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2024-12-12 · Disposition to issuer · Disposed 35,400 · Balance 0 F2: This option was cancelled pursuant to the Merger Agreement in exchange for (i) an amount in cash equal to the product of (x) the total number of shares underlying such option multiplied by (y) the excess of the Cash Amount over the applicable exercise price per share and (ii) one CVR for each share underlying such in-the-money option. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.52 | Direct | 0 |
Reported balance
After 2024-12-12 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2024-12-12 · Disposition to issuer · Disposed 35,400 · Balance 0 F2: This option was cancelled pursuant to the Merger Agreement in exchange for (i) an amount in cash equal to the product of (x) the total number of shares underlying such option multiplied by (y) the excess of the Cash Amount over the applicable exercise price per share and (ii) one CVR for each share underlying such in-the-money option. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $7.87 · Expires 2030-03-31 | Direct | 0 |
Reported balance
After 2024-12-12 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2024-12-12 · Disposition to issuer · Disposed 135,000 · Balance 0 F3: Represents an out-of-money option that was cancelled without any cash payment or issuance of CVRs being made in respect thereof pursuant to the Merger Agreement. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $10.02 · Expires 2032-01-31 | Direct | 0 |
Reported balance
After 2024-12-12 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2024-12-12 · Disposition to issuer · Disposed 35,400 · Balance 0 F3: Represents an out-of-money option that was cancelled without any cash payment or issuance of CVRs being made in respect thereof pursuant to the Merger Agreement. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $17.35 · Expires 2031-01-31 | Direct | 0 |
Reported balance
After 2024-12-12 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2024-12-12 · Disposition to issuer · Disposed 28,475 · Balance 0 F3: Represents an out-of-money option that was cancelled without any cash payment or issuance of CVRs being made in respect thereof pursuant to the Merger Agreement. |
Filing footnotes · ownership attribution and instrument terms
F1: Disposed of pursuant to that certain Agreement and Plan of Merger, dated October 22, 2024, by and between the Issuer, DPV Parent, Inc., DPV MergerSub, Inc. and Double Point Ventures LLC ("DPV") (the "Merger Agreement") in exchange for (i) $4.25 in cash per share (the "Cash Amount"), plus (ii) one non-transferable contingent value right ("CVR") per share. Each restricted stock unit ("RSU") was cancelled and will receive the Cash Amount plus one CVR per RSU.
F2: This option was cancelled pursuant to the Merger Agreement in exchange for (i) an amount in cash equal to the product of (x) the total number of shares underlying such option multiplied by (y) the excess of the Cash Amount over the applicable exercise price per share and (ii) one CVR for each share underlying such in-the-money option.
F3: Represents an out-of-money option that was cancelled without any cash payment or issuance of CVRs being made in respect thereof pursuant to the Merger Agreement.
SCICLONE PHARMACEUTICALS INC
Report date October 13, 2017 · Filed October 16, 2017
Section 16 reporting ended · disclosed 2017-10-16. 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 2017-10-13 transaction · row 1
1 source rowRow 1 · 2017-10-13 · Disposition to issuer · Disposed 24,363 · Balance 0 |
| Non-Qualified Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $6.04 · Expires 2021-06-30 | Direct | 0 |
Reported balance
After 2017-10-13 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2017-10-13 · Disposition to issuer · Disposed 30,000 · Balance 0 F2: The option was canceled immediately prior to the merger of Issuer and Silver Delaware Investment Limited (the "Merger") in exchange for a cash payment per share from the Issuer in an amount equal to the excess of $11.18 per share over the exercise price. F1: Under its terms the option became exercisable in installments at the rate of one-twelfth of the shares subject to the option at the end of each one-month period from the date of grant (June 30, 2011), and became immediately exercisable and vested in full as of June 30, 2012. |
| Non-Qualified Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $6.78 · Expires 2022-06-07 | Direct | 0 |
Reported balance
After 2017-10-13 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2017-10-13 · Disposition to issuer · Disposed 30,000 · Balance 0 F2: The option was canceled immediately prior to the merger of Issuer and Silver Delaware Investment Limited (the "Merger") in exchange for a cash payment per share from the Issuer in an amount equal to the excess of $11.18 per share over the exercise price. F3: Under its terms the option became exercisable in installments at the rate of one-twelfth of the shares subject to the option at the end of each one-month period from the date of grant (June 7, 2012), and became immediately exercisable and vested in full as of June 7, 2013. |
| Non-Qualified Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.13 · Expires 2023-06-27 | Direct | 0 |
Reported balance
After 2017-10-13 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2017-10-13 · Disposition to issuer · Disposed 30,000 · Balance 0 F2: The option was canceled immediately prior to the merger of Issuer and Silver Delaware Investment Limited (the "Merger") in exchange for a cash payment per share from the Issuer in an amount equal to the excess of $11.18 per share over the exercise price. F4: Under its terms the option became exercisable in installments at the rate of one-twelfth of the shares subject to the option at the end of each one-month period from the date of grant (June 27, 2013), and became immediately exercisable and vested in full as of June 27, 2014. |
| Non-Qualified Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.10 · Expires 2024-06-12 | Direct | 0 |
Reported balance
After 2017-10-13 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2017-10-13 · Disposition to issuer · Disposed 30,000 · Balance 0 F2: The option was canceled immediately prior to the merger of Issuer and Silver Delaware Investment Limited (the "Merger") in exchange for a cash payment per share from the Issuer in an amount equal to the excess of $11.18 per share over the exercise price. F5: Under its terms the option became exercisable in installments at the rate of one-twelfth of the shares subject to the option at the end of each one-month period from the date of grant (June 12, 2014), and became immediately exercisable and vested in full as of June 12, 2015. |
| Non-Qualified Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $9.15 · Expires 2025-06-11 | Direct | 0 |
Reported balance
After 2017-10-13 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2017-10-13 · Disposition to issuer · Disposed 30,000 · Balance 0 F2: The option was canceled immediately prior to the merger of Issuer and Silver Delaware Investment Limited (the "Merger") in exchange for a cash payment per share from the Issuer in an amount equal to the excess of $11.18 per share over the exercise price. F6: Under its terms the option became exercisable in installments at the rate of one-twelfth of the shares subject to the option at the end of each one-month period from the date of grant (June 11, 2015), and became immediately exercisable and vested in full as of June 11, 2016. |
| Non-Qualified Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $10.90 · Expires 2027-06-08 | Direct | 0 |
Reported balance
After 2017-10-13 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2017-10-13 · Disposition to issuer · Disposed 30,000 · Balance 0 F2: The option was canceled immediately prior to the merger of Issuer and Silver Delaware Investment Limited (the "Merger") in exchange for a cash payment per share from the Issuer in an amount equal to the excess of $11.18 per share over the exercise price. F7: Under its terms the option became exercisable in installments at the rate of one-twelfth of the shares subject to the option at the end of each one-month period from the date of grant (June 8, 2017), and became immediately exercisable and vested in full as of the date ten (10) days prior to the Merger. |
Filing footnotes · ownership attribution and instrument terms
F1: Under its terms the option became exercisable in installments at the rate of one-twelfth of the shares subject to the option at the end of each one-month period from the date of grant (June 30, 2011), and became immediately exercisable and vested in full as of June 30, 2012.
F2: The option was canceled immediately prior to the merger of Issuer and Silver Delaware Investment Limited (the "Merger") in exchange for a cash payment per share from the Issuer in an amount equal to the excess of $11.18 per share over the exercise price.
F3: Under its terms the option became exercisable in installments at the rate of one-twelfth of the shares subject to the option at the end of each one-month period from the date of grant (June 7, 2012), and became immediately exercisable and vested in full as of June 7, 2013.
F4: Under its terms the option became exercisable in installments at the rate of one-twelfth of the shares subject to the option at the end of each one-month period from the date of grant (June 27, 2013), and became immediately exercisable and vested in full as of June 27, 2014.
F5: Under its terms the option became exercisable in installments at the rate of one-twelfth of the shares subject to the option at the end of each one-month period from the date of grant (June 12, 2014), and became immediately exercisable and vested in full as of June 12, 2015.
F6: Under its terms the option became exercisable in installments at the rate of one-twelfth of the shares subject to the option at the end of each one-month period from the date of grant (June 11, 2015), and became immediately exercisable and vested in full as of June 11, 2016.
F7: Under its terms the option became exercisable in installments at the rate of one-twelfth of the shares subject to the option at the end of each one-month period from the date of grant (June 8, 2017), and became immediately exercisable and vested in full as of the date ten (10) days prior to the Merger.
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 |
|---|---|---|---|---|---|---|
| February 01, 2022 Filed Feb 3, 2022 16:34 UTC | LUMOS PHARMA, INC. (LUMO) · Entity 85102 | Tax withholdingCommon Stock | 173 | $10.02 | $1,733.46 |
DisclosureSEC source: 0001126234-22-000007 · wf-form4_164392405843089.xml · nonDerivative · entry 2 Hawkins Richard J · CIK 0001307632 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 749,709 F4 · shares: Represents shares of Common Stock withheld by the Issuer in satisfaction of its tax withholding obligation with respect to the vesting of 582 previously reported restricted stock units ("RSUs") granted to the Reporting Person. F2 · balance_after: Includes 1,747 RSUs previously reported as holdings of the Reporting Person granted under the Plan. The RSUs will vest, and shares will be delivered to the Reporting Person in a series of three successive annual installments with the next installment occurring on February 1, 2023, provided in each case that the Reporting Person's continuous service to the Issuer has not been terminated as defined in or as determined under the Plan. F3 · balance_after: Includes 18,750 RSUs previously reported as holdings of the Reporting Person granted under the Plan. The RSUs will vest, and shares will be delivered to the Reporting Person in a series of three successive annual installments with the next installment occurring on April 1, 2022, provided in each case that the Reporting Person's continuous service to the Issuer has not been terminated as defined in or as determined under the Plan. Read SEC document |
| February 01, 2022 Filed Feb 3, 2022 16:34 UTC | LUMOS PHARMA, INC. (LUMO) · Entity 85102 | GrantCommon Stock | 4,500 | $10.02 | $45,090.00 |
DisclosureSEC source: 0001126234-22-000007 · wf-form4_164392405843089.xml · nonDerivative · entry 1 Hawkins Richard J · CIK 0001307632 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 749,882 F1 · shares: Represents shares issued as restricted stock units ("RSUs") under the Issuer's 2009 Equity Incentive Plan, as amended, (the "Plan") that were received as an award, for no consideration. The RSUs vest in a series of four successive annual installments beginning on February 1, 2023, provided in each case that the Reporting Person's continuous service to the Issuer has not been terminated as defined in or as determined under the Plan. F2 · balance_after: Includes 1,747 RSUs previously reported as holdings of the Reporting Person granted under the Plan. The RSUs will vest, and shares will be delivered to the Reporting Person in a series of three successive annual installments with the next installment occurring on February 1, 2023, provided in each case that the Reporting Person's continuous service to the Issuer has not been terminated as defined in or as determined under the Plan. F3 · balance_after: Includes 18,750 RSUs previously reported as holdings of the Reporting Person granted under the Plan. The RSUs will vest, and shares will be delivered to the Reporting Person in a series of three successive annual installments with the next installment occurring on April 1, 2022, provided in each case that the Reporting Person's continuous service to the Issuer has not been terminated as defined in or as determined under the Plan. Read SEC document |
| December 14, 2021 Filed Dec 14, 2021 23:28 UTC | Savara Inc SVRA · Entity 4900 | GrantStock Option (Right to Buy) · Derivative | 40,000 | $0.00 Strike: $1.11 | $0.00 |
DisclosureSEC source: 0001209191-21-069582 · doc4.xml · derivative · entry 3 Hawkins Richard J · CIK 0001307632 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Stock · 40,000 shares Expires 2031-12-14 F2 · derivative.exercise_date: The shares subject to the option vest and become exercisable on December 14, 2022. Read SEC document |
| December 13, 2021 Filed Dec 14, 2021 23:28 UTC | Savara Inc SVRA · Entity 4900 | Exercise / conversionStock Option (Right to Buy) · Derivative | 728 | $0.00 Strike: $0.55 | $0.00 |
DisclosureSEC source: 0001209191-21-069582 · doc4.xml · derivative · entry 2 Hawkins Richard J · CIK 0001307632 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 728 shares Expires 2021-12-16 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_date: The shares subject to the option vested and became exercisable in twelve equal quarterly installments beginning on March 16, 2012. Read SEC document |
| December 13, 2021 Filed Dec 14, 2021 23:28 UTC | Savara Inc SVRA · Entity 4900 | Exercise / conversionCommon Stock | 728 | $0.55 | $400.40 |
DisclosureSEC source: 0001209191-21-069582 · doc4.xml · nonDerivative · entry 1 Hawkins Richard J · CIK 0001307632 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 728 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| June 11, 2021 Filed Jun 12, 2021 00:43 UTC | CERENOME, INC. PSTV · Entity 7637 | GrantStock Option (Right to Buy) · Derivative | 6,336 | $0.00 Strike: $2.88 | $0.00 |
DisclosureSEC source: 0001209191-21-040096 · doc4.xml · derivative · entry 2 Hawkins Richard J · CIK 0001307632 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,336 Underlying: Common Stock · 6,336 shares Expires 2031-06-11 F2 · derivative.exercise_date: The options vest monthly over 12 months from the Grant Date in substantially equal monthly installments, provided that the options vest in full on the Issuer's next regularly scheduled annual meeting of stockholders that occurs following the Grant Date, subject to the Reporting Person's continued service to the Issuer through each applicable vesting date or, if earlier, such annual meeting. Read SEC document |
| June 11, 2021 Filed Jun 12, 2021 00:43 UTC | CERENOME, INC. PSTV · Entity 7637 | GrantStock Option (Right to Buy) · Derivative | 40,000 | $0.00 Strike: $2.88 | $0.00 |
DisclosureSEC source: 0001209191-21-040096 · doc4.xml · derivative · entry 1 Hawkins Richard J · CIK 0001307632 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Stock · 40,000 shares Expires 2031-06-11 F1 · derivative.exercise_date: Options vest in equal monthly installments over 36 months. Read SEC document |
| April 01, 2021 Filed Apr 5, 2021 17:45 UTC | LUMOS PHARMA, INC. (LUMO) · Entity 85102 | Tax withholdingCommon Stock | 1,522 | $12.25 | $18,644.50 |
DisclosureSEC source: 0001126234-21-000042 · wf-form4_161765904078536.xml · nonDerivative · entry 1 Hawkins Richard J · CIK 0001307632 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 745,382 F1 · shares: Represents shares of Common Stock withheld by the Issuer in satisfaction of its tax withholding obligation with respect to the vesting of 6,250 previously reported restricted stock units ("RSUs") granted to the Reporting Person. F2 · balance_after: Includes 2,329 RSUs previously reported as holdings of the Reporting Person granted under the Issuer's 2009 Equity Incentive Plan (the "Plan"). The RSUs will vest, and shares will be delivered to the Reporting Person in a series of four successive annual installments with the next installment occurring on February 1, 2022, provided in each case that the Reporting Person's continuous service to the Issuer has not been terminated as defined in or as determined under the Plan. F3 · balance_after: Includes 18,750 RSUs previously reported as holdings of the Reporting Person granted under the Plan. The RSUs will vest, and shares will be delivered to the Reporting Person in a series of three successive annual installments with the next installment occurring on April 1, 2022, provided in each case that the Reporting Person's continuous service to the Issuer has not been terminated as defined in or as determined under the Plan. Read SEC document |
| February 01, 2021 Filed Feb 3, 2021 18:51 UTC | LUMOS PHARMA, INC. (LUMO) · Entity 85102 | GrantStock Option (Right to Buy) · Derivative | 28,475 | $0.00 Strike: $17.35 | $0.00 |
DisclosureSEC source: 0001126234-21-000007 · wf-form4_161239625958826.xml · derivative · entry 2 Hawkins Richard J · CIK 0001307632 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,475 Underlying: Common Stock · 28,475 shares Expires 2031-01-31 F3 · derivative.exercise_date: Grant to the Reporting Person of a stock option under the Plan. The option vests and becomes exercisable in a series of 48 successive equal monthly installments beginning on March 1, 2021, provided that at the relevant vesting dates the Reporting Person's continuous service to the Issuer has not been terminated as defined in or as determined under the Plan. The option expires ten years after the date of grant. Read SEC document |
| February 01, 2021 Filed Feb 3, 2021 18:51 UTC | LUMOS PHARMA, INC. (LUMO) · Entity 85102 | GrantCommon Stock | 2,329 | $0.00 | $0.00 |
DisclosureSEC source: 0001126234-21-000007 · wf-form4_161239625958826.xml · nonDerivative · entry 1 Hawkins Richard J · CIK 0001307632 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 746,904 F1 · shares: Represents shares issued as restricted stock units ("RSUs") under the Issuer's 2009 Equity Incentive Plan, as amended, (the "Plan") that were received as an award, for no consideration. The RSUs vest in a series of four successive annual installments beginning on February 1, 2022, provided in each case that the Reporting Person's continuous service to the Issuer has not been terminated as defined in or as determined under the Plan. F2 · balance_after: Includes 25,000 RSUs previously reported as holdings of the Reporting Person granted under the Plan. The RSUs will vest, and shares will be delivered to the Reporting Person in a series of four successive annual installments with the next installment occurring on April 1, 2021, provided in each case that the Reporting Person's continuous service to the Issuer has not been terminated as defined in or as determined under the Plan. Read SEC document |
| December 16, 2020 Filed Dec 17, 2020 17:17 UTC | Savara Inc SVRA · Entity 4900 | GrantStock Option (Right to Buy) · Derivative | 40,000 | $0.00 Strike: $1.23 | $0.00 |
DisclosureSEC source: 0001209191-20-063975 · doc4.xml · derivative · entry 1 Hawkins Richard J · CIK 0001307632 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Stock · 40,000 shares Expires 2030-12-16 F1 · derivative.exercise_date: The shares subject to the option vest and become exercisable on December 16, 2021. Read SEC document |
| June 25, 2020 Filed Jun 30, 2020 00:47 UTC | CERENOME, INC. PSTV · Entity 7637 | GrantStock Option (Right to Buy) · Derivative | 40,000 | $0.00 Strike: $2.10 | $0.00 |
DisclosureSEC source: 0001209191-20-039319 · doc4.xml · derivative · entry 1 Hawkins Richard J · CIK 0001307632 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Stock · 40,000 shares Expires 2030-06-25 F1 · derivative.exercise_date: The options vest over two years in equal 1/24th increments on each monthly anniversary of the issuance. Read SEC document |
| April 01, 2020 Filed Apr 3, 2020 18:21 UTC | LUMOS PHARMA, INC. (LUMO) · Entity 85102 | GrantStock Option (Right to Buy) · Derivative | 135,000 | $0.00 Strike: $7.87 | $0.00 |
DisclosureSEC source: 0001126234-20-000044 · wf-form4_158595246403664.xml · derivative · entry 2 Hawkins Richard J · CIK 0001307632 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 135,000 Underlying: Common Stock · 135,000 shares Expires 2030-03-31 F2 · derivative.exercise_date: Grant to the Reporting Person of a stock option under the Plan. The option vests and becomes exercisable in a series of 48 successive equal monthly installments beginning on May 1, 2020, provided that at the relevant vesting dates the Reporting Person's continuous service to the Issuer has not been terminated as defined in or as determined under the Plan. The option expires ten years after the date of grant. Read SEC document |
| April 01, 2020 Filed Apr 3, 2020 18:21 UTC | LUMOS PHARMA, INC. (LUMO) · Entity 85102 | GrantCommon Stock | 25,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001126234-20-000044 · wf-form4_158595246403664.xml · nonDerivative · entry 1 Hawkins Richard J · CIK 0001307632 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 744,575 F1 · shares: Represents shares issued as restricted stock units ("RSUs") under the Issuer's 2009 Equity Incentive Plan, as amended, (the "Plan") that were received as an award, for no consideration. The RSUs vest in a series of four successive annual installments beginning on April 1, 2021, provided in each case that the Reporting Person's continuous service to the Issuer has not been terminated as defined in or as determined under the Plan. Read SEC document |
| December 20, 2019 Filed Dec 26, 2019 23:04 UTC | Savara Inc SVRA · Entity 4900 | GrantStock Option (Right to Buy) · Derivative | 12,000 | $0.00 Strike: $1.59 | $0.00 |
DisclosureSEC source: 0000899243-19-030074 · doc4.xml · derivative · entry 1 Hawkins Richard J · CIK 0001307632 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,000 Underlying: Common Stock · 12,000 shares Expires 2029-12-20 F1 · derivative.exercise_date: The shares subject to the option vest and become exercisable in twelve equal installments on each quarterly anniversary of December 20, 2019, subject to the reporting person's continued service with the Issuer. Read SEC document |
| May 15, 2019 Filed May 16, 2019 21:38 UTC | Savara Inc SVRA · Entity 4900 | SaleCommon Stock | 10,409 | $11.16 | $116,166.52 |
DisclosureSEC source: 0000899243-19-013799 · doc4.xml · nonDerivative · entry 6 Hawkins Richard J · CIK 0001307632 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F2 · price: The price is a weighted average sale price. The sale prices ranged from $10.99 to $11.31. The reporting person undertakes to provide Savara Inc., any security holder of Savara Inc., or the staff of the Securities and Exchange Commission, upon receipt of a request, full information regarding the number of shares sold at each separate price within the range set forth in this Form 4. Read SEC document |
| May 14, 2019 Filed May 16, 2019 21:38 UTC | Savara Inc SVRA · Entity 4900 | Exercise / conversionStock Option (Right to Buy) · Derivative | 444 | $0.00 Strike: $0.55 | $0.00 |
DisclosureSEC source: 0000899243-19-013799 · doc4.xml · derivative · entry 10 Hawkins Richard J · CIK 0001307632 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 728 Underlying: Common Stock · 444 shares Expires 2021-12-16 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. F6 · derivative.exercise_date: The shares subject to the option vested and became exercisable in twelve equal quarterly installments beginning on March 16, 2012. Read SEC document |
| May 14, 2019 Filed May 16, 2019 21:38 UTC | Savara Inc SVRA · Entity 4900 | Exercise / conversionStock Option (Right to Buy) · Derivative | 2,288 | $0.00 Strike: $0.52 | $0.00 |
DisclosureSEC source: 0000899243-19-013799 · doc4.xml · derivative · entry 9 Hawkins Richard J · CIK 0001307632 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,288 shares Expires 2021-08-30 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. F5 · derivative.exercise_date: The shares subject to the option vested and became exercisable in twelve equal quarterly installments beginning on November 18, 2011. Read SEC document |
| May 14, 2019 Filed May 16, 2019 21:38 UTC | Savara Inc SVRA · Entity 4900 | Exercise / conversionStock Option (Right to Buy) · Derivative | 586 | $0.00 Strike: $0.52 | $0.00 |
DisclosureSEC source: 0000899243-19-013799 · doc4.xml · derivative · entry 8 Hawkins Richard J · CIK 0001307632 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 586 shares Expires 2020-12-17 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 · derivative.exercise_date: The shares subject to the option vested and became exercisable in twelve equal quarterly installments beginning on March 17, 2011. Read SEC document |
| May 14, 2019 Filed May 16, 2019 21:38 UTC | Savara Inc SVRA · Entity 4900 | Exercise / conversionStock Option (Right to Buy) · Derivative | 21,682 | $0.00 Strike: $0.52 | $0.00 |
DisclosureSEC source: 0000899243-19-013799 · doc4.xml · derivative · entry 7 Hawkins Richard J · CIK 0001307632 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 21,682 shares Expires 2020-10-22 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_date: 5,420 of the shares subject to the option vested and became exercisable on October 22, 2010, and the remaining shares subject to the option vested and became exercisable in twelve equal quarterly installments beginning on January 22, 2011. Read SEC document |
| May 14, 2019 Filed May 16, 2019 21:38 UTC | Savara Inc SVRA · Entity 4900 | SaleCommon Stock | 14,591 | $11.07 | $161,455.25 |
DisclosureSEC source: 0000899243-19-013799 · doc4.xml · nonDerivative · entry 5 Hawkins Richard J · CIK 0001307632 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,409 F1 · price: The price is a weighted average sale price. The sale prices ranged from $10.97 to $11.16. The reporting person undertakes to provide Savara Inc., any security holder of Savara Inc., or the staff of the Securities and Exchange Commission, upon receipt of a request, full information regarding the number of shares sold at each separate price within the range set forth in this Form 4. Read SEC document |
| May 14, 2019 Filed May 16, 2019 21:38 UTC | Savara Inc SVRA · Entity 4900 | Exercise / conversionCommon Stock | 444 | $0.55 | $244.20 |
DisclosureSEC source: 0000899243-19-013799 · doc4.xml · nonDerivative · entry 4 Hawkins Richard J · CIK 0001307632 · 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. Read SEC document |
| May 14, 2019 Filed May 16, 2019 21:38 UTC | Savara Inc SVRA · Entity 4900 | Exercise / conversionCommon Stock | 2,288 | $0.52 | $1,189.76 |
DisclosureSEC source: 0000899243-19-013799 · doc4.xml · nonDerivative · entry 3 Hawkins Richard J · CIK 0001307632 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,556 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| May 14, 2019 Filed May 16, 2019 21:38 UTC | Savara Inc SVRA · Entity 4900 | Exercise / conversionCommon Stock | 586 | $0.52 | $304.72 |
DisclosureSEC source: 0000899243-19-013799 · doc4.xml · nonDerivative · entry 2 Hawkins Richard J · CIK 0001307632 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,268 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| May 14, 2019 Filed May 16, 2019 21:38 UTC | Savara Inc SVRA · Entity 4900 | Exercise / conversionCommon Stock | 21,682 | $0.52 | $11,274.64 |
DisclosureSEC source: 0000899243-19-013799 · doc4.xml · nonDerivative · entry 1 Hawkins Richard J · CIK 0001307632 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,682 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| December 13, 2018 Filed Dec 14, 2018 21:31 UTC | Savara Inc SVRA · Entity 4900 | GrantStock Option (Right to Buy) · Derivative | 12,000 | $0.00 Strike: $7.33 | $0.00 |
DisclosureSEC source: 0000899243-18-031085 · doc4.xml · derivative · entry 1 Hawkins Richard J · CIK 0001307632 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,000 Underlying: Common Stock · 12,000 shares Expires 2028-12-13 F1 · derivative.exercise_date: The shares subject to the option vest and become exercisable in twelve equal installments on each quarterly anniversary of December 13, 2018, subject to the reporting person's continued service with the Issuer. Read SEC document |
| July 25, 2018 Filed Jul 27, 2018 20:33 UTC | CERENOME, INC. CTYX · Entity 7637 | OtherWarrants (Right to Buy) · Derivative | 10,500 | Not disclosed Strike: $0.80 | Not disclosed |
DisclosureSEC source: 0001209191-18-044208 · doc4.xml · derivative · entry 3 Hawkins Richard J · CIK 0001307632 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,500 Underlying: Common Stock · 10,500 shares Expires 2021-01-25 F1 · price: The preferred stock and the warrants reported on this Form 4 were acquired pursuant to the exercise of subscription rights previously distributed by Cytori Therapeutics, Inc. (the "Company") to all holders of the Company's common stock and Series B Preferred Stock on June 26, 2018. The subscription rights entitled each recipient to purchase units ("Units"). Each Unit consists of one share of the Company's Series C Preferred stock (convertible into 1,253 of the Company's common stock) and 1,050 warrants, with each warrant representing the right to purchase one share of the Company's common stock. The purchase price for each Unit was $1,000. F3 · derivative.exercise_date: Each warrant entitles the holder to purchase one share of the Company's common stock at an exercise price of $0.7986 through January 25, 2021. Read SEC document |
| July 25, 2018 Filed Jul 27, 2018 20:33 UTC | CERENOME, INC. CTYX · Entity 7637 | OtherSeries C Preferred Stock · Derivative | 10 | Not disclosed Strike: $0.80 | Not disclosed |
DisclosureSEC source: 0001209191-18-044208 · doc4.xml · derivative · entry 2 Hawkins Richard J · CIK 0001307632 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35 Underlying: Common Stock · 12,522 shares Expires not disclosed F1 · price: The preferred stock and the warrants reported on this Form 4 were acquired pursuant to the exercise of subscription rights previously distributed by Cytori Therapeutics, Inc. (the "Company") to all holders of the Company's common stock and Series B Preferred Stock on June 26, 2018. The subscription rights entitled each recipient to purchase units ("Units"). Each Unit consists of one share of the Company's Series C Preferred stock (convertible into 1,253 of the Company's common stock) and 1,050 warrants, with each warrant representing the right to purchase one share of the Company's common stock. The purchase price for each Unit was $1,000. F2 · derivative.expiration_date: The Series C Preferred Stock has no expiration date. Read SEC document |
| July 25, 2018 Filed Jul 27, 2018 20:33 UTC | CERENOME, INC. CTYX · Entity 7637 | OtherSubscription Rights (Right to Buy) · Derivative | 10 | Not disclosed Strike: $1,000.00 | Not disclosed |
DisclosureSEC source: 0001209191-18-044208 · doc4.xml · derivative · entry 1 Hawkins Richard J · CIK 0001307632 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: See Footnote · Not disclosed shares Expires 2018-07-20 F1 · price: The preferred stock and the warrants reported on this Form 4 were acquired pursuant to the exercise of subscription rights previously distributed by Cytori Therapeutics, Inc. (the "Company") to all holders of the Company's common stock and Series B Preferred Stock on June 26, 2018. The subscription rights entitled each recipient to purchase units ("Units"). Each Unit consists of one share of the Company's Series C Preferred stock (convertible into 1,253 of the Company's common stock) and 1,050 warrants, with each warrant representing the right to purchase one share of the Company's common stock. The purchase price for each Unit was $1,000. F1 · derivative.underlying: The preferred stock and the warrants reported on this Form 4 were acquired pursuant to the exercise of subscription rights previously distributed by Cytori Therapeutics, Inc. (the "Company") to all holders of the Company's common stock and Series B Preferred Stock on June 26, 2018. The subscription rights entitled each recipient to purchase units ("Units"). Each Unit consists of one share of the Company's Series C Preferred stock (convertible into 1,253 of the Company's common stock) and 1,050 warrants, with each warrant representing the right to purchase one share of the Company's common stock. The purchase price for each Unit was $1,000. F1 · derivative.underlying_shares: The preferred stock and the warrants reported on this Form 4 were acquired pursuant to the exercise of subscription rights previously distributed by Cytori Therapeutics, Inc. (the "Company") to all holders of the Company's common stock and Series B Preferred Stock on June 26, 2018. The subscription rights entitled each recipient to purchase units ("Units"). Each Unit consists of one share of the Company's Series C Preferred stock (convertible into 1,253 of the Company's common stock) and 1,050 warrants, with each warrant representing the right to purchase one share of the Company's common stock. The purchase price for each Unit was $1,000. Read SEC document |
| December 17, 2017 Filed Dec 19, 2017 23:47 UTC | Savara Inc SVRA · Entity 4900 | GrantStock Option (Right to Buy) · Derivative | 3,750 | $0.00 Strike: $15.21 | $0.00 |
DisclosureSEC source: 0000899243-17-029233 · doc4.xml · derivative · entry 1 Hawkins Richard J · CIK 0001307632 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,750 Underlying: Common Stock · 3,750 shares Expires 2027-12-17 F1 · derivative.exercise_date: The option vests and becomes exercisable in six equal monthly installments on each monthly anniversary of December 17, 2017, subject to the reporting person's continued service with the Issuer. Read SEC document |
| November 28, 2017 Filed Nov 29, 2017 22:35 UTC | CERENOME, INC. CTYX · Entity 7637 | OtherWarrants (Right to Buy) · Derivative | 5,400 | Not disclosed Strike: $0.33 | Not disclosed |
DisclosureSEC source: 0001209191-17-062898 · doc4.xml · derivative · entry 3 Hawkins Richard J · CIK 0001307632 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,400 Underlying: Common Stock · 5,400 shares Expires 2020-05-28 F1 · price: The preferred stock and the warrants reported on this Form 4 were acquired pursuant to the exercise of subscription rights previously distributed by Cytori Therapeutics, In. (the "Company") to all holders of the Company's common stock on October 27, 2017. The subscription rights entitled each recipient to purchase units ("Units"). Each Unit consists of one share of the Company's Series B Preferred Stock (convertible into 3,000 shares of the Company's common stock) and 1,800 warrants, with each warrant representing the right to purchase one share of the Company's common stock. The purchase price for each Unit was $1,000. F3 · derivative.exercise_date: Each warrant entitles the holder to purchase one share of the Company's common stock at an exercise price of $0.3333 per share from the date the Company receives stockholder approval of an amendment to its certificate of incorporation to increase its authorized shares of common stock through May 28, 2020. Read SEC document |
| November 28, 2017 Filed Nov 29, 2017 22:35 UTC | CERENOME, INC. CTYX · Entity 7637 | OtherSeries B Preferred Stock · Derivative | 3 | Not disclosed Strike: $0.33 | Not disclosed |
DisclosureSEC source: 0001209191-17-062898 · doc4.xml · derivative · entry 2 Hawkins Richard J · CIK 0001307632 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3 Underlying: Common Stock · 9,000 shares Expires not disclosed F1 · price: The preferred stock and the warrants reported on this Form 4 were acquired pursuant to the exercise of subscription rights previously distributed by Cytori Therapeutics, In. (the "Company") to all holders of the Company's common stock on October 27, 2017. The subscription rights entitled each recipient to purchase units ("Units"). Each Unit consists of one share of the Company's Series B Preferred Stock (convertible into 3,000 shares of the Company's common stock) and 1,800 warrants, with each warrant representing the right to purchase one share of the Company's common stock. The purchase price for each Unit was $1,000. F2 · derivative.expiration_date: The Series B Preferred Stock has no expiration date. Read SEC document |
| November 28, 2017 Filed Nov 29, 2017 22:35 UTC | CERENOME, INC. CTYX · Entity 7637 | OtherSubscription Rights (Right to Buy) · Derivative | 3 | Not disclosed Strike: $1,000.00 | Not disclosed |
DisclosureSEC source: 0001209191-17-062898 · doc4.xml · derivative · entry 1 Hawkins Richard J · CIK 0001307632 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: see footnote · Not disclosed shares Expires 2017-11-21 F1 · price: The preferred stock and the warrants reported on this Form 4 were acquired pursuant to the exercise of subscription rights previously distributed by Cytori Therapeutics, In. (the "Company") to all holders of the Company's common stock on October 27, 2017. The subscription rights entitled each recipient to purchase units ("Units"). Each Unit consists of one share of the Company's Series B Preferred Stock (convertible into 3,000 shares of the Company's common stock) and 1,800 warrants, with each warrant representing the right to purchase one share of the Company's common stock. The purchase price for each Unit was $1,000. F1 · derivative.underlying: The preferred stock and the warrants reported on this Form 4 were acquired pursuant to the exercise of subscription rights previously distributed by Cytori Therapeutics, In. (the "Company") to all holders of the Company's common stock on October 27, 2017. The subscription rights entitled each recipient to purchase units ("Units"). Each Unit consists of one share of the Company's Series B Preferred Stock (convertible into 3,000 shares of the Company's common stock) and 1,800 warrants, with each warrant representing the right to purchase one share of the Company's common stock. The purchase price for each Unit was $1,000. F1 · derivative.underlying_shares: The preferred stock and the warrants reported on this Form 4 were acquired pursuant to the exercise of subscription rights previously distributed by Cytori Therapeutics, In. (the "Company") to all holders of the Company's common stock on October 27, 2017. The subscription rights entitled each recipient to purchase units ("Units"). Each Unit consists of one share of the Company's Series B Preferred Stock (convertible into 3,000 shares of the Company's common stock) and 1,800 warrants, with each warrant representing the right to purchase one share of the Company's common stock. The purchase price for each Unit was $1,000. Read SEC document |
| October 13, 2017 Filed Oct 16, 2017 17:06 UTC | SCICLONE PHARMACEUTICALS INC SCLN · Entity 172474 | Disposition to issuerNon-Qualified Stock Option (right to buy) · Derivative | 30,000 | $0.28 Strike: $10.90 | $8,400.00 |
DisclosureSEC source: 0000899243-17-024249 · doc4.xml · derivative · entry 7 Hawkins Richard J · CIK 0001307632 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 30,000 shares Expires 2027-06-08 F2 · price: The option was canceled immediately prior to the merger of Issuer and Silver Delaware Investment Limited (the "Merger") in exchange for a cash payment per share from the Issuer in an amount equal to the excess of $11.18 per share over the exercise price. F7 · derivative.exercise_date: Under its terms the option became exercisable in installments at the rate of one-twelfth of the shares subject to the option at the end of each one-month period from the date of grant (June 8, 2017), and became immediately exercisable and vested in full as of the date ten (10) days prior to the Merger. Read SEC document |
| October 13, 2017 Filed Oct 16, 2017 17:06 UTC | SCICLONE PHARMACEUTICALS INC SCLN · Entity 172474 | Disposition to issuerNon-Qualified Stock Option (right to buy) · Derivative | 30,000 | $2.03 Strike: $9.15 | $60,900.00 |
DisclosureSEC source: 0000899243-17-024249 · doc4.xml · derivative · entry 6 Hawkins Richard J · CIK 0001307632 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 30,000 shares Expires 2025-06-11 F2 · price: The option was canceled immediately prior to the merger of Issuer and Silver Delaware Investment Limited (the "Merger") in exchange for a cash payment per share from the Issuer in an amount equal to the excess of $11.18 per share over the exercise price. F6 · derivative.exercise_date: Under its terms the option became exercisable in installments at the rate of one-twelfth of the shares subject to the option at the end of each one-month period from the date of grant (June 11, 2015), and became immediately exercisable and vested in full as of June 11, 2016. Read SEC document |
| October 13, 2017 Filed Oct 16, 2017 17:06 UTC | SCICLONE PHARMACEUTICALS INC SCLN · Entity 172474 | Disposition to issuerNon-Qualified Stock Option (right to buy) · Derivative | 30,000 | $6.08 Strike: $5.10 | $182,400.00 |
DisclosureSEC source: 0000899243-17-024249 · doc4.xml · derivative · entry 5 Hawkins Richard J · CIK 0001307632 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 30,000 shares Expires 2024-06-12 F2 · price: The option was canceled immediately prior to the merger of Issuer and Silver Delaware Investment Limited (the "Merger") in exchange for a cash payment per share from the Issuer in an amount equal to the excess of $11.18 per share over the exercise price. F5 · derivative.exercise_date: Under its terms the option became exercisable in installments at the rate of one-twelfth of the shares subject to the option at the end of each one-month period from the date of grant (June 12, 2014), and became immediately exercisable and vested in full as of June 12, 2015. Read SEC document |
| October 13, 2017 Filed Oct 16, 2017 17:06 UTC | SCICLONE PHARMACEUTICALS INC SCLN · Entity 172474 | Disposition to issuerNon-Qualified Stock Option (right to buy) · Derivative | 30,000 | $6.05 Strike: $5.13 | $181,500.00 |
DisclosureSEC source: 0000899243-17-024249 · doc4.xml · derivative · entry 4 Hawkins Richard J · CIK 0001307632 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 30,000 shares Expires 2023-06-27 F2 · price: The option was canceled immediately prior to the merger of Issuer and Silver Delaware Investment Limited (the "Merger") in exchange for a cash payment per share from the Issuer in an amount equal to the excess of $11.18 per share over the exercise price. F4 · derivative.exercise_date: Under its terms the option became exercisable in installments at the rate of one-twelfth of the shares subject to the option at the end of each one-month period from the date of grant (June 27, 2013), and became immediately exercisable and vested in full as of June 27, 2014. Read SEC document |
| October 13, 2017 Filed Oct 16, 2017 17:06 UTC | SCICLONE PHARMACEUTICALS INC SCLN · Entity 172474 | Disposition to issuerNon-Qualified Stock Option (right to buy) · Derivative | 30,000 | $4.40 Strike: $6.78 | $132,000.00 |
DisclosureSEC source: 0000899243-17-024249 · doc4.xml · derivative · entry 3 Hawkins Richard J · CIK 0001307632 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 30,000 shares Expires 2022-06-07 F2 · price: The option was canceled immediately prior to the merger of Issuer and Silver Delaware Investment Limited (the "Merger") in exchange for a cash payment per share from the Issuer in an amount equal to the excess of $11.18 per share over the exercise price. F3 · derivative.exercise_date: Under its terms the option became exercisable in installments at the rate of one-twelfth of the shares subject to the option at the end of each one-month period from the date of grant (June 7, 2012), and became immediately exercisable and vested in full as of June 7, 2013. Read SEC document |
| October 13, 2017 Filed Oct 16, 2017 17:06 UTC | SCICLONE PHARMACEUTICALS INC SCLN · Entity 172474 | Disposition to issuerNon-Qualified Stock Option (right to buy) · Derivative | 30,000 | $5.14 Strike: $6.04 | $154,200.00 |
DisclosureSEC source: 0000899243-17-024249 · doc4.xml · derivative · entry 2 Hawkins Richard J · CIK 0001307632 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 30,000 shares Expires 2021-06-30 F2 · price: The option was canceled immediately prior to the merger of Issuer and Silver Delaware Investment Limited (the "Merger") in exchange for a cash payment per share from the Issuer in an amount equal to the excess of $11.18 per share over the exercise price. F1 · derivative.exercise_date: Under its terms the option became exercisable in installments at the rate of one-twelfth of the shares subject to the option at the end of each one-month period from the date of grant (June 30, 2011), and became immediately exercisable and vested in full as of June 30, 2012. Read SEC document |
| October 13, 2017 Filed Oct 16, 2017 17:06 UTC | SCICLONE PHARMACEUTICALS INC SCLN · Entity 172474 | Disposition to issuerCommon Stock | 24,363 | $11.18 | $272,378.34 |
DisclosureSEC source: 0000899243-17-024249 · doc4.xml · nonDerivative · entry 1 Hawkins Richard J · CIK 0001307632 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Read SEC document |
| June 08, 2017 Filed Jun 9, 2017 16:28 UTC | SCICLONE PHARMACEUTICALS INC SCLN · Entity 172474 | GrantNon-Qualified Stock Option (right to buy) · Derivative | 30,000 | $0.00 Strike: $10.90 | $0.00 |
DisclosureSEC source: 0000880771-17-000101 · certent-form4.xml · derivative · entry 1 Hawkins Richard J · CIK 0001307632 · Director · Board Member 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 Underlying: Common Stock · 30,000 shares Expires 2027-06-08 F1 · security: Granted under the Issuer's 2015 Equity Incentive Plan. F2 · derivative.exercise_date: Each option shall vest and become exercisable at the rate of one-twelfth of the shares subject to the option at the end of each one-month period from the date of grant except that, in the event of a change in control, any unexercisable or unvested portions of outstanding options shall be immediately exercisable and vested in full as of the date ten (10) days prior to the change in control, regardless of whether the option is assumed or substituted for by the acquirer. Read SEC document |
| January 26, 2017 Filed Jan 27, 2017 22:49 UTC | CERENOME, INC. CTYX · Entity 7637 | GrantNon-Qualified Stock Option (right to buy) · Derivative | 25,000 | $0.00 Strike: $1.56 | $0.00 |
DisclosureSEC source: 0001209191-17-005975 · doc4.xml · derivative · entry 1 Hawkins Richard J · CIK 0001307632 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 Underlying: Common Stock · 25,000 shares Expires 2027-01-26 F1 · derivative.exercise_price: The reporting person received a non-qualified stock option granted under the Issuer's 2014 Equity Incentive Plan. The exercise price per share to be paid by the reporting person at the time the option is exercised is the closing sale price of the Issuer's Common Stock on the NASDAQ Stock Market as of the date of the grant. The closing sale price on the date of the grant was $1.56. 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.