person · Reporting owner

Spiegel Robert J.

Disclosed activity across 9 companies

Tapewire entity: 34255
SEC CIK: 0001492256

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
Athenex, Inc.ATNX · Entity 113753	Director	April 21, 2023	April 24, 2023
Ayala Pharmaceuticals, Inc.ADXS · Entity 93434	Director	January 19, 2023	January 23, 2023
Bio Green Med Solution, Inc.CYCC · Entity 8225	Director	June 30, 2023	July 03, 2023
Ernexa Therapeutics Inc.ERNA · Entity 8278	Director	September 14, 2026	September 22, 2026
GERON CORPGERN · Entity 4989	Director	September 30, 2026	October 02, 2026
PDS Biotechnology CorpEDGE · Entity 7939	Director	March 15, 2019	March 18, 2019
RenovoRx, Inc.RNXT · Entity 6797	Director	October 01, 2026	October 03, 2026

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

Athenex, Inc.

Report date April 21, 2023 · Filed April 24, 2023

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	4,592	Reported balance After 2023-04-21 transaction · row 1 Account or security details depend on footnotes; rows are not merged. 1 source row Row 1 · 2023-04-21 · Grant · Acquired 2,300 · Balance 4,592 F1: Shares purchased from the Issuer under a Salary Deduction and Stock Purchase Agreement at the Nasdaq Official Closing Price on the date of purchase. F2: As of February 15, 2023, the issuer effected a reverse stock split of its common stock at a ratio of 1-for-20, resulting in every 20 shares owned by the reporting person to be combined into one share of common stock.
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $228.00 · Expires 2030-08-05	Direct	365	Reported balance Holding disclosure · report date 2023-04-21 · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · Balance 365 F3: This option was adjusted to reflect the reverse stock split that occurred on February 15, 2023. F4: This option vests in four equal annual installments beginning on August 5, 2021.
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $76.00 · Expires 2031-08-03	Direct	438	Reported balance Holding disclosure · report date 2023-04-21 · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · Balance 438 F3: This option was adjusted to reflect the reverse stock split that occurred on February 15, 2023.
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $9.14 · Expires 2032-06-28	Direct	875	Reported balance Holding disclosure · report date 2023-04-21 · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · Balance 875 F3: This option was adjusted to reflect the reverse stock split that occurred on February 15, 2023. F5: This option vests on June 28, 2023.

Filing footnotes · ownership attribution and instrument terms

F1: Shares purchased from the Issuer under a Salary Deduction and Stock Purchase Agreement at the Nasdaq Official Closing Price on the date of purchase.

F2: As of February 15, 2023, the issuer effected a reverse stock split of its common stock at a ratio of 1-for-20, resulting in every 20 shares owned by the reporting person to be combined into one share of common stock.

F3: This option was adjusted to reflect the reverse stock split that occurred on February 15, 2023.

F4: This option vests in four equal annual installments beginning on August 5, 2021.

F5: This option vests on June 28, 2023.

Ayala Pharmaceuticals, Inc.

Report date January 19, 2023 · Filed January 23, 2023

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $27.21 · Expires 2028-03-20	Direct	3,279	Reported balance After 2023-01-19 transaction · row 1 Instrument identity requires review; Table II rows are not merged. 1 source row Row 1 · 2023-01-19 · Grant · Acquired 3,279 · Balance 3,279 F2: Received in the merger of Ayala Pharmaceuticals, Inc. ("Old Ayala") into the Issuer (the "Merger") in exchange for an employee stock option to acquire 17,500 shares of the common stock of Old Ayala for $5.10 per share. F1: This option is fully vested and exercisable.
Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $47.17 · Expires 2030-02-12	Direct	2,342	Reported balance After 2023-01-19 transaction · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · 2023-01-19 · Grant · Acquired 2,342 · Balance 2,342 F3: Received in the Merger in exchange for an employee stock option to acquire 12,500 shares of the common stock of Old Ayala for $8.84 per share. F1: This option is fully vested and exercisable.
Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $55.23 · Expires 2031-06-09	Direct	1,171	Reported balance After 2023-01-19 transaction · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · 2023-01-19 · Grant · Acquired 1,171 · Balance 1,171 F4: Received in the Merger in exchange for an employee stock option to acquire 6,250 shares of the common stock of Old Ayala for $10.35 per share. F1: This option is fully vested and exercisable.
Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $8.70 · Expires 2032-06-12	Direct	1,171	Reported balance After 2023-01-19 transaction · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · 2023-01-19 · Grant · Acquired 1,171 · Balance 1,171 F6: Received in the Merger in exchange for an employee stock option to acquire 6,250 shares of the common stock of Old Ayala for $1.63 per share. F5: This option vests and becomes exercisable on the earlier of (i) June 13, 2023 or (ii) one day prior to the Issuer's 2023 annual meeting of stockholders, subject to the Reporting Person's continued service with the Issuer through such vesting date.

Filing footnotes · ownership attribution and instrument terms

F1: This option is fully vested and exercisable.

F2: Received in the merger of Ayala Pharmaceuticals, Inc. ("Old Ayala") into the Issuer (the "Merger") in exchange for an employee stock option to acquire 17,500 shares of the common stock of Old Ayala for $5.10 per share.

F3: Received in the Merger in exchange for an employee stock option to acquire 12,500 shares of the common stock of Old Ayala for $8.84 per share.

F4: Received in the Merger in exchange for an employee stock option to acquire 6,250 shares of the common stock of Old Ayala for $10.35 per share.

F5: This option vests and becomes exercisable on the earlier of (i) June 13, 2023 or (ii) one day prior to the Issuer's 2023 annual meeting of stockholders, subject to the Reporting Person's continued service with the Issuer through such vesting date.

F6: Received in the Merger in exchange for an employee stock option to acquire 6,250 shares of the common stock of Old Ayala for $1.63 per share.

Bio Green Med Solution, Inc.

Report date June 30, 2023 · Filed July 03, 2023

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	39,415	Reported balance After 2023-06-30 transaction · row 1 1 source row Row 1 · 2023-06-30 · Grant · Acquired 21,219 · Balance 39,415 F1: The reporting person received an award of 21,219 restricted stock units on June 30, 2023, which shall vest in full on June 30, 2024. F2: These securities were granted to Dr. Spiegel for his services as a member of the board of directors of Cyclacel Pharmaceuticals, Inc.
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.59 · Expires 2033-06-30	Direct	42,438	Reported balance After 2023-06-30 transaction · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · 2023-06-30 · Grant · Acquired 42,438 · Balance 42,438 F2: These securities were granted to Dr. Spiegel for his services as a member of the board of directors of Cyclacel Pharmaceuticals, Inc.

Filing footnotes · ownership attribution and instrument terms

F1: The reporting person received an award of 21,219 restricted stock units on June 30, 2023, which shall vest in full on June 30, 2024.

F2: These securities were granted to Dr. Spiegel for his services as a member of the board of directors of Cyclacel Pharmaceuticals, Inc.

Ernexa Therapeutics Inc.

Report date September 14, 2026 · Filed September 22, 2026

This filing explicitly reported no securities owned.

GERON CORP

Report date September 30, 2026 · Filed October 02, 2026

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	212,161	Reported balance After 2026-09-30 transaction · row 1 1 source row Row 1 · 2026-09-30 · Grant · Acquired 6,351 · Balance 212,161 F1: Shares issued in lieu of cash compensation for quarterly board of directors' retainer and committee fees. Number of shares issued based on the closing price of the Issuer's common stock on September 30, 2026 of $1.23 per share.

Filing footnotes · ownership attribution and instrument terms

F1: Shares issued in lieu of cash compensation for quarterly board of directors' retainer and committee fees. Number of shares issued based on the closing price of the Issuer's common stock on September 30, 2026 of $1.23 per share.

PDS Biotechnology Corp

Report date March 15, 2019 · Filed March 18, 2019

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	48,661	Reported balance After 2019-03-15 transaction · row 1 1 source row Row 1 · 2019-03-15 · Exercise / conversion · Acquired 10,000 · Balance 48,661 F1: Vesting of RSUs granted to the Reporting Person on August 14, 2018.
Restricted Stock UnitsSEC Table II · derivative / convertible security	Direct	0	Reported balance After 2019-03-15 transaction · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · 2019-03-15 · Exercise / conversion · Disposed 10,000 · Balance 0 F2: Each restricted stock unit represents a contingent right to receive one share of Edge common stock upon the vesting of such unit. F1: Vesting of RSUs granted to the Reporting Person on August 14, 2018. F3: These restricted stock units shall become exercisable upon the achievement of certain performance or time based criteria. F4: Expiration date is not applicable as the vested restricted stock units shall be settled on the first business day following the date that such restricted stock units vest.

Filing footnotes · ownership attribution and instrument terms

F1: Vesting of RSUs granted to the Reporting Person on August 14, 2018.

F2: Each restricted stock unit represents a contingent right to receive one share of Edge common stock upon the vesting of such unit.

F3: These restricted stock units shall become exercisable upon the achievement of certain performance or time based criteria.

F4: Expiration date is not applicable as the vested restricted stock units shall be settled on the first business day following the date that such restricted stock units vest.

RenovoRx, Inc.

Report date October 01, 2026 · Filed October 03, 2026

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Stock Options (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.55 · Expires 2036-10-01	Direct	55,924	Reported balance After 2026-10-01 transaction · row 1 Instrument identity requires review; Table II rows are not merged. 1 source row Row 1 · 2026-10-01 · Grant · Acquired 55,924 · Balance 55,924 F1: The shares subject to the option vest in 12 equal monthly installments beginning on November 1, 2026.

Filing footnotes · ownership attribution and instrument terms

F1: The shares subject to the option vest in 12 equal monthly installments beginning on November 1, 2026.

Past disclosures · reporting ended (2)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

Old Ayala, Inc

Report date January 19, 2023 · Filed January 24, 2023

Section 16 reporting ended · disclosed 2023-01-24. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosure context
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.10 · Expires 2028-03-20	Direct	Reported balance After 2023-01-19 transaction · row 1 Instrument identity requires review; Table II rows are not merged. 1 source row Row 1 · 2023-01-19 · Disposition to issuer · Disposed 17,500 · Balance 0 F1: This Form 4 reports securities disposed of pursuant to the terms of that certain Agreement and Plan of Merger, dated October 18, 2022, by and among Ayala Pharmaceuticals, Inc. ("Ayala"), Advaxis, Inc. ("Advaxis"), and DOE Merger Sub, Inc., a wholly owned subsidiary of Advaxis (the "Merger Agreement"). The acquisition is more fully described in Ayala's definitive proxy statement filed with the Securities and Exchange Commission on December 12, 2022. In accordance with the terms of the Merger Agreement, each share of Ayala's common stock (the "Ayala Common Stock"), was cancelled and converted into the right to receive 0.1874 shares (the "Exchange Ratio") of Advaxis common stock (the "Advaxis Common Stock"). F2: Each outstanding option to purchase Ayala Common Stock (each an "Ayala Option") was substituted and converted automatically into an option (each, an "Advaxis Replacement Option") to purchase the number of shares of Advaxis Common Stock equal to the product obtained by multiplying (a) the number of shares of Ayala Common Stock subject to such Ayala Option immediately prior to the effective time of the merger, by (b) the Exchange Ratio, with any fractional shares rounded down to the nearest whole share, with each such Advaxis Replacement Option to have an exercise price per share of Advaxis Common Stock equal to (x) the per share exercise price for the shares of Ayala Common Stock subject to the corresponding Ayala Option immediately prior to the effective time of the merger, divided by (y) the Exchange Ratio, rounded up to the nearest whole cent. The term, exercisability and other provisions of each Advaxis Replacement Option generally remains the same as the corresponding Ayala Option. F3: This option is fully vested and exercisable.
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $8.84 · Expires 2030-02-12	Direct	Reported balance After 2023-01-19 transaction · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · 2023-01-19 · Disposition to issuer · Disposed 12,500 · Balance 0 F1: This Form 4 reports securities disposed of pursuant to the terms of that certain Agreement and Plan of Merger, dated October 18, 2022, by and among Ayala Pharmaceuticals, Inc. ("Ayala"), Advaxis, Inc. ("Advaxis"), and DOE Merger Sub, Inc., a wholly owned subsidiary of Advaxis (the "Merger Agreement"). The acquisition is more fully described in Ayala's definitive proxy statement filed with the Securities and Exchange Commission on December 12, 2022. In accordance with the terms of the Merger Agreement, each share of Ayala's common stock (the "Ayala Common Stock"), was cancelled and converted into the right to receive 0.1874 shares (the "Exchange Ratio") of Advaxis common stock (the "Advaxis Common Stock"). F2: Each outstanding option to purchase Ayala Common Stock (each an "Ayala Option") was substituted and converted automatically into an option (each, an "Advaxis Replacement Option") to purchase the number of shares of Advaxis Common Stock equal to the product obtained by multiplying (a) the number of shares of Ayala Common Stock subject to such Ayala Option immediately prior to the effective time of the merger, by (b) the Exchange Ratio, with any fractional shares rounded down to the nearest whole share, with each such Advaxis Replacement Option to have an exercise price per share of Advaxis Common Stock equal to (x) the per share exercise price for the shares of Ayala Common Stock subject to the corresponding Ayala Option immediately prior to the effective time of the merger, divided by (y) the Exchange Ratio, rounded up to the nearest whole cent. The term, exercisability and other provisions of each Advaxis Replacement Option generally remains the same as the corresponding Ayala Option. F3: This option is fully vested and exercisable.
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $10.35 · Expires 2031-06-09	Direct	Reported balance After 2023-01-19 transaction · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · 2023-01-19 · Disposition to issuer · Disposed 6,250 · Balance 0 F1: This Form 4 reports securities disposed of pursuant to the terms of that certain Agreement and Plan of Merger, dated October 18, 2022, by and among Ayala Pharmaceuticals, Inc. ("Ayala"), Advaxis, Inc. ("Advaxis"), and DOE Merger Sub, Inc., a wholly owned subsidiary of Advaxis (the "Merger Agreement"). The acquisition is more fully described in Ayala's definitive proxy statement filed with the Securities and Exchange Commission on December 12, 2022. In accordance with the terms of the Merger Agreement, each share of Ayala's common stock (the "Ayala Common Stock"), was cancelled and converted into the right to receive 0.1874 shares (the "Exchange Ratio") of Advaxis common stock (the "Advaxis Common Stock"). F2: Each outstanding option to purchase Ayala Common Stock (each an "Ayala Option") was substituted and converted automatically into an option (each, an "Advaxis Replacement Option") to purchase the number of shares of Advaxis Common Stock equal to the product obtained by multiplying (a) the number of shares of Ayala Common Stock subject to such Ayala Option immediately prior to the effective time of the merger, by (b) the Exchange Ratio, with any fractional shares rounded down to the nearest whole share, with each such Advaxis Replacement Option to have an exercise price per share of Advaxis Common Stock equal to (x) the per share exercise price for the shares of Ayala Common Stock subject to the corresponding Ayala Option immediately prior to the effective time of the merger, divided by (y) the Exchange Ratio, rounded up to the nearest whole cent. The term, exercisability and other provisions of each Advaxis Replacement Option generally remains the same as the corresponding Ayala Option. F3: This option is fully vested and exercisable.
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.63 · Expires 2032-06-12	Direct	Reported balance After 2023-01-19 transaction · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · 2023-01-19 · Disposition to issuer · Disposed 6,250 · Balance 0 F1: This Form 4 reports securities disposed of pursuant to the terms of that certain Agreement and Plan of Merger, dated October 18, 2022, by and among Ayala Pharmaceuticals, Inc. ("Ayala"), Advaxis, Inc. ("Advaxis"), and DOE Merger Sub, Inc., a wholly owned subsidiary of Advaxis (the "Merger Agreement"). The acquisition is more fully described in Ayala's definitive proxy statement filed with the Securities and Exchange Commission on December 12, 2022. In accordance with the terms of the Merger Agreement, each share of Ayala's common stock (the "Ayala Common Stock"), was cancelled and converted into the right to receive 0.1874 shares (the "Exchange Ratio") of Advaxis common stock (the "Advaxis Common Stock"). F2: Each outstanding option to purchase Ayala Common Stock (each an "Ayala Option") was substituted and converted automatically into an option (each, an "Advaxis Replacement Option") to purchase the number of shares of Advaxis Common Stock equal to the product obtained by multiplying (a) the number of shares of Ayala Common Stock subject to such Ayala Option immediately prior to the effective time of the merger, by (b) the Exchange Ratio, with any fractional shares rounded down to the nearest whole share, with each such Advaxis Replacement Option to have an exercise price per share of Advaxis Common Stock equal to (x) the per share exercise price for the shares of Ayala Common Stock subject to the corresponding Ayala Option immediately prior to the effective time of the merger, divided by (y) the Exchange Ratio, rounded up to the nearest whole cent. The term, exercisability and other provisions of each Advaxis Replacement Option generally remains the same as the corresponding Ayala Option. F4: This option vests and becomes exercisable on the earlier of (i) June 13, 2023 or (ii) one day prior to the Company's 2023 annual meeting of shareholders, subject to the Reporting Person's continued service with the Issuer through such vesting date.

Filing footnotes · ownership attribution and instrument terms

F1: This Form 4 reports securities disposed of pursuant to the terms of that certain Agreement and Plan of Merger, dated October 18, 2022, by and among Ayala Pharmaceuticals, Inc. ("Ayala"), Advaxis, Inc. ("Advaxis"), and DOE Merger Sub, Inc., a wholly owned subsidiary of Advaxis (the "Merger Agreement"). The acquisition is more fully described in Ayala's definitive proxy statement filed with the Securities and Exchange Commission on December 12, 2022. In accordance with the terms of the Merger Agreement, each share of Ayala's common stock (the "Ayala Common Stock"), was cancelled and converted into the right to receive 0.1874 shares (the "Exchange Ratio") of Advaxis common stock (the "Advaxis Common Stock").

F2: Each outstanding option to purchase Ayala Common Stock (each an "Ayala Option") was substituted and converted automatically into an option (each, an "Advaxis Replacement Option") to purchase the number of shares of Advaxis Common Stock equal to the product obtained by multiplying (a) the number of shares of Ayala Common Stock subject to such Ayala Option immediately prior to the effective time of the merger, by (b) the Exchange Ratio, with any fractional shares rounded down to the nearest whole share, with each such Advaxis Replacement Option to have an exercise price per share of Advaxis Common Stock equal to (x) the per share exercise price for the shares of Ayala Common Stock subject to the corresponding Ayala Option immediately prior to the effective time of the merger, divided by (y) the Exchange Ratio, rounded up to the nearest whole cent. The term, exercisability and other provisions of each Advaxis Replacement Option generally remains the same as the corresponding Ayala Option.

F3: This option is fully vested and exercisable.

F4: This option vests and becomes exercisable on the earlier of (i) June 13, 2023 or (ii) one day prior to the Company's 2023 annual meeting of shareholders, subject to the Reporting Person's continued service with the Issuer through such vesting date.

Sucampo Pharmaceuticals, Inc.

Report date February 13, 2018 · Filed February 13, 2018

Section 16 reporting ended · disclosed 2018-02-13. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosure context
Common Stock, Class ASEC Table I · non-derivative	Direct	Reported balance After 2018-02-13 transaction · row 1 1 source row Row 1 · 2018-02-13 · Disposition to issuer · Disposed 5,130 · Balance 0 F1: This common stock was purchased for $18.00 per share share in cash, subject to any required withholding of taxes and without interest, upon the effective time of the merger of Sun Acquisition Co.with and into Sucampo Pharmaceuticals, Inc. pursuant to that certain Agreement and Plan of Merger by and among Mallinckrodt plc, Sun Acquisition Co. and Sucampo Pharmaceuticals, Inc. dated December 23, 2017 (the "Merger Agreement"). The common stock consisted of restricted stock units that were accelerated as a result of the Merger Agreement.
Director Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $14.04 · Expires 2025-01-16	Direct	Reported balance After 2018-02-13 transaction · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · 2018-02-13 · Disposition to issuer · Disposed 30,000 · Balance 0 F2: This option was cancelled and converted into the right to receive in cash the amount per share by which $18.00 exceeds the exercise price of the option, subject to any applicable tax witholdings (such amount, the "Option Spread"), upon the effective time of the merger of Sun Acquisition Co.with and into Sucampo Pharmaceuticals, Inc. pursuant to the Merger Agreement. The Option Spread for the unvested portion of the option, if any, will be paid in accordance with the schedule described in the Merger Agreement.
Director Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $16.23 · Expires 2025-05-29	Direct	Reported balance After 2018-02-13 transaction · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · 2018-02-13 · Disposition to issuer · Disposed 20,000 · Balance 0 F2: This option was cancelled and converted into the right to receive in cash the amount per share by which $18.00 exceeds the exercise price of the option, subject to any applicable tax witholdings (such amount, the "Option Spread"), upon the effective time of the merger of Sun Acquisition Co.with and into Sucampo Pharmaceuticals, Inc. pursuant to the Merger Agreement. The Option Spread for the unvested portion of the option, if any, will be paid in accordance with the schedule described in the Merger Agreement.
Director Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $10.30 · Expires 2027-06-01	Direct	Reported balance After 2018-02-13 transaction · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · 2018-02-13 · Disposition to issuer · Disposed 10,000 · Balance 0 F2: This option was cancelled and converted into the right to receive in cash the amount per share by which $18.00 exceeds the exercise price of the option, subject to any applicable tax witholdings (such amount, the "Option Spread"), upon the effective time of the merger of Sun Acquisition Co.with and into Sucampo Pharmaceuticals, Inc. pursuant to the Merger Agreement. The Option Spread for the unvested portion of the option, if any, will be paid in accordance with the schedule described in the Merger Agreement.

Filing footnotes · ownership attribution and instrument terms

F1: This common stock was purchased for $18.00 per share share in cash, subject to any required withholding of taxes and without interest, upon the effective time of the merger of Sun Acquisition Co.with and into Sucampo Pharmaceuticals, Inc. pursuant to that certain Agreement and Plan of Merger by and among Mallinckrodt plc, Sun Acquisition Co. and Sucampo Pharmaceuticals, Inc. dated December 23, 2017 (the "Merger Agreement"). The common stock consisted of restricted stock units that were accelerated as a result of the Merger Agreement.

F2: This option was cancelled and converted into the right to receive in cash the amount per share by which $18.00 exceeds the exercise price of the option, subject to any applicable tax witholdings (such amount, the "Option Spread"), upon the effective time of the merger of Sun Acquisition Co.with and into Sucampo Pharmaceuticals, Inc. pursuant to the Merger Agreement. The Option Spread for the unvested portion of the option, if any, will be paid in accordance with the schedule described in the Merger Agreement.

Transaction history

JSON API

Purchases/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
September 13, 2018 Filed Sep 14, 2018 01:28 UTC	GERON CORP GERN · Entity 4989	Exercise / conversionCommon Stock	45,000	$5.29	$238,050.00	Disclosure SEC source: 0000886744-18-000048 · edgar.xml · nonDerivative · entry 1 Spiegel Robert J. · CIK 0001492256 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 110,576 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 · kind: This transaction was conducted pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 18, 2018. Read SEC document
September 06, 2018 Filed Sep 10, 2018 12:44 UTC	Bio Green Med Solution, Inc. CYCC · Entity 8225	GrantStock Option (right to buy) · Derivative	8,576	$0.00 Strike: $1.43	$0.00	Disclosure SEC source: 0001144204-18-048729 · tv502611_4.xml · derivative · entry 1 Spiegel Robert J. · CIK 0001492256 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,576 Underlying: Common Stock · 8,576 shares Expires 2028-09-06 F1 · price: These options were granted to Dr. Spiegel for his services as a member of the board of directors of Cyclacel Pharmaceuticals, Inc. Read SEC document
August 14, 2018 Filed Aug 15, 2018 11:53 UTC	PDS Biotechnology Corp EDGE · Entity 7939	GrantRestricted Stock Units · Derivative	10,000	$0.00	$0.00	Disclosure SEC source: 0001127602-18-025364 · form4.xml · derivative · entry 1 Spiegel Robert J. · CIK 0001492256 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Underlying: Common Stock · 10,000 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Edge common stock upon the vesting of such unit. F2 · derivative.exercise_date: These restricted stock units shall become exercisable upon the achievement of certain performance or time based criteria. F3 · derivative.expiration_date: Expiration date is not applicable as the vested restricted stock units shall be settled on the first business day following the date that such restricted stock units vest. Read SEC document
June 29, 2018 Filed Jul 2, 2018 22:42 UTC	GERON CORP GERN · Entity 4989	GrantCommon Stock	2,095	$0.00	$0.00	Disclosure SEC source: 0000886744-18-000042 · edgar.xml · nonDerivative · entry 1 Spiegel Robert J. · CIK 0001492256 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,576 F1 · kind: Shares issued in lieu of cash payment for quarterly board of directors retainer fee. Number of shares issued based on close price on June 29, 2018 of $3.43 per share. F1 · shares: Shares issued in lieu of cash payment for quarterly board of directors retainer fee. Number of shares issued based on close price on June 29, 2018 of $3.43 per share. F1 · price: Shares issued in lieu of cash payment for quarterly board of directors retainer fee. Number of shares issued based on close price on June 29, 2018 of $3.43 per share. Read SEC document
June 19, 2018 Filed Jun 20, 2018 20:27 UTC	PDS Biotechnology Corp EDGE · Entity 7939	GrantStock Option (Right To Purchase) · Derivative	20,000	$0.00 Strike: $1.10	$0.00	Disclosure SEC source: 0001127602-18-021580 · form4.xml · derivative · entry 1 Spiegel Robert J. · CIK 0001492256 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires not disclosed F1 · derivative.exercise_date: These options shall become exercisable upon the achievement of certain performance or time based criteria. F2 · derivative.expiration_date: These options expire on the third anniversary of the vesting date. Read SEC document
May 15, 2018 Filed May 17, 2018 20:50 UTC	GERON CORP GERN · Entity 4989	GrantStock Option (right to buy) · Derivative	70,000	$0.00 Strike: $3.43	$0.00	Disclosure SEC source: 0000886744-18-000036 · edgar.xml · derivative · entry 1 Spiegel Robert J. · CIK 0001492256 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,000 Underlying: Common Stock · 70,000 shares Expires 2028-05-14 F1 · derivative.exercise_date: This option will vest and become exercisable as to 100% of the shares of common stock subject to such option on the earlier of (i) the date of the next annual meeting of the company's stockholders or (ii) the first anniversary of the date of grant of such option, subject to the non-employee director's continuous service with the company through such dates. Read SEC document
March 29, 2018 Filed Mar 30, 2018 22:11 UTC	GERON CORP GERN · Entity 4989	GrantCommon Stock	1,691	$0.00	$0.00	Disclosure SEC source: 0000886744-18-000024 · edgar.xml · nonDerivative · entry 1 Spiegel Robert J. · CIK 0001492256 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,481 F1 · kind: Shares issued in lieu of cash payment for quarterly board of directors retainer fee. Number of shares issued based on close price on March 29, 2018 of $4.25 per share. F1 · shares: Shares issued in lieu of cash payment for quarterly board of directors retainer fee. Number of shares issued based on close price on March 29, 2018 of $4.25 per share. F1 · price: Shares issued in lieu of cash payment for quarterly board of directors retainer fee. Number of shares issued based on close price on March 29, 2018 of $4.25 per share. Read SEC document
February 13, 2018 Filed Feb 13, 2018 21:57 UTC	Sucampo Pharmaceuticals, Inc. SCMP · Entity 169352	Disposition to issuerDirector Stock Option (right to buy) · Derivative	10,000	$7.70 Strike: $10.30	$77,000.00	Disclosure SEC source: 0001171843-18-001110 · formfour.xml · derivative · entry 4 Spiegel Robert J. · CIK 0001492256 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 10,000 shares Expires 2027-06-01 F2 · derivative.exercise_date: This option was cancelled and converted into the right to receive in cash the amount per share by which $18.00 exceeds the exercise price of the option, subject to any applicable tax witholdings (such amount, the "Option Spread"), upon the effective time of the merger of Sun Acquisition Co.with and into Sucampo Pharmaceuticals, Inc. pursuant to the Merger Agreement. The Option Spread for the unvested portion of the option, if any, will be paid in accordance with the schedule described in the Merger Agreement. Read SEC document
February 13, 2018 Filed Feb 13, 2018 21:57 UTC	Sucampo Pharmaceuticals, Inc. SCMP · Entity 169352	Disposition to issuerDirector Stock Option (right to buy) · Derivative	20,000	$1.77 Strike: $16.23	$35,400.00	Disclosure SEC source: 0001171843-18-001110 · formfour.xml · derivative · entry 3 Spiegel Robert J. · CIK 0001492256 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 20,000 shares Expires 2025-05-29 F2 · derivative.exercise_date: This option was cancelled and converted into the right to receive in cash the amount per share by which $18.00 exceeds the exercise price of the option, subject to any applicable tax witholdings (such amount, the "Option Spread"), upon the effective time of the merger of Sun Acquisition Co.with and into Sucampo Pharmaceuticals, Inc. pursuant to the Merger Agreement. The Option Spread for the unvested portion of the option, if any, will be paid in accordance with the schedule described in the Merger Agreement. Read SEC document
February 13, 2018 Filed Feb 13, 2018 21:57 UTC	Sucampo Pharmaceuticals, Inc. SCMP · Entity 169352	Disposition to issuerDirector Stock Option (right to buy) · Derivative	30,000	$3.96 Strike: $14.04	$118,800.00	Disclosure SEC source: 0001171843-18-001110 · formfour.xml · derivative · entry 2 Spiegel Robert J. · CIK 0001492256 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 30,000 shares Expires 2025-01-16 F2 · derivative.exercise_date: This option was cancelled and converted into the right to receive in cash the amount per share by which $18.00 exceeds the exercise price of the option, subject to any applicable tax witholdings (such amount, the "Option Spread"), upon the effective time of the merger of Sun Acquisition Co.with and into Sucampo Pharmaceuticals, Inc. pursuant to the Merger Agreement. The Option Spread for the unvested portion of the option, if any, will be paid in accordance with the schedule described in the Merger Agreement. Read SEC document
February 13, 2018 Filed Feb 13, 2018 21:57 UTC	Sucampo Pharmaceuticals, Inc. SCMP · Entity 169352	Disposition to issuerCommon Stock, Class A	5,130	$18.00	$92,340.00	Disclosure SEC source: 0001171843-18-001110 · formfour.xml · nonDerivative · entry 1 Spiegel Robert J. · CIK 0001492256 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · shares: This common stock was purchased for $18.00 per share share in cash, subject to any required withholding of taxes and without interest, upon the effective time of the merger of Sun Acquisition Co.with and into Sucampo Pharmaceuticals, Inc. pursuant to that certain Agreement and Plan of Merger by and among Mallinckrodt plc, Sun Acquisition Co. and Sucampo Pharmaceuticals, Inc. dated December 23, 2017 (the "Merger Agreement"). The common stock consisted of restricted stock units that were accelerated as a result of the Merger Agreement. Read SEC document
December 29, 2017 Filed Jan 2, 2018 23:28 UTC	GERON CORP GERN · Entity 4989	GrantCommon Stock	3,993	$0.00	$0.00	Disclosure SEC source: 0000886744-18-000003 · edgar.xml · nonDerivative · entry 1 Spiegel Robert J. · CIK 0001492256 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,790 F1 · kind: Shares issued in lieu of cash payment for quarterly board of directors retainer fee. Number of shares issued based on close price on December 29, 2017 of $1.80 per share. F1 · shares: Shares issued in lieu of cash payment for quarterly board of directors retainer fee. Number of shares issued based on close price on December 29, 2017 of $1.80 per share. F1 · price: Shares issued in lieu of cash payment for quarterly board of directors retainer fee. Number of shares issued based on close price on December 29, 2017 of $1.80 per share. Read SEC document
September 29, 2017 Filed Oct 2, 2017 21:41 UTC	GERON CORP GERN · Entity 4989	GrantCommon Stock	3,297	$0.00	$0.00	Disclosure SEC source: 0000886744-17-000043 · edgar.xml · nonDerivative · entry 1 Spiegel Robert J. · CIK 0001492256 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,797 F1 · kind: Shares issued in lieu of cash payment for quarterly board of directors retainer fee. Number of shares issued based on close price on September 29, 2017 of $2.18 per share. F1 · shares: Shares issued in lieu of cash payment for quarterly board of directors retainer fee. Number of shares issued based on close price on September 29, 2017 of $2.18 per share. F1 · price: Shares issued in lieu of cash payment for quarterly board of directors retainer fee. Number of shares issued based on close price on September 29, 2017 of $2.18 per share. Read SEC document
June 30, 2017 Filed Jun 30, 2017 23:54 UTC	GERON CORP GERN · Entity 4989	GrantCommon Stock	2,595	$0.00	$0.00	Disclosure SEC source: 0000886744-17-000037 · edgar.xml · nonDerivative · entry 1 Spiegel Robert J. · CIK 0001492256 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,500 F1 · kind: Shares issued in lieu of cash payment for quarterly board of directors retainer fee. Number of shares issued based on close price on June 30, 2017 of $2.77 per share. F1 · shares: Shares issued in lieu of cash payment for quarterly board of directors retainer fee. Number of shares issued based on close price on June 30, 2017 of $2.77 per share. F1 · price: Shares issued in lieu of cash payment for quarterly board of directors retainer fee. Number of shares issued based on close price on June 30, 2017 of $2.77 per share. Read SEC document
June 20, 2017 Filed Jun 21, 2017 18:17 UTC	PDS Biotechnology Corp EDGE · Entity 7939	GrantStock Option (right To Purchase) · Derivative	15,000	$10.15 Strike: $10.15	$152,250.00	Disclosure SEC source: 0001127602-17-021947 · form4.xml · derivative · entry 1 Spiegel Robert J. · CIK 0001492256 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2027-06-20 Read SEC document
June 01, 2017 Filed Jun 6, 2017 01:56 UTC	Sucampo Pharmaceuticals, Inc. SCMP · Entity 169352	GrantDirector Stock Option (right to buy) · Derivative	10,000	$0.00 Strike: $10.30	$0.00	Disclosure SEC source: 0001171843-17-003481 · f4_spiegel060517.xml · derivative · entry 2 Spiegel Robert J. · CIK 0001492256 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,000 Underlying: Class A Common Stock · 10,000 shares Expires 2027-06-01 F2 · derivative.exercise_date: Vesting commences July 1, 2017 in 12-monthly installments. Read SEC document
June 01, 2017 Filed Jun 6, 2017 01:56 UTC	Sucampo Pharmaceuticals, Inc. SCMP · Entity 169352	GrantCommon Stock	5,130	$0.00	$0.00	Disclosure SEC source: 0001171843-17-003481 · f4_spiegel060517.xml · nonDerivative · entry 1 Spiegel Robert J. · CIK 0001492256 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,930 F1 · security: Common stock granted consists of restricted stock units that vest in a single installment on June 1, 2018. Read SEC document
May 09, 2017 Filed May 11, 2017 00:53 UTC	GERON CORP GERN · Entity 4989	GrantStock Option (right to buy) · Derivative	50,000	$0.00 Strike: $2.63	$0.00	Disclosure SEC source: 0000886744-17-000031 · edgar.xml · derivative · entry 1 Spiegel Robert J. · CIK 0001492256 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Stock · 50,000 shares Expires 2027-05-09 F1 · derivative.exercise_date: This option will vest and become exercisable as to 100% of the shares of common stock subject to such option on the earlier of (i) the date of the next annual meeting of the company's stockholders or (ii) the first anniversary of the date of grant of such option, subject to the non-employee director's continuous service with the company through such dates. Read SEC document
March 31, 2017 Filed Mar 31, 2017 23:22 UTC	GERON CORP GERN · Entity 4989	GrantCommon Stock	3,166	$0.00	$0.00	Disclosure SEC source: 0000886744-17-000016 · edgar.xml · nonDerivative · entry 1 Spiegel Robert J. · CIK 0001492256 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,905 F1 · kind: Shares issued in lieu of cash payment for quarterly board of directors retainer fee. Number of shares issued based on close price on March 31, 2017 of $2.27 per share. F1 · shares: Shares issued in lieu of cash payment for quarterly board of directors retainer fee. Number of shares issued based on close price on March 31, 2017 of $2.27 per share. F1 · price: Shares issued in lieu of cash payment for quarterly board of directors retainer fee. Number of shares issued based on close price on March 31, 2017 of $2.27 per share. 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.