Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| AGENUS INCAGEN · Entity 5774 | Director | March 02, 2018 | June 22, 2018 |
| BeOne Medicines Ltd.ONC · Entity 2168 | Director | June 11, 2026 | June 15, 2026 |
| Iambic Therapeutics, Inc.IAM · Entity 184417 | Director | October 14, 2026 | October 14, 2026 |
| NEUROCRINE BIOSCIENCES INCNBIX · Entity 2655 | Director | May 27, 2026 | May 29, 2026 |
| Organon & Co.OGN · Entity 4115 | Director | June 12, 2026 | June 15, 2026 |
| PRECISION BIOSCIENCES INCDTIL · Entity 6284 | Director | May 10, 2021 | May 12, 2021 |
| SUTRO BIOPHARMA, INC.STRO · Entity 5797 | Director | June 06, 2022 | June 08, 2022 |
| Septerna, Inc.SEPN · Entity 2452 | Director | June 26, 2026 | June 30, 2026 |
| Ultragenyx Pharmaceutical Inc.RARE · Entity 4337 | EVP, Finance | October 14, 2020 | October 16, 2020 |
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.
AGENUS INC
Report date March 02, 2018 · Filed June 22, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option, right to buySEC Table II · derivative / convertible security · Conversion / exercise price $5.65 · Expires 2028-03-02 | Direct | 18,533 |
Reported balance
After 2018-03-02 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2018-03-02 · Grant · Acquired 18,533 · Balance 18,533 |
| Stock Option, right to buySEC Table II · derivative / convertible security · Conversion / exercise price $5.65 · Expires 2028-03-02 | Direct | 37,500 |
Reported balance
After 2018-06-20 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2018-06-20 · Grant · Acquired 37,500 · Balance 37,500 F1: Option was granted on March 2, 2018 subject to shareholder approval, which was obtained at the Company's annual shareholder meeting on June 20, 2018. Option awarded in accordance with the Agenus Inc. Amended and Restated 2009 Equity Incentive Plan, vesting on March 2, 2019 |
| Stock Option, right to buySEC Table II · derivative / convertible security · Conversion / exercise price $2.50 · Expires 2028-06-21 | Direct | 10,000 |
Reported balance
After 2018-06-21 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2018-06-21 · Grant · Acquired 10,000 · Balance 10,000 |
Filing footnotes · ownership attribution and instrument terms
F1: Option was granted on March 2, 2018 subject to shareholder approval, which was obtained at the Company's annual shareholder meeting on June 20, 2018. Option awarded in accordance with the Agenus Inc. Amended and Restated 2009 Equity Incentive Plan, vesting on March 2, 2019
BeOne Medicines Ltd.
Report date June 11, 2026 · Filed June 15, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Ordinary SharesSEC Table I · non-derivative | Direct | 38,116 |
Reported balance
After 2026-06-11 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2026-06-11 · Grant · Acquired 18,980 · Balance 38,116 F1: Represents securities underlying restricted share units. The restricted share units shall become fully vested on the earlier to occur of the first anniversary of the grant date or the date of the next annual general meeting; provided, however, that all vesting shall cease if the director resigns from the board of directors or otherwise ceases to serve as a director, unless there is a triggering event of accelerated vesting pursuant to the Company's Independent Non-Executive Director Compensation Policy. |
| American Depositary SharesSEC Table I · non-derivative | Direct | 9 |
Reported balance
Holding disclosure · report date 2026-06-11 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 9 F2: Each American Depositary Share represents 13 Ordinary Shares. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents securities underlying restricted share units. The restricted share units shall become fully vested on the earlier to occur of the first anniversary of the grant date or the date of the next annual general meeting; provided, however, that all vesting shall cease if the director resigns from the board of directors or otherwise ceases to serve as a director, unless there is a triggering event of accelerated vesting pursuant to the Company's Independent Non-Executive Director Compensation Policy.
F2: Each American Depositary Share represents 13 Ordinary Shares.
Iambic Therapeutics, Inc.
Report date October 14, 2026 · Filed October 14, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $8.73 · Expires 2035-12-02 | Direct | Not disclosed |
Reported balance
Holding disclosure · report date 2026-10-14 · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · Balance Not disclosed F1: Twenty-five percent of the shares subject to the option vested on September 25, 2026 and 1/48th of the shares vest monthly thereafter. |
Filing footnotes · ownership attribution and instrument terms
F1: Twenty-five percent of the shares subject to the option vested on September 25, 2026 and 1/48th of the shares vest monthly thereafter.
NEUROCRINE BIOSCIENCES INC
Report date May 27, 2026 · Filed May 29, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Restriced Stock UnitSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 2,567 |
Reported balance
After 2026-05-27 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-05-27 · Grant · Acquired 2,567 · Balance 2,567 F1: Each Restricted Stock Unit ("RSU") represents the right to receive one share of the Issuer's common stock upon vesting. F2: The RSUs will vest in full on May 27, 2027. |
Filing footnotes · ownership attribution and instrument terms
F1: Each Restricted Stock Unit ("RSU") represents the right to receive one share of the Issuer's common stock upon vesting.
F2: The RSUs will vest in full on May 27, 2027.
Organon & Co.
Report date June 12, 2026 · Filed June 15, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Phantom StockSEC Table II · derivative / convertible security | Direct | 81,495.885 |
Reported balance
After 2026-06-12 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-06-12 · Grant · Acquired 17,857.143 · Balance 81,495.885 F1: Each phantom stock unit is an economic equivalent of one share of Organon & Co. ("Organon") common stock, or 1-for-1. F2: Phantom stock units are granted under the Organon Non-Employee Director Savings Plan (the "Plan") and are payable in cash upon settlement after the reporting person's termination of service as a director pursuant to the terms of the Plan. F3: Holdings include phantom stock acquired in dividend reinvestment transactions on September 11, 2025, December 11, 2025, March 12, 2026 and June 11, 2026. |
Filing footnotes · ownership attribution and instrument terms
F1: Each phantom stock unit is an economic equivalent of one share of Organon & Co. ("Organon") common stock, or 1-for-1.
F2: Phantom stock units are granted under the Organon Non-Employee Director Savings Plan (the "Plan") and are payable in cash upon settlement after the reporting person's termination of service as a director pursuant to the terms of the Plan.
F3: Holdings include phantom stock acquired in dividend reinvestment transactions on September 11, 2025, December 11, 2025, March 12, 2026 and June 11, 2026.
PRECISION BIOSCIENCES INC
Report date May 10, 2021 · Filed May 12, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $8.07 · Expires 2031-05-09 | Direct | 32,800 |
Reported balance
After 2021-05-10 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2021-05-10 · Grant · Acquired 32,800 · Balance 32,800 F1: The option vests on the earlier of May 10, 2022 or the day immediately prior to the date of the next annual meeting of the Company's stockholders occurring after May 10, 2021, subject to the Reporting Person's continued service to the Issuer through the applicable vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: The option vests on the earlier of May 10, 2022 or the day immediately prior to the date of the next annual meeting of the Company's stockholders occurring after May 10, 2021, subject to the Reporting Person's continued service to the Issuer through the applicable vesting date.
SUTRO BIOPHARMA, INC.
Report date June 06, 2022 · Filed June 08, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $4.44 · Expires 2032-06-05 | Direct | 18,500 |
Reported balance
After 2022-06-06 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2022-06-06 · Grant · Acquired 18,500 · Balance 18,500 F1: The option vests as to 8.33% of the total shares monthly, commencing July 6, 2022, with 100% of the total shares vested and exercisable on the earlier of the issuer's 2023 annual stockholders meeting or June 6, 2023, subject to the reporting person's provision of service to the issuer on each vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: The option vests as to 8.33% of the total shares monthly, commencing July 6, 2022, with 100% of the total shares vested and exercisable on the earlier of the issuer's 2023 annual stockholders meeting or June 6, 2023, subject to the reporting person's provision of service to the issuer on each vesting date.
Septerna, Inc.
Report date June 26, 2026 · Filed June 30, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $37.34 · Expires 2036-06-25 | Direct | 15,000 |
Reported balance
After 2026-06-26 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-06-26 · Grant · Acquired 15,000 · Balance 15,000 F1: The shares underlying the stock option vest in full upon the earlier of (i) June 26, 2027 or (ii) the date of the Issuer's next annual meeting of stockholders, subject to the Reporting Person's continued service to the Issuer through such vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares underlying the stock option vest in full upon the earlier of (i) June 26, 2027 or (ii) the date of the Issuer's next annual meeting of stockholders, subject to the Reporting Person's continued service to the Issuer through such vesting date.
Ultragenyx Pharmaceutical Inc.
Report date October 14, 2020 · Filed October 16, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 97,812 |
Reported balance
After 2020-10-14 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2020-10-14 · Sale · Disposed 375 · Balance 97,812 F1: Represents shares sold to pay required tax withholdings due to the vesting of Restricted Stock Units ("RSUs"). F2: Includes previously reported shares of common stock underlying RSUs granted to the Reporting Person, which are subject to certain vesting conditions. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents shares sold to pay required tax withholdings due to the vesting of Restricted Stock Units ("RSUs").
F2: Includes previously reported shares of common stock underlying RSUs granted to the Reporting Person, which are subject to certain vesting conditions.
Past disclosures · reporting ended (3)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
ARRAY BIOPHARMA INC
Report date July 30, 2019 · Filed July 30, 2019
Section 16 reporting ended · disclosed 2019-07-30. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Ending reported balance
After 2019-07-30 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2019-07-30 · Disposition to issuer · Disposed 5,000 · Balance 5,000 F1: On June 14, 2019, Array BioPharma Inc. (the "Company") entered into an Agreement and Plan of Merger (the "Merger Agreement") with Pfizer Inc. ("Pfizer") and Arlington Acquisition Sub Inc., a wholly owned subsidiary of Pfizer ("Purchaser"). Pursuant to the terms of the Merger Agreement, each share of Company common stock held by the Reporting Person was cancelled and converted into the right to receive an amount in cash equal to $48.00, without interest and subject to any required withholding of taxes. F2: On July 30, 2019, Purchaser merged with and into the Company pursuant to Section 251(h) of the General Corporation Law of the State of Delaware, with the Company being the surviving corporation and becoming a wholly-owned subsidiary of Pfizer. Pursuant to the terms of the Merger Agreement, each share of Company common stock was converted into the right to receive an amount in cash equal to $48.00, without interest and subject to any required withholding of taxes. Row 2 · 2019-07-30 · Disposition to issuer · Disposed 5,000 · Balance 0 F1: On June 14, 2019, Array BioPharma Inc. (the "Company") entered into an Agreement and Plan of Merger (the "Merger Agreement") with Pfizer Inc. ("Pfizer") and Arlington Acquisition Sub Inc., a wholly owned subsidiary of Pfizer ("Purchaser"). Pursuant to the terms of the Merger Agreement, each share of Company common stock held by the Reporting Person was cancelled and converted into the right to receive an amount in cash equal to $48.00, without interest and subject to any required withholding of taxes. F2: On July 30, 2019, Purchaser merged with and into the Company pursuant to Section 251(h) of the General Corporation Law of the State of Delaware, with the Company being the surviving corporation and becoming a wholly-owned subsidiary of Pfizer. Pursuant to the terms of the Merger Agreement, each share of Company common stock was converted into the right to receive an amount in cash equal to $48.00, without interest and subject to any required withholding of taxes. F3: Represents shares of Company common stock underlying each restricted stock unit (a "Company RSU") held by the Reporting Person, whether or not vested. Pursuant to the terms of the Merger Agreement, each Company RSU held by the Reporting Person was converted into the right to receive an amount in cash equal to the product of (i) $48.00 and (ii) the number of shares of Company common stock subject to such Company RSU. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $8.70 · Expires 2027-04-27 | Direct | 0 |
Reported balance
After 2019-07-30 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2019-07-30 · Disposition to issuer · Disposed 25,000 · Balance 0 F5: Represents shares of Company common stock underlying compensatory options to purchase shares of Company common stock, whether or not vested and which have a per share exercise price that is less than $48.00 (each, an "In the Money Option"). Pursuant to the terms of the Merger Agreement, each In the Money Option held by the Reporting Person was cancelled and converted into the right to a cash payment equal to (i) the excess, if any, of (A) $48.00 over (B) the exercise price payable per share of Company common stock under such In the Money Option, multiplied by (ii) the total number of shares of Company common stock subject to such In the Money Option. F4: The option provided for vesting in four equal annual installments beginning on April 27, 2018. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $10.47 · Expires 2027-10-26 | Direct | 0 |
Reported balance
After 2019-07-30 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2019-07-30 · Disposition to issuer · Disposed 25,000 · Balance 0 F5: Represents shares of Company common stock underlying compensatory options to purchase shares of Company common stock, whether or not vested and which have a per share exercise price that is less than $48.00 (each, an "In the Money Option"). Pursuant to the terms of the Merger Agreement, each In the Money Option held by the Reporting Person was cancelled and converted into the right to a cash payment equal to (i) the excess, if any, of (A) $48.00 over (B) the exercise price payable per share of Company common stock under such In the Money Option, multiplied by (ii) the total number of shares of Company common stock subject to such In the Money Option. F6: The option provided for vesting in four equal annual installments beginning on October 26, 2018. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $14.55 · Expires 2028-10-25 | Direct | 0 |
Reported balance
After 2019-07-30 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2019-07-30 · Disposition to issuer · Disposed 25,000 · Balance 0 F5: Represents shares of Company common stock underlying compensatory options to purchase shares of Company common stock, whether or not vested and which have a per share exercise price that is less than $48.00 (each, an "In the Money Option"). Pursuant to the terms of the Merger Agreement, each In the Money Option held by the Reporting Person was cancelled and converted into the right to a cash payment equal to (i) the excess, if any, of (A) $48.00 over (B) the exercise price payable per share of Company common stock under such In the Money Option, multiplied by (ii) the total number of shares of Company common stock subject to such In the Money Option. F7: The option provided for vesting in four equal annual installments beginning on October 25, 2019. |
Filing footnotes · ownership attribution and instrument terms
F1: On June 14, 2019, Array BioPharma Inc. (the "Company") entered into an Agreement and Plan of Merger (the "Merger Agreement") with Pfizer Inc. ("Pfizer") and Arlington Acquisition Sub Inc., a wholly owned subsidiary of Pfizer ("Purchaser"). Pursuant to the terms of the Merger Agreement, each share of Company common stock held by the Reporting Person was cancelled and converted into the right to receive an amount in cash equal to $48.00, without interest and subject to any required withholding of taxes.
F2: On July 30, 2019, Purchaser merged with and into the Company pursuant to Section 251(h) of the General Corporation Law of the State of Delaware, with the Company being the surviving corporation and becoming a wholly-owned subsidiary of Pfizer. Pursuant to the terms of the Merger Agreement, each share of Company common stock was converted into the right to receive an amount in cash equal to $48.00, without interest and subject to any required withholding of taxes.
F3: Represents shares of Company common stock underlying each restricted stock unit (a "Company RSU") held by the Reporting Person, whether or not vested. Pursuant to the terms of the Merger Agreement, each Company RSU held by the Reporting Person was converted into the right to receive an amount in cash equal to the product of (i) $48.00 and (ii) the number of shares of Company common stock subject to such Company RSU.
F4: The option provided for vesting in four equal annual installments beginning on April 27, 2018.
F5: Represents shares of Company common stock underlying compensatory options to purchase shares of Company common stock, whether or not vested and which have a per share exercise price that is less than $48.00 (each, an "In the Money Option"). Pursuant to the terms of the Merger Agreement, each In the Money Option held by the Reporting Person was cancelled and converted into the right to a cash payment equal to (i) the excess, if any, of (A) $48.00 over (B) the exercise price payable per share of Company common stock under such In the Money Option, multiplied by (ii) the total number of shares of Company common stock subject to such In the Money Option.
F6: The option provided for vesting in four equal annual installments beginning on October 26, 2018.
F7: The option provided for vesting in four equal annual installments beginning on October 25, 2019.
Mirati Therapeutics, Inc.
Report date January 23, 2024 · Filed January 24, 2024
Section 16 reporting ended · disclosed 2024-01-24. 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 |
Ending reported balance
After 2024-01-23 transaction · row 3
3 source rows · reconciled sequenceRow 1 · 2024-01-23 · Disposition to issuer · Disposed 4,162 · Balance 12,060 F1: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of October 8, 2023, among the Issuer, Bristol-Myers Squibb Company ("BMS"), and Vineyard Merger Sub Inc., a wholly owned subsidiary of BMS ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer (the "Merger"), effective as of January 23, 2024 (such date and time of such Merger, the "Effective Time"), with the Issuer surviving the Merger as a wholly owned subsidiary of BMS. F2: At the Effective Time, each issued and outstanding share of common stock of the Issuer ("Company Common Stock") reported in this Form 4 was converted into the right to receive (A) $58.00 per share in cash (the "Closing Consideration") and (B) one contingent value right (a "CVR"), which represents the right to receive the Milestone Payment (as such term is defined in the CVR Agreement, which is itself defined in the Merger Agreement) (the consideration contemplated by (A) and (B), together, the "Merger Consideration"), without interest and subject to any withholding taxes. Row 2 · 2024-01-23 · Disposition to issuer · Disposed 5,252 · Balance 6,808 F3: Pursuant to the Merger Agreement, at the Effective Time, each of these restricted stock units ("RSUs") that was outstanding as of immediately prior to the Effective Time was cancelled and the Reporting Person was entitled to receive the Merger Consideration in respect of each such RSU. Row 3 · 2024-01-23 · Disposition to issuer · Disposed 6,808 · Balance 0 F4: Pursuant to the Merger Agreement and the Company Equity Plans (as such term is defined in the Merger Agreement), at the Effective Time, each of these RSUs that was outstanding as of immediately prior to the Effective Time was cancelled and converted into the right to receive a cash award of BMS in an amount equal to the product of the number of restricted stock units subject to such RSU immediately prior to the Effective Time and the last trading price of a share of Company Common Stock before the Effective Time (the "Converted Cash Award"). Following the Effective Time, the Converted Cash Award will be subject to the same terms and conditions applicable to such Issuer RSUs, including with respect to vesting. |
| Option to Purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $45.66 · Expires 2033-01-20 | Direct | 0 |
Reported balance
After 2024-01-23 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2024-01-23 · Disposition to issuer · Disposed 7,520 · Balance 0 F5: Pursuant to the Merger Agreement, at the Effective Time, each compensatory option to purchase shares of Company Common Stock (each, a "Company Option") that was outstanding and unexercised as of immediately prior to the Effective Time, whether or not vested, with a per share exercise price ("Per Share Exercise Price") that was less than the Closing Consideration, was cancelled and converted into the right to receive the sum of (A) a cash payment, without interest, equal to (x) the excess of (1) the Closing Consideration over (2) the Per Share Exercise Price, multiplied by (y) the total number of shares of Company Common Stock subject to such Company Option immediately prior to the Effective Time (without regard to vesting) and (B) one CVR for each share of Company Common Stock subject to such Company Option immediately prior to the Effective Time (without regard to vesting). |
Filing footnotes · ownership attribution and instrument terms
F1: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of October 8, 2023, among the Issuer, Bristol-Myers Squibb Company ("BMS"), and Vineyard Merger Sub Inc., a wholly owned subsidiary of BMS ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer (the "Merger"), effective as of January 23, 2024 (such date and time of such Merger, the "Effective Time"), with the Issuer surviving the Merger as a wholly owned subsidiary of BMS.
F2: At the Effective Time, each issued and outstanding share of common stock of the Issuer ("Company Common Stock") reported in this Form 4 was converted into the right to receive (A) $58.00 per share in cash (the "Closing Consideration") and (B) one contingent value right (a "CVR"), which represents the right to receive the Milestone Payment (as such term is defined in the CVR Agreement, which is itself defined in the Merger Agreement) (the consideration contemplated by (A) and (B), together, the "Merger Consideration"), without interest and subject to any withholding taxes.
F3: Pursuant to the Merger Agreement, at the Effective Time, each of these restricted stock units ("RSUs") that was outstanding as of immediately prior to the Effective Time was cancelled and the Reporting Person was entitled to receive the Merger Consideration in respect of each such RSU.
F4: Pursuant to the Merger Agreement and the Company Equity Plans (as such term is defined in the Merger Agreement), at the Effective Time, each of these RSUs that was outstanding as of immediately prior to the Effective Time was cancelled and converted into the right to receive a cash award of BMS in an amount equal to the product of the number of restricted stock units subject to such RSU immediately prior to the Effective Time and the last trading price of a share of Company Common Stock before the Effective Time (the "Converted Cash Award"). Following the Effective Time, the Converted Cash Award will be subject to the same terms and conditions applicable to such Issuer RSUs, including with respect to vesting.
F5: Pursuant to the Merger Agreement, at the Effective Time, each compensatory option to purchase shares of Company Common Stock (each, a "Company Option") that was outstanding and unexercised as of immediately prior to the Effective Time, whether or not vested, with a per share exercise price ("Per Share Exercise Price") that was less than the Closing Consideration, was cancelled and converted into the right to receive the sum of (A) a cash payment, without interest, equal to (x) the excess of (1) the Closing Consideration over (2) the Per Share Exercise Price, multiplied by (y) the total number of shares of Company Common Stock subject to such Company Option immediately prior to the Effective Time (without regard to vesting) and (B) one CVR for each share of Company Common Stock subject to such Company Option immediately prior to the Effective Time (without regard to vesting).
Nuvation Bio Inc.
Report date February 10, 2021 · Filed February 27, 2021
Section 16 reporting ended · disclosed 2021-02-27. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | Direct | 35,000 |
Ending reported balance
After 2021-02-10 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2021-02-10 · Exercise / conversion · Acquired 25,000 · Balance 25,000 F1: Each share of Class B Common Stock owned prior to the consummation of the Agreement and Plan of Merger, dated as of October 20, 2020, by and among Panacea Acquisition Corp. ("Panacea"), Panacea Merger Subsidiary Corp., a direct, wholly-owned subsidiary of Panacea ("Merger Sub"), and Nuvation Bio Inc. ("Legacy Nuvation") pursuant to which, as a result of a merger between Legacy Nuvation and Merger Sub, Legacy Nuvation became a direct, wholly-owned subsidiary of Panacea, which subsequently changed its name to Nuvation Bio Inc. (such transaction, the "Business Combination"), was converted into one share of Class A Common Stock; the Class B Common Stock was convertible at any time at the election of the holder (or would have automatically converted at the time of the issuer's initial business combination if not yet converted at such time) with no expiration date. Row 2 · 2021-02-10 · Grant · Acquired 10,000 · Balance 35,000 F2: Acquired pursuant to one of a number of subscription agreements that Panacea entered into with various investors pursuant to which such investors agreed to purchase, immediately prior to the closing of the Business Combination, an aggregate of 47,655,000 shares of Class A Common Stock at a price of $10.00 per share. |
| Class B Common StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2021-02-10 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2021-02-10 · Exercise / conversion · Disposed 25,000 · Balance 0 F1: Each share of Class B Common Stock owned prior to the consummation of the Agreement and Plan of Merger, dated as of October 20, 2020, by and among Panacea Acquisition Corp. ("Panacea"), Panacea Merger Subsidiary Corp., a direct, wholly-owned subsidiary of Panacea ("Merger Sub"), and Nuvation Bio Inc. ("Legacy Nuvation") pursuant to which, as a result of a merger between Legacy Nuvation and Merger Sub, Legacy Nuvation became a direct, wholly-owned subsidiary of Panacea, which subsequently changed its name to Nuvation Bio Inc. (such transaction, the "Business Combination"), was converted into one share of Class A Common Stock; the Class B Common Stock was convertible at any time at the election of the holder (or would have automatically converted at the time of the issuer's initial business combination if not yet converted at such time) with no expiration date. |
Filing footnotes · ownership attribution and instrument terms
F1: Each share of Class B Common Stock owned prior to the consummation of the Agreement and Plan of Merger, dated as of October 20, 2020, by and among Panacea Acquisition Corp. ("Panacea"), Panacea Merger Subsidiary Corp., a direct, wholly-owned subsidiary of Panacea ("Merger Sub"), and Nuvation Bio Inc. ("Legacy Nuvation") pursuant to which, as a result of a merger between Legacy Nuvation and Merger Sub, Legacy Nuvation became a direct, wholly-owned subsidiary of Panacea, which subsequently changed its name to Nuvation Bio Inc. (such transaction, the "Business Combination"), was converted into one share of Class A Common Stock; the Class B Common Stock was convertible at any time at the election of the holder (or would have automatically converted at the time of the issuer's initial business combination if not yet converted at such time) with no expiration date.
F2: Acquired pursuant to one of a number of subscription agreements that Panacea entered into with various investors pursuant to which such investors agreed to purchase, immediately prior to the closing of the Business Combination, an aggregate of 47,655,000 shares of Class A Common Stock at a price of $10.00 per share.
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 |
|---|---|---|---|---|---|---|
| August 17, 2020 Filed Aug 19, 2020 18:11 UTC | Ultragenyx Pharmaceutical Inc. RARE · Entity 4337 | SaleCommon Stock | 3,669 | $88.38 | $324,266.22 |
DisclosureSEC source: 0001209191-20-047455 · doc4.xml · nonDerivative · entry 8 Sharp Shalini · CIK 0001377202 · CFO & Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 98,187 F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $88.17 to $88.90 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range. F3 · balance_after: Includes previously reported shares of common stock underlying RSUs granted to the Reporting Person, which are subject to certain vesting conditions. Read SEC document |
| August 17, 2020 Filed Aug 19, 2020 18:11 UTC | Ultragenyx Pharmaceutical Inc. RARE · Entity 4337 | Exercise / conversionCommon Stock | 3,669 | $48.43 | $177,689.67 |
DisclosureSEC source: 0001209191-20-047455 · doc4.xml · nonDerivative · entry 7 Sharp Shalini · CIK 0001377202 · CFO & Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 101,856 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 |
| August 17, 2020 Filed Aug 19, 2020 18:11 UTC | Ultragenyx Pharmaceutical Inc. RARE · Entity 4337 | SaleCommon Stock | 7,188 | $88.38 | $635,275.44 |
DisclosureSEC source: 0001209191-20-047455 · doc4.xml · nonDerivative · entry 6 Sharp Shalini · CIK 0001377202 · CFO & Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 98,187 F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $88.17 to $88.90 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range. Read SEC document |
| August 17, 2020 Filed Aug 19, 2020 18:11 UTC | Ultragenyx Pharmaceutical Inc. RARE · Entity 4337 | Exercise / conversionCommon Stock | 7,188 | $67.55 | $485,549.40 |
DisclosureSEC source: 0001209191-20-047455 · doc4.xml · nonDerivative · entry 5 Sharp Shalini · CIK 0001377202 · CFO & Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 105,375 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 |
| August 17, 2020 Filed Aug 19, 2020 18:11 UTC | Ultragenyx Pharmaceutical Inc. RARE · Entity 4337 | SaleCommon Stock | 500 | $88.38 | $44,190.00 |
DisclosureSEC source: 0001209191-20-047455 · doc4.xml · nonDerivative · entry 4 Sharp Shalini · CIK 0001377202 · CFO & Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 98,187 F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $88.17 to $88.90 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range. Read SEC document |
| August 17, 2020 Filed Aug 19, 2020 18:11 UTC | Ultragenyx Pharmaceutical Inc. RARE · Entity 4337 | Exercise / conversionCommon Stock | 500 | $70.57 | $35,285.00 |
DisclosureSEC source: 0001209191-20-047455 · doc4.xml · nonDerivative · entry 3 Sharp Shalini · CIK 0001377202 · CFO & Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 98,687 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 |
| August 17, 2020 Filed Aug 19, 2020 18:11 UTC | Ultragenyx Pharmaceutical Inc. RARE · Entity 4337 | SaleCommon Stock | 2,560 | $88.54 | $226,662.40 |
DisclosureSEC source: 0001209191-20-047455 · doc4.xml · nonDerivative · entry 2 Sharp Shalini · CIK 0001377202 · CFO & Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 98,187 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $88.45 to $88.55 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range. Read SEC document |
| August 17, 2020 Filed Aug 19, 2020 18:11 UTC | Ultragenyx Pharmaceutical Inc. RARE · Entity 4337 | SaleCommon Stock | 461 | $88.24 | $40,678.64 |
DisclosureSEC source: 0001209191-20-047455 · doc4.xml · nonDerivative · entry 1 Sharp Shalini · CIK 0001377202 · CFO & Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,747 Read SEC document |
| June 05, 2020 Filed Jun 8, 2020 21:36 UTC | SUTRO BIOPHARMA, INC. STRO · Entity 5797 | GrantStock Option (right to buy) · Derivative | 12,000 | $0.00 Strike: $9.83 | $0.00 |
DisclosureSEC source: 0001209191-20-035037 · doc4.xml · derivative · entry 1 Sharp Shalini · CIK 0001377202 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,000 Underlying: Common Stock · 12,000 shares Expires 2030-06-04 F1 · derivative.exercise_date: The option is fully vested on June 5, 2021, subject to the reporting person's provision of service to the issuer on the vesting date. Read SEC document |
| June 04, 2020 Filed Jun 5, 2020 20:59 UTC | Ultragenyx Pharmaceutical Inc. RARE · Entity 4337 | Exercise / conversionStock Option (Right to Buy) · Derivative | 2,564 | $0.00 Strike: $48.43 | $0.00 |
DisclosureSEC source: 0001209191-20-034710 · doc4.xml · derivative · entry 6 Sharp Shalini · CIK 0001377202 · CFO & Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,981 Underlying: Common Stock · 2,564 shares Expires 2028-03-01 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: 1/4th of the option vested one year from March 1, 2018 and then 1/48th of the option vested monthly thereafter. Read SEC document |
| June 04, 2020 Filed Jun 5, 2020 20:59 UTC | Ultragenyx Pharmaceutical Inc. RARE · Entity 4337 | SaleCommon Stock | 2,564 | $74.01 | $189,761.64 |
DisclosureSEC source: 0001209191-20-034710 · doc4.xml · nonDerivative · entry 4 Sharp Shalini · CIK 0001377202 · CFO & Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 101,208 F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $74.00 to $74.03 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range. F3 · balance_after: Includes previously reported shares of common stock underlying RSUs granted to the Reporting Person, which are subject to certain vesting conditions. Read SEC document |
| June 04, 2020 Filed Jun 5, 2020 20:59 UTC | Ultragenyx Pharmaceutical Inc. RARE · Entity 4337 | Exercise / conversionCommon Stock | 2,564 | $48.43 | $124,174.52 |
DisclosureSEC source: 0001209191-20-034710 · doc4.xml · nonDerivative · entry 3 Sharp Shalini · CIK 0001377202 · CFO & Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 103,772 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 03, 2020 Filed Jun 5, 2020 20:59 UTC | Ultragenyx Pharmaceutical Inc. RARE · Entity 4337 | Exercise / conversionStock Option (Right to Buy) · Derivative | 10,234 | $0.00 Strike: $48.43 | $0.00 |
DisclosureSEC source: 0001209191-20-034710 · doc4.xml · derivative · entry 5 Sharp Shalini · CIK 0001377202 · CFO & Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,545 Underlying: Common Stock · 10,234 shares Expires 2028-03-01 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: 1/4th of the option vested one year from March 1, 2018 and then 1/48th of the option vested monthly thereafter. Read SEC document |
| June 03, 2020 Filed Jun 5, 2020 20:59 UTC | Ultragenyx Pharmaceutical Inc. RARE · Entity 4337 | SaleCommon Stock | 10,234 | $74.23 | $759,669.82 |
DisclosureSEC source: 0001209191-20-034710 · doc4.xml · nonDerivative · entry 2 Sharp Shalini · CIK 0001377202 · CFO & Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 101,208 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $74.01 to $74.90 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range. Read SEC document |
| June 03, 2020 Filed Jun 5, 2020 20:59 UTC | Ultragenyx Pharmaceutical Inc. RARE · Entity 4337 | Exercise / conversionCommon Stock | 10,234 | $48.43 | $495,632.62 |
DisclosureSEC source: 0001209191-20-034710 · doc4.xml · nonDerivative · entry 1 Sharp Shalini · CIK 0001377202 · CFO & Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 111,442 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 01, 2020 Filed Jun 3, 2020 18:19 UTC | Ultragenyx Pharmaceutical Inc. RARE · Entity 4337 | Tax withholdingCommon Stock | 348 | $69.38 | $24,144.24 |
DisclosureSEC source: 0001209191-20-033885 · doc4.xml · nonDerivative · entry 1 Sharp Shalini · CIK 0001377202 · CFO & Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 101,208 F1 · shares: Represents shares sold to pay required tax withholdings due to the vesting of Restricted Stock Units ("RSUs"). F2 · balance_after: Includes previously reported shares of common stock underlying RSUs granted to the Reporting Person, which are subject to certain vesting conditions. Read SEC document |
| May 19, 2020 Filed May 20, 2020 23:49 UTC | Ultragenyx Pharmaceutical Inc. RARE · Entity 4337 | Exercise / conversionStock Option (Right to Buy) · Derivative | 3,907 | $0.00 Strike: $70.57 | $0.00 |
DisclosureSEC source: 0001209191-20-031054 · doc4.xml · derivative · entry 10 Sharp Shalini · CIK 0001377202 · CFO & Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 500 Underlying: Common Stock · 3,907 shares Expires 2026-06-01 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: 1/4th of the option vested one year from June 1, 2016 and then 1/48th of the option vested and will vest monthly thereafter. Read SEC document |
| May 19, 2020 Filed May 20, 2020 23:49 UTC | Ultragenyx Pharmaceutical Inc. RARE · Entity 4337 | Exercise / conversionStock Option (Right to Buy) · Derivative | 3,221 | $0.00 Strike: $48.43 | $0.00 |
DisclosureSEC source: 0001209191-20-031054 · doc4.xml · derivative · entry 9 Sharp Shalini · CIK 0001377202 · CFO & Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,779 Underlying: Common Stock · 3,221 shares Expires 2028-03-01 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. F7 · derivative.exercise_date: 1/4th of the option vested one year from March 1, 2018 and then 1/48th of the option vested and will continue to vest monthly thereafter. Read SEC document |
| May 19, 2020 Filed May 20, 2020 23:49 UTC | Ultragenyx Pharmaceutical Inc. RARE · Entity 4337 | SaleCommon Stock | 3,907 | $73.32 | $286,461.24 |
DisclosureSEC source: 0001209191-20-031054 · doc4.xml · nonDerivative · entry 7 Sharp Shalini · CIK 0001377202 · CFO & Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 101,556 F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $73.05 to $73.66 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range. F4 · balance_after: Includes previously reported shares of common stock underlying RSUs granted to the Reporting Person, which are subject to certain vesting conditions. F5 · balance_after: Includes 612 shares acquired under the Company's 2014 Employee Stock Purchase Plan on April 30, 2020. Read SEC document |
| May 19, 2020 Filed May 20, 2020 23:49 UTC | Ultragenyx Pharmaceutical Inc. RARE · Entity 4337 | Exercise / conversionCommon Stock | 3,907 | $70.57 | $275,716.99 |
DisclosureSEC source: 0001209191-20-031054 · doc4.xml · nonDerivative · entry 6 Sharp Shalini · CIK 0001377202 · CFO & Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 104,851 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 19, 2020 Filed May 20, 2020 23:49 UTC | Ultragenyx Pharmaceutical Inc. RARE · Entity 4337 | SaleCommon Stock | 3,221 | $73.32 | $236,163.72 |
DisclosureSEC source: 0001209191-20-031054 · doc4.xml · nonDerivative · entry 5 Sharp Shalini · CIK 0001377202 · CFO & Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,944 F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $73.05 to $73.66 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range. Read SEC document |
| May 19, 2020 Filed May 20, 2020 23:49 UTC | Ultragenyx Pharmaceutical Inc. RARE · Entity 4337 | Exercise / conversionCommon Stock | 3,221 | $48.43 | $155,993.03 |
DisclosureSEC source: 0001209191-20-031054 · doc4.xml · nonDerivative · entry 4 Sharp Shalini · CIK 0001377202 · CFO & Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 104,165 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 18, 2020 Filed May 20, 2020 23:49 UTC | Ultragenyx Pharmaceutical Inc. RARE · Entity 4337 | Exercise / conversionStock Option (Right to Buy) · Derivative | 19,593 | $0.00 Strike: $70.57 | $0.00 |
DisclosureSEC source: 0001209191-20-031054 · doc4.xml · derivative · entry 8 Sharp Shalini · CIK 0001377202 · CFO & Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,407 Underlying: Common Stock · 19,593 shares Expires 2026-06-01 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: 1/4th of the option vested one year from June 1, 2016 and then 1/48th of the option vested and will vest monthly thereafter. Read SEC document |
| May 18, 2020 Filed May 20, 2020 23:49 UTC | Ultragenyx Pharmaceutical Inc. RARE · Entity 4337 | SaleCommon Stock | 2,392 | $73.29 | $175,309.68 |
DisclosureSEC source: 0001209191-20-031054 · doc4.xml · nonDerivative · entry 3 Sharp Shalini · CIK 0001377202 · CFO & Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,944 F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $73.01 to $73.58, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range. Read SEC document |
| May 18, 2020 Filed May 20, 2020 23:49 UTC | Ultragenyx Pharmaceutical Inc. RARE · Entity 4337 | SaleCommon Stock | 19,593 | $73.34 | $1,436,950.62 |
DisclosureSEC source: 0001209191-20-031054 · doc4.xml · nonDerivative · entry 2 Sharp Shalini · CIK 0001377202 · CFO & Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 103,336 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $73.04 to $73.58 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range. Read SEC document |
| May 18, 2020 Filed May 20, 2020 23:49 UTC | Ultragenyx Pharmaceutical Inc. RARE · Entity 4337 | Exercise / conversionCommon Stock | 19,593 | $70.57 | $1,382,678.01 |
DisclosureSEC source: 0001209191-20-031054 · doc4.xml · nonDerivative · entry 1 Sharp Shalini · CIK 0001377202 · CFO & Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 122,929 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 13, 2020 Filed May 15, 2020 20:00 UTC | PRECISION BIOSCIENCES INC DTIL · Entity 6284 | GrantStock Option (Right to Buy) · Derivative | 41,038 | $0.00 Strike: $6.62 | $0.00 |
DisclosureSEC source: 0001209191-20-029690 · doc4.xml · derivative · entry 1 Sharp Shalini · CIK 0001377202 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,038 Underlying: Common Stock · 41,038 shares Expires 2030-05-12 F1 · derivative.exercise_date: The option vests on the earlier of May 13, 2021 or the day immediately prior to the date of the next annual meeting of the Company's stockholders occurring after May 13, 2020. Read SEC document |
| May 06, 2020 Filed May 8, 2020 23:55 UTC | Ultragenyx Pharmaceutical Inc. RARE · Entity 4337 | Tax withholdingCommon Stock | 248 | $66.26 | $16,432.48 |
DisclosureSEC source: 0001209191-20-028106 · doc4.xml · nonDerivative · entry 1 Sharp Shalini · CIK 0001377202 · CFO & Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 103,336 F1 · shares: Represents shares surrendered to the Issuer by the Reporting Person to pay required tax withholdings due to the vesting of Restricted Stock Units ("RSUs"). F2 · balance_after: Includes previously reported shares of common stock underlying RSUs granted to the Reporting Person, which are subject to certain vesting conditions. Read SEC document |
| April 19, 2020 Filed Apr 21, 2020 19:39 UTC | Ultragenyx Pharmaceutical Inc. RARE · Entity 4337 | Tax withholdingCommon Stock | 248 | $58.57 | $14,525.36 |
DisclosureSEC source: 0001209191-20-025193 · doc4.xml · nonDerivative · entry 1 Sharp Shalini · CIK 0001377202 · CFO & Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 103,584 F1 · shares: Represents shares surrendered to the Issuer by the Reporting Person to pay required tax withholdings due to the vesting of Restricted Stock Units ("RSUs"). F2 · balance_after: Includes previously reported shares of common stock underlying RSUs granted to the Reporting Person, which are subject to certain vesting conditions. Read SEC document |
| March 01, 2020 Filed Mar 4, 2020 00:46 UTC | Ultragenyx Pharmaceutical Inc. RARE · Entity 4337 | Tax withholdingCommon Stock | 2,325 | $56.08 | $130,386.00 |
DisclosureSEC source: 0001209191-20-015736 · doc4.xml · nonDerivative · entry 2 Sharp Shalini · CIK 0001377202 · CFO & Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 103,832 F3 · shares: Represents shares surrendered to the Issuer by the Reporting Person to pay required tax withholdings due to the vesting of RSUs. F2 · balance_after: Includes previously reported shares of common stock underlying RSUs granted to the Reporting Person, which are subject to certain vesting conditions. Read SEC document |
| March 01, 2020 Filed Mar 4, 2020 00:46 UTC | Ultragenyx Pharmaceutical Inc. RARE · Entity 4337 | GrantCommon Stock | 5,634 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-015736 · doc4.xml · nonDerivative · entry 1 Sharp Shalini · CIK 0001377202 · CFO & Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 106,157 F1 · shares: Represents 1,859 shares of common stock and 3,775 restricted stock units ("RSUs") into which previously granted performance stock units were converted on March 1, 2020 upon certification of the performance metric. The RSUs will fully vest on March 1, 2021. F2 · balance_after: Includes previously reported shares of common stock underlying RSUs granted to the Reporting Person, which are subject to certain vesting conditions. Read SEC document |
| February 01, 2020 Filed Feb 4, 2020 21:34 UTC | NEUROCRINE BIOSCIENCES INC NBIX · Entity 2655 | GrantNon-Qualified Stock Option · Derivative | 15,000 | $0.00 Strike: $100.08 | $0.00 |
DisclosureSEC source: 0001209191-20-006379 · doc4.xml · derivative · entry 1 Sharp Shalini · CIK 0001377202 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2030-02-01 F1 · derivative.exercise_date: Option granted February 1, 2020 and vests in 36 equal monthly installments. Read SEC document |
| October 14, 2019 Filed Oct 16, 2019 23:25 UTC | Ultragenyx Pharmaceutical Inc. RARE · Entity 4337 | GrantCommon Stock | 1,434 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-053322 · doc4.xml · nonDerivative · entry 1 Sharp Shalini · CIK 0001377202 · CFO & Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,523 F1 · shares: Represents restricted stock units (RSUs) into which previously granted performance stock units were converted on October 14, 2019 upon certification of the applicable performance metric. Half of these RSUs will vest on the first anniversary of the certification date and the other half will vest on the second anniversary of the certification date. F2 · balance_after: Includes previously reported shares of common stock underlying RSUs granted to the Reporting Person, which are subject to certain vesting conditions. Read SEC document |
| September 16, 2019 Filed Sep 17, 2019 23:25 UTC | Ultragenyx Pharmaceutical Inc. RARE · Entity 4337 | Exercise / conversionStock Option (Right to Buy) · Derivative | 24,880 | $0.00 Strike: $6.86 | $0.00 |
DisclosureSEC source: 0001209191-19-049950 · doc4.xml · derivative · entry 4 Sharp Shalini · CIK 0001377202 · CFO & Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,998 Underlying: Common Stock · 24,880 shares Expires 2023-10-31 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: 1/4th of the option vested one year from November 1, 2013 and then 1/48th of the option vested monthly thereafter. Read SEC document |
| September 16, 2019 Filed Sep 17, 2019 23:25 UTC | Ultragenyx Pharmaceutical Inc. RARE · Entity 4337 | Exercise / conversionStock Option (Right to Buy) · Derivative | 6,963 | $0.00 Strike: $0.81 | $0.00 |
DisclosureSEC source: 0001209191-19-049950 · doc4.xml · derivative · entry 3 Sharp Shalini · CIK 0001377202 · CFO & Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 6,963 shares Expires 2022-08-01 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: 1/4th of the option vested one year from May 21, 2012 and then 1/48th of the option vested monthly thereafter. Read SEC document |
| September 16, 2019 Filed Sep 17, 2019 23:25 UTC | Ultragenyx Pharmaceutical Inc. RARE · Entity 4337 | Exercise / conversionCommon Stock | 24,880 | $6.86 | $170,676.80 |
DisclosureSEC source: 0001209191-19-049950 · doc4.xml · nonDerivative · entry 2 Sharp Shalini · CIK 0001377202 · CFO & Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 99,089 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 · balance_after: Includes previously reported shares of common stock underlying RSUs granted to the Reporting Person, which are subject to certain vesting conditions. Read SEC document |
| September 16, 2019 Filed Sep 17, 2019 23:25 UTC | Ultragenyx Pharmaceutical Inc. RARE · Entity 4337 | Exercise / conversionCommon Stock | 6,963 | $0.81 | $5,640.03 |
DisclosureSEC source: 0001209191-19-049950 · doc4.xml · nonDerivative · entry 1 Sharp Shalini · CIK 0001377202 · CFO & Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 74,209 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 · balance_after: Includes previously reported shares of common stock underlying RSUs granted to the Reporting Person, which are subject to certain vesting conditions. Read SEC document |
| July 30, 2019 Filed Jul 30, 2019 20:05 UTC | ARRAY BIOPHARMA INC ARRY · Entity 155788 | Disposition to issuerStock Option (Right to Buy) · Derivative | 25,000 | Not disclosed Strike: $14.55 | Not disclosed |
DisclosureSEC source: 0001209191-19-043785 · doc4.xml · derivative · entry 5 Sharp Shalini · CIK 0001377202 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 25,000 shares Expires 2028-10-25 F5 · price: Represents shares of Company common stock underlying compensatory options to purchase shares of Company common stock, whether or not vested and which have a per share exercise price that is less than $48.00 (each, an "In the Money Option"). Pursuant to the terms of the Merger Agreement, each In the Money Option held by the Reporting Person was cancelled and converted into the right to a cash payment equal to (i) the excess, if any, of (A) $48.00 over (B) the exercise price payable per share of Company common stock under such In the Money Option, multiplied by (ii) the total number of shares of Company common stock subject to such In the Money Option. F7 · derivative.exercise_date: The option provided for vesting in four equal annual installments beginning on October 25, 2019. Read SEC document |
| July 30, 2019 Filed Jul 30, 2019 20:05 UTC | ARRAY BIOPHARMA INC ARRY · Entity 155788 | Disposition to issuerStock Option (Right to Buy) · Derivative | 25,000 | Not disclosed Strike: $10.47 | Not disclosed |
DisclosureSEC source: 0001209191-19-043785 · doc4.xml · derivative · entry 4 Sharp Shalini · CIK 0001377202 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 25,000 shares Expires 2027-10-26 F5 · price: Represents shares of Company common stock underlying compensatory options to purchase shares of Company common stock, whether or not vested and which have a per share exercise price that is less than $48.00 (each, an "In the Money Option"). Pursuant to the terms of the Merger Agreement, each In the Money Option held by the Reporting Person was cancelled and converted into the right to a cash payment equal to (i) the excess, if any, of (A) $48.00 over (B) the exercise price payable per share of Company common stock under such In the Money Option, multiplied by (ii) the total number of shares of Company common stock subject to such In the Money Option. F6 · derivative.exercise_date: The option provided for vesting in four equal annual installments beginning on October 26, 2018. Read SEC document |
| July 30, 2019 Filed Jul 30, 2019 20:05 UTC | ARRAY BIOPHARMA INC ARRY · Entity 155788 | Disposition to issuerStock Option (Right to Buy) · Derivative | 25,000 | Not disclosed Strike: $8.70 | Not disclosed |
DisclosureSEC source: 0001209191-19-043785 · doc4.xml · derivative · entry 3 Sharp Shalini · CIK 0001377202 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 25,000 shares Expires 2027-04-27 F5 · price: Represents shares of Company common stock underlying compensatory options to purchase shares of Company common stock, whether or not vested and which have a per share exercise price that is less than $48.00 (each, an "In the Money Option"). Pursuant to the terms of the Merger Agreement, each In the Money Option held by the Reporting Person was cancelled and converted into the right to a cash payment equal to (i) the excess, if any, of (A) $48.00 over (B) the exercise price payable per share of Company common stock under such In the Money Option, multiplied by (ii) the total number of shares of Company common stock subject to such In the Money Option. F4 · derivative.exercise_date: The option provided for vesting in four equal annual installments beginning on April 27, 2018. Read SEC document |
| July 30, 2019 Filed Jul 30, 2019 20:05 UTC | ARRAY BIOPHARMA INC ARRY · Entity 155788 | Disposition to issuerCommon Stock | 5,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-19-043785 · doc4.xml · nonDerivative · entry 2 Sharp Shalini · CIK 0001377202 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · kind: On June 14, 2019, Array BioPharma Inc. (the "Company") entered into an Agreement and Plan of Merger (the "Merger Agreement") with Pfizer Inc. ("Pfizer") and Arlington Acquisition Sub Inc., a wholly owned subsidiary of Pfizer ("Purchaser"). Pursuant to the terms of the Merger Agreement, each share of Company common stock held by the Reporting Person was cancelled and converted into the right to receive an amount in cash equal to $48.00, without interest and subject to any required withholding of taxes. F2 · kind: On July 30, 2019, Purchaser merged with and into the Company pursuant to Section 251(h) of the General Corporation Law of the State of Delaware, with the Company being the surviving corporation and becoming a wholly-owned subsidiary of Pfizer. Pursuant to the terms of the Merger Agreement, each share of Company common stock was converted into the right to receive an amount in cash equal to $48.00, without interest and subject to any required withholding of taxes. F3 · price: Represents shares of Company common stock underlying each restricted stock unit (a "Company RSU") held by the Reporting Person, whether or not vested. Pursuant to the terms of the Merger Agreement, each Company RSU held by the Reporting Person was converted into the right to receive an amount in cash equal to the product of (i) $48.00 and (ii) the number of shares of Company common stock subject to such Company RSU. Read SEC document |
| July 30, 2019 Filed Jul 30, 2019 20:05 UTC | ARRAY BIOPHARMA INC ARRY · Entity 155788 | Disposition to issuerCommon Stock | 5,000 | $48.00 | $240,000.00 |
DisclosureSEC source: 0001209191-19-043785 · doc4.xml · nonDerivative · entry 1 Sharp Shalini · CIK 0001377202 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,000 F1 · kind: On June 14, 2019, Array BioPharma Inc. (the "Company") entered into an Agreement and Plan of Merger (the "Merger Agreement") with Pfizer Inc. ("Pfizer") and Arlington Acquisition Sub Inc., a wholly owned subsidiary of Pfizer ("Purchaser"). Pursuant to the terms of the Merger Agreement, each share of Company common stock held by the Reporting Person was cancelled and converted into the right to receive an amount in cash equal to $48.00, without interest and subject to any required withholding of taxes. F2 · kind: On July 30, 2019, Purchaser merged with and into the Company pursuant to Section 251(h) of the General Corporation Law of the State of Delaware, with the Company being the surviving corporation and becoming a wholly-owned subsidiary of Pfizer. Pursuant to the terms of the Merger Agreement, each share of Company common stock was converted into the right to receive an amount in cash equal to $48.00, without interest and subject to any required withholding of taxes. Read SEC document |
| June 17, 2019 Filed Jun 19, 2019 21:55 UTC | SUTRO BIOPHARMA, INC. STRO · Entity 5797 | GrantStock Option (right to buy Common Stock) · Derivative | 11,610 | $0.00 Strike: $11.12 | $0.00 |
DisclosureSEC source: 0001209191-19-038103 · doc4.xml · derivative · entry 1 Sharp Shalini · CIK 0001377202 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,610 Underlying: Common Stock · 11,610 shares Expires 2029-06-16 F1 · derivative.exercise_date: The option vests as to 1/12th of the total shares monthly, beginning on July 7, 2019, with 100% of the total shares vested and exercisable on June 7, 2020, subject to the reporting person's provision of service to the issuer on each vesting date. Read SEC document |
| June 01, 2019 Filed Jun 4, 2019 22:49 UTC | Ultragenyx Pharmaceutical Inc. RARE · Entity 4337 | Tax withholdingCommon Stock | 346 | $54.93 | $19,005.78 |
DisclosureSEC source: 0001209191-19-034540 · doc4.xml · nonDerivative · entry 1 Sharp Shalini · CIK 0001377202 · CFO & Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 67,246 F1 · shares: Represents shares surrendered to the Issuer by the Reporting Person to pay required tax withholdings due to the vesting of RSUs. F2 · balance_after: Includes previously reported shares of common stock underlying RSUs granted to the Reporting Person, which are subject to certain vesting conditions. Read SEC document |
| May 21, 2019 Filed May 22, 2019 21:39 UTC | Ultragenyx Pharmaceutical Inc. RARE · Entity 4337 | Tax withholdingCommon Stock | 381 | $59.50 | $22,669.50 |
DisclosureSEC source: 0001209191-19-032132 · doc4.xml · nonDerivative · entry 1 Sharp Shalini · CIK 0001377202 · CFO & Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 67,592 F1 · shares: Represents shares surrendered to the Issuer by the Reporting Person to pay required tax withholdings due to the vesting of RSUs. F2 · balance_after: Includes previously reported shares of common stock underlying RSUs granted to the Reporting Person, which are subject to certain vesting conditions. Read SEC document |
| May 06, 2019 Filed May 7, 2019 23:07 UTC | Ultragenyx Pharmaceutical Inc. RARE · Entity 4337 | GrantCommon Stock | 1,434 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-028101 · doc4.xml · nonDerivative · entry 1 Sharp Shalini · CIK 0001377202 · CFO & Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 67,973 F1 · shares: Represents restricted stock units (RSUs) into which previously granted performance stock units were converted on May 6, 2019 upon certification of the applicable performance metric. Half of these RSUs will vest on the first anniversary of the certification date and the other half will vest on the second anniversary of the certification date. F2 · balance_after: Includes previously reported shares of common stock underlying RSUs granted to the Reporting Person, which are subject to certain vesting conditions. F3 · balance_after: Includes 461 shares acquired under the Company's 2014 Employee Stock Purchase Plan on April 30, 2019. Read SEC document |
| April 19, 2019 Filed Apr 23, 2019 22:22 UTC | Ultragenyx Pharmaceutical Inc. RARE · Entity 4337 | Tax withholdingCommon Stock | 248 | $64.43 | $15,978.64 |
DisclosureSEC source: 0001209191-19-025611 · doc4.xml · nonDerivative · entry 1 Sharp Shalini · CIK 0001377202 · CFO & Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,078 F1 · shares: Represents shares surrendered to the Issuer by the Reporting Person to pay required tax withholdings due to the vesting of RSUs. F2 · balance_after: Includes previously reported shares of common stock underlying RSUs granted to the Reporting Person, which are subject to certain vesting conditions. Read SEC document |
| March 18, 2019 Filed Mar 20, 2019 20:26 UTC | Ultragenyx Pharmaceutical Inc. RARE · Entity 4337 | Exercise / conversionStock Option (Right to Buy) · Derivative | 12,000 | $0.00 Strike: $6.86 | $0.00 |
DisclosureSEC source: 0001209191-19-020568 · doc4.xml · derivative · entry 3 Sharp Shalini · CIK 0001377202 · CFO & Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,878 Underlying: Common Stock · 12,000 shares Expires 2023-10-31 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: 1/4th of the option vested one year from November 1, 2013 and then 1/48th of the option vested monthly thereafter. Read SEC document |
| March 18, 2019 Filed Mar 20, 2019 20:26 UTC | Ultragenyx Pharmaceutical Inc. RARE · Entity 4337 | SaleCommon Stock | 14,800 | $70.00 | $1,036,000.00 |
DisclosureSEC source: 0001209191-19-020568 · doc4.xml · nonDerivative · entry 2 Sharp Shalini · CIK 0001377202 · CFO & Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,357 F2 · kind: The sales reported on this Form 4 were effected pursuant to a trading plan adopted by the Reporting Person pursuant to Rule 10b5-1 under the Securities Exchange Act of 1934, as amended. Read SEC document |
| March 18, 2019 Filed Mar 20, 2019 20:26 UTC | Ultragenyx Pharmaceutical Inc. RARE · Entity 4337 | Exercise / conversionCommon Stock | 12,000 | $6.86 | $82,320.00 |
DisclosureSEC source: 0001209191-19-020568 · doc4.xml · nonDerivative · entry 1 Sharp Shalini · CIK 0001377202 · CFO & Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 81,157 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 · balance_after: Includes previously reported shares of common stock underlying RSUs granted to the Reporting Person, which are subject to certain vesting conditions. 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.