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 |
|---|---|---|---|---|---|---|
| March 18, 2019 Filed Apr 17, 2019 21:50 UTC Amendment | Ultragenyx Pharmaceutical Inc. RARE · Entity 4337 | Exercise / conversionStock Option (Right to Buy) · Derivative | 12,000 | $0.00 Strike: $6.86 | $0.00 |
DisclosureSEC source: 0001209191-19-025094 · doc4a.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 Apr 17, 2019 21:50 UTC Amendment | Ultragenyx Pharmaceutical Inc. RARE · Entity 4337 | SaleCommon Stock | 14,800 | $70.00 | $1,036,000.00 |
DisclosureSEC source: 0001209191-19-025094 · doc4a.xml · nonDerivative · entry 2 Sharp Shalini · CIK 0001377202 · CFO & Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,326 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 Apr 17, 2019 21:50 UTC Amendment | Ultragenyx Pharmaceutical Inc. RARE · Entity 4337 | Exercise / conversionCommon Stock | 12,000 | $6.86 | $82,320.00 |
DisclosureSEC source: 0001209191-19-025094 · doc4a.xml · nonDerivative · entry 1 Sharp Shalini · CIK 0001377202 · CFO & Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 81,126 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 |
| March 05, 2019 Filed Apr 17, 2019 21:41 UTC Amendment | Ultragenyx Pharmaceutical Inc. RARE · Entity 4337 | SaleCommon Stock | 1,012 | $65.52 | $66,306.24 |
DisclosureSEC source: 0001209191-19-025079 · doc4a.xml · nonDerivative · entry 2 Sharp Shalini · CIK 0001377202 · CFO & Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,125 F4 · shares: Represents shares sold to pay required tax withholdings due to the vesting of Restricted Stock Units. Read SEC document |
| March 01, 2019 Filed Mar 4, 2019 22:02 UTC | Ultragenyx Pharmaceutical Inc. RARE · Entity 4337 | GrantStock Option (Right to Buy) · Derivative | 23,000 | $0.00 Strike: $67.55 | $0.00 |
DisclosureSEC source: 0001209191-19-015730 · doc4.xml · derivative · entry 3 Sharp Shalini · CIK 0001377202 · CFO & Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,000 Underlying: Common Stock · 23,000 shares Expires 2029-03-01 F5 · derivative.exercise_date: On the first anniversary of the grant date of the option (the "Option Anniversary Date"), 1/4th of the shares initially subject to the option shall vest; thereafter, 1/48th of the shares initially subject to the option shall vest on each month as measured from the Option Anniversary Date. Read SEC document |
| March 01, 2019 Filed Mar 4, 2019 22:02 UTC | Ultragenyx Pharmaceutical Inc. RARE · Entity 4337 | Tax withholdingCommon Stock | 981 | $67.55 | $66,266.55 |
DisclosureSEC source: 0001209191-19-015730 · doc4.xml · nonDerivative · entry 2 Sharp Shalini · CIK 0001377202 · CFO & Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,156 F4 · shares: Represents shares surrendered to the Issuer by the Reporting Person to pay required tax withholdings due to the vesting of RSUs. Read SEC document |
| March 01, 2019 Filed Mar 4, 2019 22:02 UTC | Ultragenyx Pharmaceutical Inc. RARE · Entity 4337 | GrantCommon Stock | 8,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-015730 · doc4.xml · nonDerivative · entry 1 Sharp Shalini · CIK 0001377202 · CFO & Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,137 F1 · shares: Award of Restricted Stock Units ("RSUs") under the Company's 2014 Incentive Plan. The RSUs shall vest with respect to 1/4th of the underlying shares on each anniversary of the grant date, such that the RSUs are fully vested on the fourth anniversary of the grant 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 9 shares acquired under the Company's 2014 Employee Stock Purchase Plan. Read SEC document |
| March 01, 2019 Filed Apr 17, 2019 21:41 UTC Amendment | Ultragenyx Pharmaceutical Inc. RARE · Entity 4337 | GrantStock Option (Right to Buy) · Derivative | 23,000 | $0.00 Strike: $67.55 | $0.00 |
DisclosureSEC source: 0001209191-19-025079 · doc4a.xml · derivative · entry 3 Sharp Shalini · CIK 0001377202 · CFO & Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,000 Underlying: Common Stock · 23,000 shares Expires 2029-03-01 F5 · derivative.exercise_date: On the first anniversary of the grant date of the option (the "Option Anniversary Date"), 1/4th of the shares initially subject to the option shall vest; thereafter, 1/48th of the shares initially subject to the option shall vest on each month as measured from the Option Anniversary Date. Read SEC document |
| March 01, 2019 Filed Apr 17, 2019 21:41 UTC Amendment | Ultragenyx Pharmaceutical Inc. RARE · Entity 4337 | GrantCommon Stock | 8,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-025079 · doc4a.xml · nonDerivative · entry 1 Sharp Shalini · CIK 0001377202 · CFO & Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,137 F1 · shares: Award of Restricted Stock Units ("RSUs") under the Company's 2014 Incentive Plan. The RSUs shall vest with respect to 1/4th of the underlying shares on each anniversary of the grant date, such that the RSUs are fully vested on the fourth anniversary of the grant 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 9 shares acquired under the Company's 2014 Employee Stock Purchase Plan. Read SEC document |
| November 08, 2018 Filed Nov 13, 2018 22:23 UTC | SUTRO BIOPHARMA, INC. STRO · Entity 5797 | GrantStock Option (right to buy Common Stock) · Derivative | 26,033 | $0.00 Strike: $14.23 | $0.00 |
DisclosureSEC source: 0001209191-18-058335 · doc4.xml · derivative · entry 1 Sharp Shalini · CIK 0001377202 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,033 Underlying: Common Stock · 26,033 shares Expires 2028-11-07 F1 · derivative.exercise_date: The option vests as to 2.777% of the total shares monthly, beginning on December 7, 2018, with 100% of the total shares vested and exercisable on November 7, 2021, subject to the reporting person's provision of service to the issuer on each vesting date. Read SEC document |
| October 31, 2018 Filed Oct 31, 2018 22:17 UTC | Ultragenyx Pharmaceutical Inc. RARE · Entity 4337 | Exercise / conversionStock Option (Right to Buy) · Derivative | 12,000 | $0.00 Strike: $0.82 | $0.00 |
DisclosureSEC source: 0001209191-18-056702 · doc4.xml · derivative · entry 2 Sharp Shalini · CIK 0001377202 · CFO & Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,963 Underlying: Common Stock · 12,000 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 monthly thereafter. Read SEC document |
| October 31, 2018 Filed Oct 31, 2018 22:17 UTC | Ultragenyx Pharmaceutical Inc. RARE · Entity 4337 | Exercise / conversionCommon Stock | 12,000 | $0.82 | $9,780.00 |
DisclosureSEC source: 0001209191-18-056702 · doc4.xml · nonDerivative · entry 1 Sharp Shalini · CIK 0001377202 · CFO & Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,128 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 |
| October 26, 2018 Filed Oct 29, 2018 18:10 UTC | ARRAY BIOPHARMA INC ARRY · Entity 155788 | Exercise / conversionRestricted Stock Units · Derivative | 5,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001562180-18-004317 · primarydocument.xml · derivative · entry 4 Sharp Shalini · CIK 0001377202 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,000 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_date: The RSUs vested and were settled in common stock on October 26, 2018. F4 · derivative.expiration_date: The RSUs vested and were settled in common stock on October 26, 2018. Read SEC document |
| October 26, 2018 Filed Oct 29, 2018 18:10 UTC | ARRAY BIOPHARMA INC ARRY · Entity 155788 | Exercise / conversionCommon Stock | 5,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001562180-18-004317 · primarydocument.xml · nonDerivative · entry 1 Sharp Shalini · CIK 0001377202 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,000 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Shares issued upon settlement of Restricted Stock Units ("RSUs") granted by Array BioPharma Inc. ("Array") on October 26, 2017, as a result of the vesting of all such RSUs. F1 · price: Shares issued upon settlement of Restricted Stock Units ("RSUs") granted by Array BioPharma Inc. ("Array") on October 26, 2017, as a result of the vesting of all such RSUs. Read SEC document |
| October 25, 2018 Filed Oct 29, 2018 18:10 UTC | ARRAY BIOPHARMA INC ARRY · Entity 155788 | GrantRestricted Stock Units · Derivative | 5,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001562180-18-004317 · primarydocument.xml · derivative · entry 3 Sharp Shalini · CIK 0001377202 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,000 Underlying: Common Stock · 5,000 shares Expires not disclosed F3 · derivative.exercise_date: RSUs awarded to the reporting person for no additional cash consideration and each represents a contingent right to receive one share of common stock. The RSUs vest in full and will be settled in common stock on October 25, 2019, subject to continued service on Array's board of directors. F3 · derivative.expiration_date: RSUs awarded to the reporting person for no additional cash consideration and each represents a contingent right to receive one share of common stock. The RSUs vest in full and will be settled in common stock on October 25, 2019, subject to continued service on Array's board of directors. Read SEC document |
| October 25, 2018 Filed Oct 29, 2018 18:10 UTC | ARRAY BIOPHARMA INC ARRY · Entity 155788 | GrantStock Option (Right to Buy) · Derivative | 25,000 | $0.00 Strike: $14.55 | $0.00 |
DisclosureSEC source: 0001562180-18-004317 · primarydocument.xml · derivative · entry 2 Sharp Shalini · CIK 0001377202 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 Underlying: Common Stock · 25,000 shares Expires 2028-10-25 F2 · derivative.exercise_date: The options vest in full on October 25, 2019, subject to continued service on Array's board of directors. Read SEC document |
| September 25, 2018 Filed Sep 27, 2018 20:07 UTC | Ultragenyx Pharmaceutical Inc. RARE · Entity 4337 | Exercise / conversionStock Option (Right to Buy) · Derivative | 3,350 | $0.00 Strike: $0.82 | $0.00 |
DisclosureSEC source: 0001209191-18-052438 · doc4.xml · derivative · entry 3 Sharp Shalini · CIK 0001377202 · CFO & Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,963 Underlying: Common Stock · 3,350 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. F4 · derivative.exercise_date: 1/4th of the option vested one year from May 21, 2012 and then 1/48th monthly thereafter. Read SEC document |
| September 25, 2018 Filed Sep 27, 2018 20:07 UTC | Ultragenyx Pharmaceutical Inc. RARE · Entity 4337 | SaleCommon Stock | 6,700 | $90.07 | $603,469.00 |
DisclosureSEC source: 0001209191-18-052438 · doc4.xml · nonDerivative · entry 2 Sharp Shalini · CIK 0001377202 · CFO & Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,128 F1 · kind: The sales reported on this Form 4 were effected pursuant to a trading plan adopted by the Reporting Person on October 19, 2017 pursuant to Rule 10b5-1 under the Securities Exchange Act of 1934, as amended. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $90.00 to $90.42 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 |
| September 25, 2018 Filed Sep 27, 2018 20:07 UTC | Ultragenyx Pharmaceutical Inc. RARE · Entity 4337 | Exercise / conversionCommon Stock | 3,350 | $0.82 | $2,730.25 |
DisclosureSEC source: 0001209191-18-052438 · doc4.xml · nonDerivative · entry 1 Sharp Shalini · CIK 0001377202 · CFO & Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,828 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 21, 2018 Filed Jun 22, 2018 16:16 UTC | AGENUS INC AGEN · Entity 5774 | GrantStock Option, right to buy · Derivative | 10,000 | $2.50 Strike: $2.50 | $25,000.00 |
DisclosureSEC source: 0001288123-18-000014 · primary_doc.xml · derivative · entry 3 Sharp Shalini · CIK 0001377202 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Underlying: Common Stock · 10,000 shares Expires 2028-06-21 Read SEC document |
| June 20, 2018 Filed Jun 22, 2018 16:16 UTC | AGENUS INC AGEN · Entity 5774 | GrantStock Option, right to buy · Derivative | 37,500 | $5.65 Strike: $5.65 | $211,875.00 |
DisclosureSEC source: 0001288123-18-000014 · primary_doc.xml · derivative · entry 2 Sharp Shalini · CIK 0001377202 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,500 Underlying: Common Sotck · 37,500 shares Expires 2028-03-02 F1 · derivative.exercise_date: 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 Read SEC document |
| June 07, 2018 Filed Jun 7, 2018 23:17 UTC | Ultragenyx Pharmaceutical Inc. RARE · Entity 4337 | Exercise / conversionStock Option (Right to Buy) · Derivative | 3,350 | $0.00 Strike: $0.82 | $0.00 |
DisclosureSEC source: 0001209191-18-036501 · doc4.xml · derivative · entry 3 Sharp Shalini · CIK 0001377202 · CFO & Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,313 Underlying: Common Stock · 3,350 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. F4 · derivative.exercise_date: 1/4th of the option vested one year from May 21, 2012 and then 1/48th monthly thereafter. Read SEC document |
| June 07, 2018 Filed Jun 7, 2018 23:17 UTC | Ultragenyx Pharmaceutical Inc. RARE · Entity 4337 | SaleCommon Stock | 6,700 | $80.07 | $536,455.60 |
DisclosureSEC source: 0001209191-18-036501 · doc4.xml · nonDerivative · entry 2 Sharp Shalini · CIK 0001377202 · CFO & Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,478 F1 · 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. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $80.00 to $80.32 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 07, 2018 Filed Jun 7, 2018 23:17 UTC | Ultragenyx Pharmaceutical Inc. RARE · Entity 4337 | Exercise / conversionCommon Stock | 3,350 | $0.82 | $2,730.25 |
DisclosureSEC source: 0001209191-18-036501 · doc4.xml · nonDerivative · entry 1 Sharp Shalini · CIK 0001377202 · CFO & Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,178 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, 2018 Filed Jun 4, 2018 20:54 UTC | Ultragenyx Pharmaceutical Inc. RARE · Entity 4337 | Tax withholdingCommon Stock | 346 | $73.73 | $25,510.58 |
DisclosureSEC source: 0001209191-18-035201 · doc4.xml · nonDerivative · entry 1 Sharp Shalini · CIK 0001377202 · CFO & Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,828 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 30, 2018 Filed May 30, 2018 23:29 UTC | Ultragenyx Pharmaceutical Inc. RARE · Entity 4337 | Exercise / conversionStock Option (Right to Buy) · Derivative | 6,500 | $0.00 Strike: $0.82 | $0.00 |
DisclosureSEC source: 0001209191-18-034281 · doc4.xml · derivative · entry 3 Sharp Shalini · CIK 0001377202 · CFO & Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,663 Underlying: Common Stock · 6,500 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. F4 · derivative.exercise_date: 1/4th of the option vested one year from May 21, 2012 and then 1/48th monthly thereafter. Read SEC document |
| May 30, 2018 Filed May 30, 2018 23:29 UTC | Ultragenyx Pharmaceutical Inc. RARE · Entity 4337 | SaleCommon Stock | 13,000 | $70.17 | $912,171.00 |
DisclosureSEC source: 0001209191-18-034281 · doc4.xml · nonDerivative · entry 2 Sharp Shalini · CIK 0001377202 · CFO & Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,174 F1 · 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. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $70.00 to $70.86 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 |
| May 30, 2018 Filed May 30, 2018 23:29 UTC | Ultragenyx Pharmaceutical Inc. RARE · Entity 4337 | Exercise / conversionCommon Stock | 6,500 | $0.82 | $5,297.50 |
DisclosureSEC source: 0001209191-18-034281 · doc4.xml · nonDerivative · entry 1 Sharp Shalini · CIK 0001377202 · CFO & Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,174 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 21, 2018 Filed May 22, 2018 15:47 UTC | Ultragenyx Pharmaceutical Inc. RARE · Entity 4337 | Tax withholdingCommon Stock | 381 | $64.79 | $24,684.99 |
DisclosureSEC source: 0001209191-18-032213 · doc4.xml · nonDerivative · entry 1 Sharp Shalini · CIK 0001377202 · CFO & Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,674 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. F3 · balance_after: Includes 511 shares acquired under the Company's 2014 Employee Stock Purchase Plan on April 30, 2018. Read SEC document |
| April 19, 2018 Filed Apr 19, 2018 20:43 UTC | Ultragenyx Pharmaceutical Inc. RARE · Entity 4337 | GrantCommon Stock | 1,431 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-025589 · doc4.xml · nonDerivative · entry 1 Sharp Shalini · CIK 0001377202 · CFO & Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,544 F1 · shares: Represents restricted stock units (RSUs) into which previously granted performance stock units were converted on April 19, 2018 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 |
| March 02, 2018 Filed Mar 6, 2018 22:01 UTC | AGENUS INC AGEN · Entity 5774 | GrantStock Option, Right to buy · Derivative | 18,533 | $5.65 Strike: $5.65 | $104,711.45 |
DisclosureSEC source: 0001288123-18-000006 · primary_doc.xml · derivative · entry 1 Sharp Shalini · CIK 0001377202 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,533 Underlying: Common Stock · 18,533 shares Expires 2028-03-02 F1 · derivative.exercise_date: 100% of the options vest on the one-year anniversary of the grant date provide the director continues to serve as a director of the Company on that date. Read SEC document |
| March 02, 2018 Filed Jun 22, 2018 16:16 UTC | AGENUS INC AGEN · Entity 5774 | GrantStock Option, right to buy · Derivative | 18,533 | $5.65 Strike: $5.65 | $104,711.45 |
DisclosureSEC source: 0001288123-18-000014 · primary_doc.xml · derivative · entry 1 Sharp Shalini · CIK 0001377202 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,533 Underlying: Common Stock · 18,533 shares Expires 2028-03-02 Read SEC document |
| March 01, 2018 Filed Mar 5, 2018 21:14 UTC | Ultragenyx Pharmaceutical Inc. RARE · Entity 4337 | GrantStock Option (Right to Buy) · Derivative | 35,000 | $0.00 Strike: $48.43 | $0.00 |
DisclosureSEC source: 0001209191-18-016409 · doc4.xml · derivative · entry 3 Sharp Shalini · CIK 0001377202 · CFO & Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,000 Underlying: Common Stock · 35,000 shares Expires 2028-03-01 F5 · derivative.exercise_date: On the first anniversary of the grant date of the option (the "Option Anniversary Date"), 1/4th of the shares initially subject to the option shall vest; thereafter, 1/48th of the shares initially subject to the option shall vest on each month as measured from the Option Anniversary Date. Read SEC document |
| March 01, 2018 Filed Mar 5, 2018 21:14 UTC | Ultragenyx Pharmaceutical Inc. RARE · Entity 4337 | Tax withholdingCommon Stock | 397 | $48.43 | $19,226.71 |
DisclosureSEC source: 0001209191-18-016409 · doc4.xml · nonDerivative · entry 2 Sharp Shalini · CIK 0001377202 · CFO & Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,113 F4 · shares: Represents shares surrendered to the Issuer by the Reporting Person to pay required tax withholdings due to the vesting of RSUs. Read SEC document |
| March 01, 2018 Filed Mar 5, 2018 21:14 UTC | Ultragenyx Pharmaceutical Inc. RARE · Entity 4337 | GrantCommon Stock | 7,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-016409 · doc4.xml · nonDerivative · entry 1 Sharp Shalini · CIK 0001377202 · CFO & Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,510 F1 · shares: Award of Restricted Stock Units ("RSUs") under the Company's 2014 Incentive Plan. The RSUs shall vest with respect to 1/4th of the underlying shares on each anniversary of the grant date, such that the RSUs are fully vested on the fourth anniversary of the grant 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 40 shares acquired under the Company's 2014 Employee Stock Purchase Plan on October 31, 2017. Read SEC document |
| October 26, 2017 Filed Oct 27, 2017 16:29 UTC | ARRAY BIOPHARMA INC ARRY · Entity 155788 | GrantRestricted Stock Units · Derivative | 5,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001562180-17-003343 · primarydocument.xml · derivative · entry 2 Sharp Shalini · CIK 0001377202 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,000 Underlying: Common Stock · 5,000 shares Expires not disclosed F1 · derivative.expiration_date: RSUs awarded to the reporting person for no additional cash consideration and represent a contingent right to receive one share of Array BioPharma Inc. common stock. The units vest and will be settled in stock on October 26, 2018, subject to continued service on Array's board of directors. Read SEC document |
| October 26, 2017 Filed Oct 27, 2017 16:29 UTC | ARRAY BIOPHARMA INC ARRY · Entity 155788 | GrantStock Option (Right to Buy) · Derivative | 25,000 | $0.00 Strike: $10.47 | $0.00 |
DisclosureSEC source: 0001562180-17-003343 · primarydocument.xml · derivative · entry 1 Sharp Shalini · CIK 0001377202 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 Underlying: Common Stock · 25,000 shares Expires 2027-10-26 Read SEC document |
| June 29, 2017 Filed Jul 3, 2017 15:14 UTC | AGENUS INC agen · Entity 5774 | GrantStock Option, Right to buy · Derivative | 50,000 | $3.91 Strike: $3.91 | $195,500.00 |
DisclosureSEC source: 0001288123-17-000027 · primary_doc.xml · derivative · entry 1 Sharp Shalini · CIK 0001377202 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Stock · 50,000 shares Expires 2027-06-29 F1 · derivative.exercise_date: Annual option award vesting 100% on the earlier of the one-year anniversary of the grant date or the date of the Company's 2018 annual shareholder meeting. Read SEC document |
| June 01, 2017 Filed Jun 2, 2017 01:09 UTC | Ultragenyx Pharmaceutical Inc. RARE · Entity 4337 | Tax withholdingCommon Stock | 376 | $56.61 | $21,285.36 |
DisclosureSEC source: 0001209191-17-036967 · doc4.xml · nonDerivative · entry 1 Sharp Shalini · CIK 0001377202 · CFO & Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,470 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. Read SEC document |
| May 21, 2017 Filed May 22, 2017 23:02 UTC | Ultragenyx Pharmaceutical Inc. RARE · Entity 4337 | Tax withholdingCommon Stock | 414 | $57.47 | $23,792.58 |
DisclosureSEC source: 0001209191-17-034488 · doc4.xml · nonDerivative · entry 1 Sharp Shalini · CIK 0001377202 · CFO & Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,846 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. F2 · balance_after: Includes 373 shares acquired under the Company's 2014 Employee Stock Purchase Plan on April 28, 2017. Read SEC document |
| March 02, 2017 Filed Mar 3, 2017 21:36 UTC | Ultragenyx Pharmaceutical Inc. RARE · Entity 4337 | Exercise / conversionStock Option (Right to Buy) · Derivative | 12,000 | $0.00 Strike: $0.82 | $0.00 |
DisclosureSEC source: 0001209191-17-017612 · doc4.xml · derivative · entry 3 Sharp Shalini · CIK 0001377202 · CFO & Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,163 Underlying: Common Stock · 12,000 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. F3 · derivative.exercise_date: 1/4th of the option vested one year from May 21, 2012 and then 1/48th monthly thereafter. Read SEC document |
| March 02, 2017 Filed Mar 3, 2017 21:36 UTC | Ultragenyx Pharmaceutical Inc. RARE · Entity 4337 | SaleCommon Stock | 12,000 | $90.10 | $1,081,176.00 |
DisclosureSEC source: 0001209191-17-017612 · doc4.xml · nonDerivative · entry 2 Sharp Shalini · CIK 0001377202 · CFO & Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,887 F1 · 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. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $90.00 to $90.34 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 |
| March 02, 2017 Filed Mar 3, 2017 21:36 UTC | Ultragenyx Pharmaceutical Inc. RARE · Entity 4337 | Exercise / conversionCommon Stock | 12,000 | $0.82 | $9,780.00 |
DisclosureSEC source: 0001209191-17-017612 · doc4.xml · nonDerivative · entry 1 Sharp Shalini · CIK 0001377202 · CFO & Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 67,887 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 |
| March 01, 2017 Filed Mar 1, 2017 22:57 UTC | Ultragenyx Pharmaceutical Inc. RARE · Entity 4337 | GrantStock Option (Right to Buy) · Derivative | 28,000 | $0.00 Strike: $88.80 | $0.00 |
DisclosureSEC source: 0001209191-17-016085 · doc4.xml · derivative · entry 2 Sharp Shalini · CIK 0001377202 · CFO & Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,000 Underlying: Common Stock · 28,000 shares Expires 2027-03-01 F3 · derivative.exercise_date: On the first anniversary of the grant date of the option (the "Option Anniversary Date"), 1/4th of the shares initially subject to the option shall vest; thereafter, 1/48th of the shares initially subject to the option shall vest on each month as measured from the Option Anniversary Date. Read SEC document |
| March 01, 2017 Filed Mar 1, 2017 22:57 UTC | Ultragenyx Pharmaceutical Inc. RARE · Entity 4337 | GrantCommon Stock | 4,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-016085 · doc4.xml · nonDerivative · entry 1 Sharp Shalini · CIK 0001377202 · CFO & Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,887 F1 · shares: Award of Restricted Stock Units ("RSUs") under the Company's 2014 Incentive Plan. The RSUs shall vest with respect to 1/4th of the underlying shares on each anniversary of the grant date, such that the RSUs are fully vested on the fourth anniversary of the grant 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 |
| February 27, 2017 Filed Feb 28, 2017 22:27 UTC | Ultragenyx Pharmaceutical Inc. RARE · Entity 4337 | Exercise / conversionStock Option (Right to Buy) · Derivative | 12,000 | $0.00 Strike: $0.82 | $0.00 |
DisclosureSEC source: 0001209191-17-015378 · doc4.xml · derivative · entry 3 Sharp Shalini · CIK 0001377202 · CFO & Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,163 Underlying: Common Stock · 12,000 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. F3 · derivative.exercise_date: 1/4th of the option vested one year from May 21, 2012 and then 1/48th monthly thereafter. Read SEC document |
| February 27, 2017 Filed Feb 28, 2017 22:27 UTC | Ultragenyx Pharmaceutical Inc. RARE · Entity 4337 | SaleCommon Stock | 12,000 | $80.14 | $961,680.00 |
DisclosureSEC source: 0001209191-17-015378 · doc4.xml · nonDerivative · entry 2 Sharp Shalini · CIK 0001377202 · CFO & Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,887 F1 · 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. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $80.00 to $80.58 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 |
| February 27, 2017 Filed Feb 28, 2017 22:27 UTC | Ultragenyx Pharmaceutical Inc. RARE · Entity 4337 | Exercise / conversionCommon Stock | 12,000 | $0.82 | $9,780.00 |
DisclosureSEC source: 0001209191-17-015378 · doc4.xml · nonDerivative · entry 1 Sharp Shalini · CIK 0001377202 · CFO & Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,887 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| December 23, 2016 Filed Dec 23, 2016 21:14 UTC | Ultragenyx Pharmaceutical Inc. RARE · Entity 4337 | Exercise / conversionStock Option (Right to Buy) · Derivative | 6,500 | $0.00 Strike: $0.82 | $0.00 |
DisclosureSEC source: 0001562180-16-003884 · primarydocument.xml · derivative · entry 2 Sharp Shalini · CIK 0001377202 · CFO & Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,163 Underlying: Common Stock · 6,500 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. F1 · derivative.exercise_date: 1/4 of the option vested one year from May 21, 2012 and then 1/48th monthly thereafter. Read SEC document |
| December 23, 2016 Filed Dec 23, 2016 21:14 UTC | Ultragenyx Pharmaceutical Inc. RARE · Entity 4337 | Exercise / conversionCommon Stock | 6,500 | $0.81 | $5,265.00 |
DisclosureSEC source: 0001562180-16-003884 · primarydocument.xml · nonDerivative · entry 1 Sharp Shalini · CIK 0001377202 · CFO & Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,887 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.