TapewireFind a company

person · Reporting owner

Middleton Fred A

Disclosed activity across 4 companies

Tapewire entity
34786
SEC CIK
0001267959

Export transaction history ↓

Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
CalciMedica, Inc.CALC · Entity 7804Director · 10% ownerJune 25, 2026June 29, 2026
Stereotaxis, Inc.STXS · Entity 6577DirectorMarch 02, 2018March 05, 2018

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.

CalciMedica, Inc.

Report date June 25, 2026 · Filed June 29, 2026

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectBy Sanderling Venture Partners VI Co-Investment Fund, L.P.1,063,272 Reported balance After 2026-06-25 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2026-06-25 · Purchase · Acquired 248,972 · Balance 1,063,272

F1: The securities were acquired from the Issuer pursuant to a Securities Purchase Agreement dated June 23, 2026, with a closing date of June 25, 2026. The Securities Purchase Agreement and the issuance of the securities thereunder was approved by an independent committee of the Issuer's Board of Directors.

F2: The Reporting Person, a director of Sanderling Ventures, may be deemed to beneficially own the securities of the Issuer held by Sanderling Venture Partners VI Co-Investment Fund, LP ("SVP VI Co-Investment, LP", together with Sanderling Venture Partners VI, LP., Sanderling VI Beteiligungs GmbH & Co. KG, Sanderling Ventures Management VI and Sanderling VI Limited Partnership (the "Sanderling VI Securities"). The Reporting Person disclaims beneficial ownership of the securities except to the extent of his pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectBy Sanderling Venture Partners VI, LP946,744 Reported balance Holding disclosure · report date 2026-06-25 · row 2 Holding and transaction disclosures are not merged.
1 source row

Row 2 · Balance 946,744

F3: The Reporting Person, a director of Sanderling Ventures, may be deemed to beneficially own the Sanderling VI Securities. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectBy Sanderling Ventures Management VI22,479 Reported balance Holding disclosure · report date 2026-06-25 · row 3 Holding and transaction disclosures are not merged.
1 source row

Row 3 · Balance 22,479

F3: The Reporting Person, a director of Sanderling Ventures, may be deemed to beneficially own the Sanderling VI Securities. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectBy Sanderling VI Beteligungs GmbH & Co KG7,456 Reported balance Holding disclosure · report date 2026-06-25 · row 4 Holding and transaction disclosures are not merged.
1 source row

Row 4 · Balance 7,456

F3: The Reporting Person, a director of Sanderling Ventures, may be deemed to beneficially own the Sanderling VI Securities. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectBy Sanderling VI Limited Partnership8,884 Reported balance Holding disclosure · report date 2026-06-25 · row 5 Holding and transaction disclosures are not merged.
1 source row

Row 5 · Balance 8,884

F3: The Reporting Person, a director of Sanderling Ventures, may be deemed to beneficially own the Sanderling VI Securities. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectBy Sanderling Ventures VII, L.P.435,148 Reported balance Holding disclosure · report date 2026-06-25 · row 6 Holding and transaction disclosures are not merged.
1 source row

Row 6 · Balance 435,148

F4: The Reporting Person, a director of Sanderling Ventures, may be deemed to beneficially own the securities of the Issuer held by Sanderling Ventures VII, LP ("SVP VII, LP", together with Sanderling Ventures Management VII, Sanderling Ventures VII (Canada), L.P. and Sanderling Ventures VII Annex Fund, L.P., the "Sanderling VII Securities"). The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectBy Sanderling Ventures VII (Canada), L.P.114,260 Reported balance Holding disclosure · report date 2026-06-25 · row 7 Holding and transaction disclosures are not merged.
1 source row

Row 7 · Balance 114,260

F5: The Reporting Person, a director of Sanderling Ventures, may be deemed to beneficially own the Sanderling VII Securities. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectBy Sanderling Ventures VII Annex Fund, L.P.27,609 Reported balance Holding disclosure · report date 2026-06-25 · row 8 Holding and transaction disclosures are not merged.
1 source row

Row 8 · Balance 27,609

F5: The Reporting Person, a director of Sanderling Ventures, may be deemed to beneficially own the Sanderling VII Securities. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectBy Sanderling Ventures Management VII30,292 Reported balance Holding disclosure · report date 2026-06-25 · row 9 Holding and transaction disclosures are not merged.
1 source row

Row 9 · Balance 30,292

F5: The Reporting Person, a director of Sanderling Ventures, may be deemed to beneficially own the Sanderling VII Securities. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectBy Golden Triangle Ventures, LLC8,176 Reported balance Holding disclosure · report date 2026-06-25 · row 10 Holding and transaction disclosures are not merged.
1 source row

Row 10 · Balance 8,176

F6: The Reporting Person is a managing member of Golden Triangle Ventures LLC and may be deemed to beneficially own the securities of the Issuer held by Golden Triangle Ventures LLC. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

Common StockSEC Table I · non-derivativeDirect36,514 Reported balance Holding disclosure · report date 2026-06-25 · row 11 Holding and transaction disclosures are not merged.
1 source row

Row 11 · Balance 36,514

Filing footnotes · ownership attribution and instrument terms

F1: The securities were acquired from the Issuer pursuant to a Securities Purchase Agreement dated June 23, 2026, with a closing date of June 25, 2026. The Securities Purchase Agreement and the issuance of the securities thereunder was approved by an independent committee of the Issuer's Board of Directors.

F2: The Reporting Person, a director of Sanderling Ventures, may be deemed to beneficially own the securities of the Issuer held by Sanderling Venture Partners VI Co-Investment Fund, LP ("SVP VI Co-Investment, LP", together with Sanderling Venture Partners VI, LP., Sanderling VI Beteiligungs GmbH & Co. KG, Sanderling Ventures Management VI and Sanderling VI Limited Partnership (the "Sanderling VI Securities"). The Reporting Person disclaims beneficial ownership of the securities except to the extent of his pecuniary interest therein.

F3: The Reporting Person, a director of Sanderling Ventures, may be deemed to beneficially own the Sanderling VI Securities. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

F4: The Reporting Person, a director of Sanderling Ventures, may be deemed to beneficially own the securities of the Issuer held by Sanderling Ventures VII, LP ("SVP VII, LP", together with Sanderling Ventures Management VII, Sanderling Ventures VII (Canada), L.P. and Sanderling Ventures VII Annex Fund, L.P., the "Sanderling VII Securities"). The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

F5: The Reporting Person, a director of Sanderling Ventures, may be deemed to beneficially own the Sanderling VII Securities. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

F6: The Reporting Person is a managing member of Golden Triangle Ventures LLC and may be deemed to beneficially own the securities of the Issuer held by Golden Triangle Ventures LLC. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

Stereotaxis, Inc.

Report date March 02, 2018 · Filed March 05, 2018

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect303,528 Reported balance After 2018-03-02 transaction · row 1
1 source row

Row 1 · 2018-03-02 · Other · Acquired 153,846 · Balance 303,528

Common Stock Warrant (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.70 · Expires 2021-09-29Direct0 Reported balance After 2018-03-01 transaction · row 11 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 11 · 2018-03-01 · Disposition to issuer · Disposed 153,846 · Balance 0

F1: On February 28, 2018, the issuer and certain holders of outstanding warrants issued pursuant to the Stock Purchase Agreement dated September 26, 2016, including the reporting person, entered into an amendment to the warrants. The amendment provided that the exercise price of the warrants would be reduced for a limited period of time, provided that at least $6 million of warrants was exercised during the limited period. This condition was satisfied on March 1, 2018.

F2: The transactions reported in the first two lines of Table II above report the amendment of the warrant to temporarily reduce the exercise price from $0.70 per share to $0.28 per share. The amendment is reported as the disposition of the old warrant and the acquisition of a new one. The amendment to the warrant was approved by a transaction committee consisting solely of independent directors for purposes of Rules 16b-3(d) and (e).

Common Stock Warrant (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.28 · Expires 2021-09-29Direct153,846 Reported balance After 2018-03-01 transaction · row 12 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 12 · 2018-03-01 · Grant · Acquired 153,846 · Balance 153,846

F1: On February 28, 2018, the issuer and certain holders of outstanding warrants issued pursuant to the Stock Purchase Agreement dated September 26, 2016, including the reporting person, entered into an amendment to the warrants. The amendment provided that the exercise price of the warrants would be reduced for a limited period of time, provided that at least $6 million of warrants was exercised during the limited period. This condition was satisfied on March 1, 2018.

F2: The transactions reported in the first two lines of Table II above report the amendment of the warrant to temporarily reduce the exercise price from $0.70 per share to $0.28 per share. The amendment is reported as the disposition of the old warrant and the acquisition of a new one. The amendment to the warrant was approved by a transaction committee consisting solely of independent directors for purposes of Rules 16b-3(d) and (e).

Common Stock Warrant (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.28 · Expires 2021-09-29Direct0 Reported balance After 2018-03-02 transaction · row 13 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 13 · 2018-03-02 · Other · Disposed 153,846 · Balance 0

Common StockSEC Table I · non-derivativeIndirectSanderling Venture Partners VI Co-Investment Fund, L.P.1,107,189 Reported balance Holding disclosure · report date 2018-03-02 · row 2 Holding and transaction disclosures are not merged.
1 source row

Row 2 · Balance 1,107,189

Common StockSEC Table I · non-derivativeIndirectSanderling VI Limited Partnership6,358 Reported balance Holding disclosure · report date 2018-03-02 · row 3 Holding and transaction disclosures are not merged.
1 source row

Row 3 · Balance 6,358

Common StockSEC Table I · non-derivativeIndirectSanderling VI Beteiligungs GmbH & Co. KG5,335 Reported balance Holding disclosure · report date 2018-03-02 · row 4 Holding and transaction disclosures are not merged.
1 source row

Row 4 · Balance 5,335

Common StockSEC Table I · non-derivativeIndirectSanderling IV Biomedical Co-Investment Fund, L.P.53,275 Reported balance Holding disclosure · report date 2018-03-02 · row 5 Holding and transaction disclosures are not merged.
1 source row

Row 5 · Balance 53,275

Common StockSEC Table I · non-derivativeIndirectSanderling V Beteiligungs GmbH & Co. KG11,097 Reported balance Holding disclosure · report date 2018-03-02 · row 6 Holding and transaction disclosures are not merged.
1 source row

Row 6 · Balance 11,097

Common StockSEC Table I · non-derivativeIndirectSanderling V Biomedical Co-Investment Fund, L.P.39,716 Reported balance Holding disclosure · report date 2018-03-02 · row 7 Holding and transaction disclosures are not merged.
1 source row

Row 7 · Balance 39,716

Common StockSEC Table I · non-derivativeIndirectSanderling V Limited Partnership11,956 Reported balance Holding disclosure · report date 2018-03-02 · row 8 Holding and transaction disclosures are not merged.
1 source row

Row 8 · Balance 11,956

Common StockSEC Table I · non-derivativeIndirectSanderling Venture Partners V Co-Investment Fund, L.P.67,790 Reported balance Holding disclosure · report date 2018-03-02 · row 9 Holding and transaction disclosures are not merged.
1 source row

Row 9 · Balance 67,790

Common StockSEC Table I · non-derivativeIndirectSanderling Venture Partners IV Co-Investment Fund22,451 Reported balance Holding disclosure · report date 2018-03-02 · row 10 Holding and transaction disclosures are not merged.
1 source row

Row 10 · Balance 22,451

Filing footnotes · ownership attribution and instrument terms

F1: On February 28, 2018, the issuer and certain holders of outstanding warrants issued pursuant to the Stock Purchase Agreement dated September 26, 2016, including the reporting person, entered into an amendment to the warrants. The amendment provided that the exercise price of the warrants would be reduced for a limited period of time, provided that at least $6 million of warrants was exercised during the limited period. This condition was satisfied on March 1, 2018.

F2: The transactions reported in the first two lines of Table II above report the amendment of the warrant to temporarily reduce the exercise price from $0.70 per share to $0.28 per share. The amendment is reported as the disposition of the old warrant and the acquisition of a new one. The amendment to the warrant was approved by a transaction committee consisting solely of independent directors for purposes of Rules 16b-3(d) and (e).

Past disclosures · reporting ended (2)

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

CHIMERIX INC

Report date April 21, 2025 · Filed April 21, 2025

Section 16 reporting ended · disclosed 2025-04-21. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectFred A. Middleton Separate Property Trust0 Reported balance After 2025-04-21 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2025-04-21 · Disposition to issuer · Disposed 40,000 · Balance 0

F1: Disposed of pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of March 4, 2025, by and among Chimerix, Inc. ("Chimerix"), Jazz Pharmaceuticals Public Limited Company ("Parent") and Pinetree Acquisition Sub, Inc., an indirect wholly owned subsidiary of Parent ("Purchaser"). Pursuant to the Merger Agreement, Parent and Purchaser launched a tender offer (the "Offer") for all outstanding shares of common stock of Chimerix (each, a "Share") for an offer price of $8.55 per Share in cash (the "Offer Price"), without interest and subject to reduction for any applicable withholding taxes. The Offer expired at the end of the day, one minute after 11:59 p.m. Eastern Time on April 17, 2025. [continues to Footnote 2]

F2: [continues from Footnote 1] On April 21, 2025, following the filing of the certificate of merger with the Secretary of State of the State of Delaware (the "Effective Time"), Purchaser merged with and into Chimerix, with Chimerix continuing as a surviving corporation and an indirect wholly owned subsidiary of Parent (the "Merger"). At the Effective Time , each issued and outstanding Share (other than any Excluded Shares (as such term is defined in the Merger Agreement)) was cancelled in exchange for the right to receive the Offer Price, without any interest and subject to any withholding of applicable taxes.

Common StockSEC Table I · non-derivativeIndirectMiddleton Childrens 2015 Irrevocable Trust0 Reported balance After 2025-04-21 transaction · row 2 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 2 · 2025-04-21 · Disposition to issuer · Disposed 60,000 · Balance 0

F1: Disposed of pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of March 4, 2025, by and among Chimerix, Inc. ("Chimerix"), Jazz Pharmaceuticals Public Limited Company ("Parent") and Pinetree Acquisition Sub, Inc., an indirect wholly owned subsidiary of Parent ("Purchaser"). Pursuant to the Merger Agreement, Parent and Purchaser launched a tender offer (the "Offer") for all outstanding shares of common stock of Chimerix (each, a "Share") for an offer price of $8.55 per Share in cash (the "Offer Price"), without interest and subject to reduction for any applicable withholding taxes. The Offer expired at the end of the day, one minute after 11:59 p.m. Eastern Time on April 17, 2025. [continues to Footnote 2]

F2: [continues from Footnote 1] On April 21, 2025, following the filing of the certificate of merger with the Secretary of State of the State of Delaware (the "Effective Time"), Purchaser merged with and into Chimerix, with Chimerix continuing as a surviving corporation and an indirect wholly owned subsidiary of Parent (the "Merger"). At the Effective Time , each issued and outstanding Share (other than any Excluded Shares (as such term is defined in the Merger Agreement)) was cancelled in exchange for the right to receive the Offer Price, without any interest and subject to any withholding of applicable taxes.

Common StockSEC Table I · non-derivativeIndirectSee footnote0 Reported balance After 2025-04-21 transaction · row 3 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 3 · 2025-04-21 · Disposition to issuer · Disposed 2,776,093 · Balance 0

F1: Disposed of pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of March 4, 2025, by and among Chimerix, Inc. ("Chimerix"), Jazz Pharmaceuticals Public Limited Company ("Parent") and Pinetree Acquisition Sub, Inc., an indirect wholly owned subsidiary of Parent ("Purchaser"). Pursuant to the Merger Agreement, Parent and Purchaser launched a tender offer (the "Offer") for all outstanding shares of common stock of Chimerix (each, a "Share") for an offer price of $8.55 per Share in cash (the "Offer Price"), without interest and subject to reduction for any applicable withholding taxes. The Offer expired at the end of the day, one minute after 11:59 p.m. Eastern Time on April 17, 2025. [continues to Footnote 2]

F2: [continues from Footnote 1] On April 21, 2025, following the filing of the certificate of merger with the Secretary of State of the State of Delaware (the "Effective Time"), Purchaser merged with and into Chimerix, with Chimerix continuing as a surviving corporation and an indirect wholly owned subsidiary of Parent (the "Merger"). At the Effective Time , each issued and outstanding Share (other than any Excluded Shares (as such term is defined in the Merger Agreement)) was cancelled in exchange for the right to receive the Offer Price, without any interest and subject to any withholding of applicable taxes.

F3: The securities are held as follows: 829,046 shares of common stock held by Sanderling Venture Partners V, L.P., 233,134 shares of common stock held by Sanderling V Biomedical, L.P., 155,143 shares of common stock held by Sanderling V Limited Partnership, 138,046 shares of common stock held by Sanderling V Beteiligungs GmbH & Co. KG, 199,853 shares of common stock held by Sanderling V Biomedical Co-Investment Fund, L.P., 329,682 shares of common stock held by Sanderling Venture Partners V Co-Investment Fund, L.P. and 891,189 shares of common stock held by Sanderling V Strategic Exit Fund, L.P. (collectively, the Sanderling V Shares).

F4: The Reporting Person, a director of Sanderling Ventures, may be deemed to beneficially own the Sanderling V Shares and the Sanderling VI Shares (as defined herein). The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectSee footnote0 Reported balance After 2025-04-21 transaction · row 4 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 4 · 2025-04-21 · Disposition to issuer · Disposed 531,861 · Balance 0

F1: Disposed of pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of March 4, 2025, by and among Chimerix, Inc. ("Chimerix"), Jazz Pharmaceuticals Public Limited Company ("Parent") and Pinetree Acquisition Sub, Inc., an indirect wholly owned subsidiary of Parent ("Purchaser"). Pursuant to the Merger Agreement, Parent and Purchaser launched a tender offer (the "Offer") for all outstanding shares of common stock of Chimerix (each, a "Share") for an offer price of $8.55 per Share in cash (the "Offer Price"), without interest and subject to reduction for any applicable withholding taxes. The Offer expired at the end of the day, one minute after 11:59 p.m. Eastern Time on April 17, 2025. [continues to Footnote 2]

F2: [continues from Footnote 1] On April 21, 2025, following the filing of the certificate of merger with the Secretary of State of the State of Delaware (the "Effective Time"), Purchaser merged with and into Chimerix, with Chimerix continuing as a surviving corporation and an indirect wholly owned subsidiary of Parent (the "Merger"). At the Effective Time , each issued and outstanding Share (other than any Excluded Shares (as such term is defined in the Merger Agreement)) was cancelled in exchange for the right to receive the Offer Price, without any interest and subject to any withholding of applicable taxes.

F4: The Reporting Person, a director of Sanderling Ventures, may be deemed to beneficially own the Sanderling V Shares and the Sanderling VI Shares (as defined herein). The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

F5: The securities are held as follows: 498,046 shares of common stock held by Sanderling Venture Partners VI Co-Investment Fund, L.P., 15,431 shares of common stock held by Sanderling VI Beteiligungs GmbH & Co. KG and 18,384 shares of common stock held by Sanderling VI Limited Partnership (collectively, the Sanderling VI Shares).

Common StockSEC Table I · non-derivativeDirect0 Reported balance After 2025-04-21 transaction · row 5
1 source row

Row 5 · 2025-04-21 · Disposition to issuer · Disposed 207,523 · Balance 0

F1: Disposed of pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of March 4, 2025, by and among Chimerix, Inc. ("Chimerix"), Jazz Pharmaceuticals Public Limited Company ("Parent") and Pinetree Acquisition Sub, Inc., an indirect wholly owned subsidiary of Parent ("Purchaser"). Pursuant to the Merger Agreement, Parent and Purchaser launched a tender offer (the "Offer") for all outstanding shares of common stock of Chimerix (each, a "Share") for an offer price of $8.55 per Share in cash (the "Offer Price"), without interest and subject to reduction for any applicable withholding taxes. The Offer expired at the end of the day, one minute after 11:59 p.m. Eastern Time on April 17, 2025. [continues to Footnote 2]

F2: [continues from Footnote 1] On April 21, 2025, following the filing of the certificate of merger with the Secretary of State of the State of Delaware (the "Effective Time"), Purchaser merged with and into Chimerix, with Chimerix continuing as a surviving corporation and an indirect wholly owned subsidiary of Parent (the "Merger"). At the Effective Time , each issued and outstanding Share (other than any Excluded Shares (as such term is defined in the Merger Agreement)) was cancelled in exchange for the right to receive the Offer Price, without any interest and subject to any withholding of applicable taxes.

Employee Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.25 · Expires 2028-03-27Direct0 Reported balance After 2025-04-21 transaction · row 6 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 6 · 2025-04-21 · Disposition to issuer · Disposed 42,000 · Balance 0

F6: Pursuant to the Merger Agreement, each option to purchase Shares (each, an "Option") that was outstanding and unexercised as of immediately prior to the Effective Time, which has a per share exercise price that is less than the Offer Price (an "In the Money Option"), to the extent unvested, was accelerated and became fully vested and exercisable. Each outstanding and unexercised vested option (after giving effect to the acceleration treatment set forth in the preceding sentence) at the Effective Time was cancelled and converted into the right to receive a cash payment equal to (i) the excess of (A) the Offer Price over (B) the exercise price payable per Share of such In the Money Option, multiplied by (ii) the total number of Shares subject to such In the Money Option immediately prior to the Effective Time (without regard to vesting).

Employee Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $4.82 · Expires 2028-06-19Direct0 Reported balance After 2025-04-21 transaction · row 7 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 7 · 2025-04-21 · Disposition to issuer · Disposed 21,000 · Balance 0

F6: Pursuant to the Merger Agreement, each option to purchase Shares (each, an "Option") that was outstanding and unexercised as of immediately prior to the Effective Time, which has a per share exercise price that is less than the Offer Price (an "In the Money Option"), to the extent unvested, was accelerated and became fully vested and exercisable. Each outstanding and unexercised vested option (after giving effect to the acceleration treatment set forth in the preceding sentence) at the Effective Time was cancelled and converted into the right to receive a cash payment equal to (i) the excess of (A) the Offer Price over (B) the exercise price payable per Share of such In the Money Option, multiplied by (ii) the total number of Shares subject to such In the Money Option immediately prior to the Effective Time (without regard to vesting).

Employee Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.37 · Expires 2029-06-19Direct0 Reported balance After 2025-04-21 transaction · row 8 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 8 · 2025-04-21 · Disposition to issuer · Disposed 21,000 · Balance 0

F6: Pursuant to the Merger Agreement, each option to purchase Shares (each, an "Option") that was outstanding and unexercised as of immediately prior to the Effective Time, which has a per share exercise price that is less than the Offer Price (an "In the Money Option"), to the extent unvested, was accelerated and became fully vested and exercisable. Each outstanding and unexercised vested option (after giving effect to the acceleration treatment set forth in the preceding sentence) at the Effective Time was cancelled and converted into the right to receive a cash payment equal to (i) the excess of (A) the Offer Price over (B) the exercise price payable per Share of such In the Money Option, multiplied by (ii) the total number of Shares subject to such In the Money Option immediately prior to the Effective Time (without regard to vesting).

Employee Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.85 · Expires 2030-06-10Direct0 Reported balance After 2025-04-21 transaction · row 9 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 9 · 2025-04-21 · Disposition to issuer · Disposed 35,000 · Balance 0

F6: Pursuant to the Merger Agreement, each option to purchase Shares (each, an "Option") that was outstanding and unexercised as of immediately prior to the Effective Time, which has a per share exercise price that is less than the Offer Price (an "In the Money Option"), to the extent unvested, was accelerated and became fully vested and exercisable. Each outstanding and unexercised vested option (after giving effect to the acceleration treatment set forth in the preceding sentence) at the Effective Time was cancelled and converted into the right to receive a cash payment equal to (i) the excess of (A) the Offer Price over (B) the exercise price payable per Share of such In the Money Option, multiplied by (ii) the total number of Shares subject to such In the Money Option immediately prior to the Effective Time (without regard to vesting).

Employee Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $7.84 · Expires 2031-06-22Direct0 Reported balance After 2025-04-21 transaction · row 10 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 10 · 2025-04-21 · Disposition to issuer · Disposed 35,000 · Balance 0

F6: Pursuant to the Merger Agreement, each option to purchase Shares (each, an "Option") that was outstanding and unexercised as of immediately prior to the Effective Time, which has a per share exercise price that is less than the Offer Price (an "In the Money Option"), to the extent unvested, was accelerated and became fully vested and exercisable. Each outstanding and unexercised vested option (after giving effect to the acceleration treatment set forth in the preceding sentence) at the Effective Time was cancelled and converted into the right to receive a cash payment equal to (i) the excess of (A) the Offer Price over (B) the exercise price payable per Share of such In the Money Option, multiplied by (ii) the total number of Shares subject to such In the Money Option immediately prior to the Effective Time (without regard to vesting).

Employee Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.82 · Expires 2032-06-22Direct0 Reported balance After 2025-04-21 transaction · row 11 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 11 · 2025-04-21 · Disposition to issuer · Disposed 50,000 · Balance 0

F6: Pursuant to the Merger Agreement, each option to purchase Shares (each, an "Option") that was outstanding and unexercised as of immediately prior to the Effective Time, which has a per share exercise price that is less than the Offer Price (an "In the Money Option"), to the extent unvested, was accelerated and became fully vested and exercisable. Each outstanding and unexercised vested option (after giving effect to the acceleration treatment set forth in the preceding sentence) at the Effective Time was cancelled and converted into the right to receive a cash payment equal to (i) the excess of (A) the Offer Price over (B) the exercise price payable per Share of such In the Money Option, multiplied by (ii) the total number of Shares subject to such In the Money Option immediately prior to the Effective Time (without regard to vesting).

Employee Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.39 · Expires 2033-06-08Direct0 Reported balance After 2025-04-21 transaction · row 12 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 12 · 2025-04-21 · Disposition to issuer · Disposed 60,000 · Balance 0

F6: Pursuant to the Merger Agreement, each option to purchase Shares (each, an "Option") that was outstanding and unexercised as of immediately prior to the Effective Time, which has a per share exercise price that is less than the Offer Price (an "In the Money Option"), to the extent unvested, was accelerated and became fully vested and exercisable. Each outstanding and unexercised vested option (after giving effect to the acceleration treatment set forth in the preceding sentence) at the Effective Time was cancelled and converted into the right to receive a cash payment equal to (i) the excess of (A) the Offer Price over (B) the exercise price payable per Share of such In the Money Option, multiplied by (ii) the total number of Shares subject to such In the Money Option immediately prior to the Effective Time (without regard to vesting).

Employee Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.89 · Expires 2034-06-19Direct0 Reported balance After 2025-04-21 transaction · row 13 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 13 · 2025-04-21 · Disposition to issuer · Disposed 60,000 · Balance 0

F6: Pursuant to the Merger Agreement, each option to purchase Shares (each, an "Option") that was outstanding and unexercised as of immediately prior to the Effective Time, which has a per share exercise price that is less than the Offer Price (an "In the Money Option"), to the extent unvested, was accelerated and became fully vested and exercisable. Each outstanding and unexercised vested option (after giving effect to the acceleration treatment set forth in the preceding sentence) at the Effective Time was cancelled and converted into the right to receive a cash payment equal to (i) the excess of (A) the Offer Price over (B) the exercise price payable per Share of such In the Money Option, multiplied by (ii) the total number of Shares subject to such In the Money Option immediately prior to the Effective Time (without regard to vesting).

Filing footnotes · ownership attribution and instrument terms

F1: Disposed of pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of March 4, 2025, by and among Chimerix, Inc. ("Chimerix"), Jazz Pharmaceuticals Public Limited Company ("Parent") and Pinetree Acquisition Sub, Inc., an indirect wholly owned subsidiary of Parent ("Purchaser"). Pursuant to the Merger Agreement, Parent and Purchaser launched a tender offer (the "Offer") for all outstanding shares of common stock of Chimerix (each, a "Share") for an offer price of $8.55 per Share in cash (the "Offer Price"), without interest and subject to reduction for any applicable withholding taxes. The Offer expired at the end of the day, one minute after 11:59 p.m. Eastern Time on April 17, 2025. [continues to Footnote 2]

F2: [continues from Footnote 1] On April 21, 2025, following the filing of the certificate of merger with the Secretary of State of the State of Delaware (the "Effective Time"), Purchaser merged with and into Chimerix, with Chimerix continuing as a surviving corporation and an indirect wholly owned subsidiary of Parent (the "Merger"). At the Effective Time , each issued and outstanding Share (other than any Excluded Shares (as such term is defined in the Merger Agreement)) was cancelled in exchange for the right to receive the Offer Price, without any interest and subject to any withholding of applicable taxes.

F3: The securities are held as follows: 829,046 shares of common stock held by Sanderling Venture Partners V, L.P., 233,134 shares of common stock held by Sanderling V Biomedical, L.P., 155,143 shares of common stock held by Sanderling V Limited Partnership, 138,046 shares of common stock held by Sanderling V Beteiligungs GmbH & Co. KG, 199,853 shares of common stock held by Sanderling V Biomedical Co-Investment Fund, L.P., 329,682 shares of common stock held by Sanderling Venture Partners V Co-Investment Fund, L.P. and 891,189 shares of common stock held by Sanderling V Strategic Exit Fund, L.P. (collectively, the Sanderling V Shares).

F4: The Reporting Person, a director of Sanderling Ventures, may be deemed to beneficially own the Sanderling V Shares and the Sanderling VI Shares (as defined herein). The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

F5: The securities are held as follows: 498,046 shares of common stock held by Sanderling Venture Partners VI Co-Investment Fund, L.P., 15,431 shares of common stock held by Sanderling VI Beteiligungs GmbH & Co. KG and 18,384 shares of common stock held by Sanderling VI Limited Partnership (collectively, the Sanderling VI Shares).

F6: Pursuant to the Merger Agreement, each option to purchase Shares (each, an "Option") that was outstanding and unexercised as of immediately prior to the Effective Time, which has a per share exercise price that is less than the Offer Price (an "In the Money Option"), to the extent unvested, was accelerated and became fully vested and exercisable. Each outstanding and unexercised vested option (after giving effect to the acceleration treatment set forth in the preceding sentence) at the Effective Time was cancelled and converted into the right to receive a cash payment equal to (i) the excess of (A) the Offer Price over (B) the exercise price payable per Share of such In the Money Option, multiplied by (ii) the total number of Shares subject to such In the Money Option immediately prior to the Effective Time (without regard to vesting).

ENDOCYTE INC

Report date December 21, 2018 · Filed December 21, 2018

Section 16 reporting ended · disclosed 2018-12-21. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect113,489 Reported balance After 2018-12-11 transaction · row 1 Sequence does not reconcile; account continuity is unresolved.
1 source row

Row 1 · 2018-12-11 · Gift · Disposed 83,860 · Balance 113,489

F1: Represents a gift of 83,860 shares to a non-profit organization.

Common StockSEC Table I · non-derivativeDirect0 Reported balance After 2018-12-21 transaction · row 2 Sequence does not reconcile; account continuity is unresolved.
1 source row

Row 2 · 2018-12-21 · Disposition to issuer · Disposed 110,189 · Balance 0

F2: Pursuant to the Agreement and Plan of Merger, dated as of October 17, 2018 (the "Merger Agreement"), by and among Endocyte, Inc. (the "Company"), Novartis AG ("Novartis") and Edinburgh Merger Corporation, a wholly owned subsidiary of Novartis ("Merger Sub"), at the effective time (the "Effective Time") of the merger of Merger Sub with and into the Company, which Effective Time occurred on December 21, 2018, each share of Company common stock was converted into the right to receive an amount in cash equal to $24.00, without interest and less any applicable withholding taxes.

Common StockSEC Table I · non-derivativeDirect0 Reported balance After 2018-12-21 transaction · row 3 Sequence does not reconcile; account continuity is unresolved.
1 source row

Row 3 · 2018-12-21 · Disposition to issuer · Disposed 3,300 · Balance 0

F3: This restricted stock unit ("RSU") award provided for vesting and settlement 100% on the business day prior to the Company's annual stockholder meeting following May 3, 2018 in the form of one share of Company common stock for each RSU. Pursuant to the Merger Agreement, at the Effective Time, each RSU outstanding immediately prior to the Effective Time was canceled and converted into the right to receive an amount in cash, without interest, equal to $24.00, multiplied by the number of shares of Company common stock subject to such RSU, less any applicable withholding taxes.

Common StockSEC Table I · non-derivativeIndirectBy Sanderling Venture Partners V, L.P.0 Reported balance After 2018-12-21 transaction · row 4 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 4 · 2018-12-21 · Disposition to issuer · Disposed 1,017,304 · Balance 0

F2: Pursuant to the Agreement and Plan of Merger, dated as of October 17, 2018 (the "Merger Agreement"), by and among Endocyte, Inc. (the "Company"), Novartis AG ("Novartis") and Edinburgh Merger Corporation, a wholly owned subsidiary of Novartis ("Merger Sub"), at the effective time (the "Effective Time") of the merger of Merger Sub with and into the Company, which Effective Time occurred on December 21, 2018, each share of Company common stock was converted into the right to receive an amount in cash equal to $24.00, without interest and less any applicable withholding taxes.

F4: Mr. Middleton disclaims beneficial ownership of the shares directly held by the entities affiliated with Sanderling except to the extent of his individual pecuniary interest therein.

F5: Fred Middleton is a managing director of Middleton, McNeil & Mills Associates V, LLC which has the ultimate voting and investment power over shares held of record by Sanderling V Beteiligungs GmbH & Co. KG, Sanderling V Biomedical Co-Investment Fund, L.P., Sanderling V Biomedical, L.P., Sanderling V Limited Partnership, Sanderling Venture Partners V, L.P., Sanderling Venture Partners VI Co-Investment Fund, L.P., Sanderling VI Beteiligungs GmbH and Co. KG, Sanderling VI Limited Partnership and Sanderling V Strategic Exit Fund, L.P. and he may be deemed to have voting and investment power over shares held of record by Sanderling V Beteiligungs GmbH & Co. KG, Sanderling V Biomedical Co-Investment Fund, L.P., Sanderling V Biomedical, L.P., Sanderling V Limited Partnership, Sanderling Venture Partners V, L.P., Sanderling Venture Partners VI Co-Investment Fund, L.P., Sanderling VI Beteiligungs GmbH and Co. KG, Sanderling V Strategic Exit Fund, L.P. and Sanderling VI Limited Partnership.

Common StockSEC Table I · non-derivativeIndirectBy Sanderling Venture Partners VI Co-Investment Fund, L.P.0 Reported balance After 2018-12-21 transaction · row 5 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 5 · 2018-12-21 · Disposition to issuer · Disposed 1,212,413 · Balance 0

F2: Pursuant to the Agreement and Plan of Merger, dated as of October 17, 2018 (the "Merger Agreement"), by and among Endocyte, Inc. (the "Company"), Novartis AG ("Novartis") and Edinburgh Merger Corporation, a wholly owned subsidiary of Novartis ("Merger Sub"), at the effective time (the "Effective Time") of the merger of Merger Sub with and into the Company, which Effective Time occurred on December 21, 2018, each share of Company common stock was converted into the right to receive an amount in cash equal to $24.00, without interest and less any applicable withholding taxes.

F4: Mr. Middleton disclaims beneficial ownership of the shares directly held by the entities affiliated with Sanderling except to the extent of his individual pecuniary interest therein.

F5: Fred Middleton is a managing director of Middleton, McNeil & Mills Associates V, LLC which has the ultimate voting and investment power over shares held of record by Sanderling V Beteiligungs GmbH & Co. KG, Sanderling V Biomedical Co-Investment Fund, L.P., Sanderling V Biomedical, L.P., Sanderling V Limited Partnership, Sanderling Venture Partners V, L.P., Sanderling Venture Partners VI Co-Investment Fund, L.P., Sanderling VI Beteiligungs GmbH and Co. KG, Sanderling VI Limited Partnership and Sanderling V Strategic Exit Fund, L.P. and he may be deemed to have voting and investment power over shares held of record by Sanderling V Beteiligungs GmbH & Co. KG, Sanderling V Biomedical Co-Investment Fund, L.P., Sanderling V Biomedical, L.P., Sanderling V Limited Partnership, Sanderling Venture Partners V, L.P., Sanderling Venture Partners VI Co-Investment Fund, L.P., Sanderling VI Beteiligungs GmbH and Co. KG, Sanderling V Strategic Exit Fund, L.P. and Sanderling VI Limited Partnership.

Common StockSEC Table I · non-derivativeIndirectBy Sanderling Venture Partners V Co-Investment Fund, L.P.0 Reported balance After 2018-12-21 transaction · row 6 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 6 · 2018-12-21 · Disposition to issuer · Disposed 267,491 · Balance 0

F2: Pursuant to the Agreement and Plan of Merger, dated as of October 17, 2018 (the "Merger Agreement"), by and among Endocyte, Inc. (the "Company"), Novartis AG ("Novartis") and Edinburgh Merger Corporation, a wholly owned subsidiary of Novartis ("Merger Sub"), at the effective time (the "Effective Time") of the merger of Merger Sub with and into the Company, which Effective Time occurred on December 21, 2018, each share of Company common stock was converted into the right to receive an amount in cash equal to $24.00, without interest and less any applicable withholding taxes.

F4: Mr. Middleton disclaims beneficial ownership of the shares directly held by the entities affiliated with Sanderling except to the extent of his individual pecuniary interest therein.

F6: Fred Middleton is a managing director of Middleton, McNeil & Mills Associate V, LLC which has the ultimate voting and investment power over shares held of record by Sanderling Venture Partners V Co-Investment Fund, L.P. and he may be deemed to have voting and investment power over shares of record by Sanderling Venture Partners V Co-Investment Fund, L.P.

Common StockSEC Table I · non-derivativeIndirectBy Sanderling V Biomedical, L.P.0 Reported balance After 2018-12-21 transaction · row 7 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 7 · 2018-12-21 · Disposition to issuer · Disposed 249,148 · Balance 0

F2: Pursuant to the Agreement and Plan of Merger, dated as of October 17, 2018 (the "Merger Agreement"), by and among Endocyte, Inc. (the "Company"), Novartis AG ("Novartis") and Edinburgh Merger Corporation, a wholly owned subsidiary of Novartis ("Merger Sub"), at the effective time (the "Effective Time") of the merger of Merger Sub with and into the Company, which Effective Time occurred on December 21, 2018, each share of Company common stock was converted into the right to receive an amount in cash equal to $24.00, without interest and less any applicable withholding taxes.

F4: Mr. Middleton disclaims beneficial ownership of the shares directly held by the entities affiliated with Sanderling except to the extent of his individual pecuniary interest therein.

F5: Fred Middleton is a managing director of Middleton, McNeil & Mills Associates V, LLC which has the ultimate voting and investment power over shares held of record by Sanderling V Beteiligungs GmbH & Co. KG, Sanderling V Biomedical Co-Investment Fund, L.P., Sanderling V Biomedical, L.P., Sanderling V Limited Partnership, Sanderling Venture Partners V, L.P., Sanderling Venture Partners VI Co-Investment Fund, L.P., Sanderling VI Beteiligungs GmbH and Co. KG, Sanderling VI Limited Partnership and Sanderling V Strategic Exit Fund, L.P. and he may be deemed to have voting and investment power over shares held of record by Sanderling V Beteiligungs GmbH & Co. KG, Sanderling V Biomedical Co-Investment Fund, L.P., Sanderling V Biomedical, L.P., Sanderling V Limited Partnership, Sanderling Venture Partners V, L.P., Sanderling Venture Partners VI Co-Investment Fund, L.P., Sanderling VI Beteiligungs GmbH and Co. KG, Sanderling V Strategic Exit Fund, L.P. and Sanderling VI Limited Partnership.

Common StockSEC Table I · non-derivativeIndirectBy Sanderling V Biomedical Co-Investment Fund, L.P.0 Reported balance After 2018-12-21 transaction · row 8 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 8 · 2018-12-21 · Disposition to issuer · Disposed 162,170 · Balance 0

F2: Pursuant to the Agreement and Plan of Merger, dated as of October 17, 2018 (the "Merger Agreement"), by and among Endocyte, Inc. (the "Company"), Novartis AG ("Novartis") and Edinburgh Merger Corporation, a wholly owned subsidiary of Novartis ("Merger Sub"), at the effective time (the "Effective Time") of the merger of Merger Sub with and into the Company, which Effective Time occurred on December 21, 2018, each share of Company common stock was converted into the right to receive an amount in cash equal to $24.00, without interest and less any applicable withholding taxes.

F4: Mr. Middleton disclaims beneficial ownership of the shares directly held by the entities affiliated with Sanderling except to the extent of his individual pecuniary interest therein.

F5: Fred Middleton is a managing director of Middleton, McNeil & Mills Associates V, LLC which has the ultimate voting and investment power over shares held of record by Sanderling V Beteiligungs GmbH & Co. KG, Sanderling V Biomedical Co-Investment Fund, L.P., Sanderling V Biomedical, L.P., Sanderling V Limited Partnership, Sanderling Venture Partners V, L.P., Sanderling Venture Partners VI Co-Investment Fund, L.P., Sanderling VI Beteiligungs GmbH and Co. KG, Sanderling VI Limited Partnership and Sanderling V Strategic Exit Fund, L.P. and he may be deemed to have voting and investment power over shares held of record by Sanderling V Beteiligungs GmbH & Co. KG, Sanderling V Biomedical Co-Investment Fund, L.P., Sanderling V Biomedical, L.P., Sanderling V Limited Partnership, Sanderling Venture Partners V, L.P., Sanderling Venture Partners VI Co-Investment Fund, L.P., Sanderling VI Beteiligungs GmbH and Co. KG, Sanderling V Strategic Exit Fund, L.P. and Sanderling VI Limited Partnership.

Common StockSEC Table I · non-derivativeIndirectBy Sanderling V Limited Partnership0 Reported balance After 2018-12-21 transaction · row 9 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 9 · 2018-12-21 · Disposition to issuer · Disposed 113,315 · Balance 0

F2: Pursuant to the Agreement and Plan of Merger, dated as of October 17, 2018 (the "Merger Agreement"), by and among Endocyte, Inc. (the "Company"), Novartis AG ("Novartis") and Edinburgh Merger Corporation, a wholly owned subsidiary of Novartis ("Merger Sub"), at the effective time (the "Effective Time") of the merger of Merger Sub with and into the Company, which Effective Time occurred on December 21, 2018, each share of Company common stock was converted into the right to receive an amount in cash equal to $24.00, without interest and less any applicable withholding taxes.

F4: Mr. Middleton disclaims beneficial ownership of the shares directly held by the entities affiliated with Sanderling except to the extent of his individual pecuniary interest therein.

F5: Fred Middleton is a managing director of Middleton, McNeil & Mills Associates V, LLC which has the ultimate voting and investment power over shares held of record by Sanderling V Beteiligungs GmbH & Co. KG, Sanderling V Biomedical Co-Investment Fund, L.P., Sanderling V Biomedical, L.P., Sanderling V Limited Partnership, Sanderling Venture Partners V, L.P., Sanderling Venture Partners VI Co-Investment Fund, L.P., Sanderling VI Beteiligungs GmbH and Co. KG, Sanderling VI Limited Partnership and Sanderling V Strategic Exit Fund, L.P. and he may be deemed to have voting and investment power over shares held of record by Sanderling V Beteiligungs GmbH & Co. KG, Sanderling V Biomedical Co-Investment Fund, L.P., Sanderling V Biomedical, L.P., Sanderling V Limited Partnership, Sanderling Venture Partners V, L.P., Sanderling Venture Partners VI Co-Investment Fund, L.P., Sanderling VI Beteiligungs GmbH and Co. KG, Sanderling V Strategic Exit Fund, L.P. and Sanderling VI Limited Partnership.

Common StockSEC Table I · non-derivativeIndirectBy Sanderling V Beteiligungs GmbH & Co. KG0 Reported balance After 2018-12-21 transaction · row 10 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 10 · 2018-12-21 · Disposition to issuer · Disposed 100,828 · Balance 0

F2: Pursuant to the Agreement and Plan of Merger, dated as of October 17, 2018 (the "Merger Agreement"), by and among Endocyte, Inc. (the "Company"), Novartis AG ("Novartis") and Edinburgh Merger Corporation, a wholly owned subsidiary of Novartis ("Merger Sub"), at the effective time (the "Effective Time") of the merger of Merger Sub with and into the Company, which Effective Time occurred on December 21, 2018, each share of Company common stock was converted into the right to receive an amount in cash equal to $24.00, without interest and less any applicable withholding taxes.

F4: Mr. Middleton disclaims beneficial ownership of the shares directly held by the entities affiliated with Sanderling except to the extent of his individual pecuniary interest therein.

F5: Fred Middleton is a managing director of Middleton, McNeil & Mills Associates V, LLC which has the ultimate voting and investment power over shares held of record by Sanderling V Beteiligungs GmbH & Co. KG, Sanderling V Biomedical Co-Investment Fund, L.P., Sanderling V Biomedical, L.P., Sanderling V Limited Partnership, Sanderling Venture Partners V, L.P., Sanderling Venture Partners VI Co-Investment Fund, L.P., Sanderling VI Beteiligungs GmbH and Co. KG, Sanderling VI Limited Partnership and Sanderling V Strategic Exit Fund, L.P. and he may be deemed to have voting and investment power over shares held of record by Sanderling V Beteiligungs GmbH & Co. KG, Sanderling V Biomedical Co-Investment Fund, L.P., Sanderling V Biomedical, L.P., Sanderling V Limited Partnership, Sanderling Venture Partners V, L.P., Sanderling Venture Partners VI Co-Investment Fund, L.P., Sanderling VI Beteiligungs GmbH and Co. KG, Sanderling V Strategic Exit Fund, L.P. and Sanderling VI Limited Partnership.

Common StockSEC Table I · non-derivativeIndirectBy Sanderling VI Limited Partnership0 Reported balance After 2018-12-21 transaction · row 11 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 11 · 2018-12-21 · Disposition to issuer · Disposed 10,049 · Balance 0

F2: Pursuant to the Agreement and Plan of Merger, dated as of October 17, 2018 (the "Merger Agreement"), by and among Endocyte, Inc. (the "Company"), Novartis AG ("Novartis") and Edinburgh Merger Corporation, a wholly owned subsidiary of Novartis ("Merger Sub"), at the effective time (the "Effective Time") of the merger of Merger Sub with and into the Company, which Effective Time occurred on December 21, 2018, each share of Company common stock was converted into the right to receive an amount in cash equal to $24.00, without interest and less any applicable withholding taxes.

F4: Mr. Middleton disclaims beneficial ownership of the shares directly held by the entities affiliated with Sanderling except to the extent of his individual pecuniary interest therein.

F5: Fred Middleton is a managing director of Middleton, McNeil & Mills Associates V, LLC which has the ultimate voting and investment power over shares held of record by Sanderling V Beteiligungs GmbH & Co. KG, Sanderling V Biomedical Co-Investment Fund, L.P., Sanderling V Biomedical, L.P., Sanderling V Limited Partnership, Sanderling Venture Partners V, L.P., Sanderling Venture Partners VI Co-Investment Fund, L.P., Sanderling VI Beteiligungs GmbH and Co. KG, Sanderling VI Limited Partnership and Sanderling V Strategic Exit Fund, L.P. and he may be deemed to have voting and investment power over shares held of record by Sanderling V Beteiligungs GmbH & Co. KG, Sanderling V Biomedical Co-Investment Fund, L.P., Sanderling V Biomedical, L.P., Sanderling V Limited Partnership, Sanderling Venture Partners V, L.P., Sanderling Venture Partners VI Co-Investment Fund, L.P., Sanderling VI Beteiligungs GmbH and Co. KG, Sanderling V Strategic Exit Fund, L.P. and Sanderling VI Limited Partnership.

Common StockSEC Table I · non-derivativeIndirectBy Sanderling VI Beteiligungs GmbH & Co. KG0 Reported balance After 2018-12-21 transaction · row 12 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 12 · 2018-12-21 · Disposition to issuer · Disposed 8,434 · Balance 0

F2: Pursuant to the Agreement and Plan of Merger, dated as of October 17, 2018 (the "Merger Agreement"), by and among Endocyte, Inc. (the "Company"), Novartis AG ("Novartis") and Edinburgh Merger Corporation, a wholly owned subsidiary of Novartis ("Merger Sub"), at the effective time (the "Effective Time") of the merger of Merger Sub with and into the Company, which Effective Time occurred on December 21, 2018, each share of Company common stock was converted into the right to receive an amount in cash equal to $24.00, without interest and less any applicable withholding taxes.

F4: Mr. Middleton disclaims beneficial ownership of the shares directly held by the entities affiliated with Sanderling except to the extent of his individual pecuniary interest therein.

F5: Fred Middleton is a managing director of Middleton, McNeil & Mills Associates V, LLC which has the ultimate voting and investment power over shares held of record by Sanderling V Beteiligungs GmbH & Co. KG, Sanderling V Biomedical Co-Investment Fund, L.P., Sanderling V Biomedical, L.P., Sanderling V Limited Partnership, Sanderling Venture Partners V, L.P., Sanderling Venture Partners VI Co-Investment Fund, L.P., Sanderling VI Beteiligungs GmbH and Co. KG, Sanderling VI Limited Partnership and Sanderling V Strategic Exit Fund, L.P. and he may be deemed to have voting and investment power over shares held of record by Sanderling V Beteiligungs GmbH & Co. KG, Sanderling V Biomedical Co-Investment Fund, L.P., Sanderling V Biomedical, L.P., Sanderling V Limited Partnership, Sanderling Venture Partners V, L.P., Sanderling Venture Partners VI Co-Investment Fund, L.P., Sanderling VI Beteiligungs GmbH and Co. KG, Sanderling V Strategic Exit Fund, L.P. and Sanderling VI Limited Partnership.

Common StockSEC Table I · non-derivativeIndirectBy Sanderling V Strategic Exit Fund, L.P.0 Reported balance After 2018-12-21 transaction · row 13 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 13 · 2018-12-21 · Disposition to issuer · Disposed 904,465 · Balance 0

F2: Pursuant to the Agreement and Plan of Merger, dated as of October 17, 2018 (the "Merger Agreement"), by and among Endocyte, Inc. (the "Company"), Novartis AG ("Novartis") and Edinburgh Merger Corporation, a wholly owned subsidiary of Novartis ("Merger Sub"), at the effective time (the "Effective Time") of the merger of Merger Sub with and into the Company, which Effective Time occurred on December 21, 2018, each share of Company common stock was converted into the right to receive an amount in cash equal to $24.00, without interest and less any applicable withholding taxes.

F4: Mr. Middleton disclaims beneficial ownership of the shares directly held by the entities affiliated with Sanderling except to the extent of his individual pecuniary interest therein.

F5: Fred Middleton is a managing director of Middleton, McNeil & Mills Associates V, LLC which has the ultimate voting and investment power over shares held of record by Sanderling V Beteiligungs GmbH & Co. KG, Sanderling V Biomedical Co-Investment Fund, L.P., Sanderling V Biomedical, L.P., Sanderling V Limited Partnership, Sanderling Venture Partners V, L.P., Sanderling Venture Partners VI Co-Investment Fund, L.P., Sanderling VI Beteiligungs GmbH and Co. KG, Sanderling VI Limited Partnership and Sanderling V Strategic Exit Fund, L.P. and he may be deemed to have voting and investment power over shares held of record by Sanderling V Beteiligungs GmbH & Co. KG, Sanderling V Biomedical Co-Investment Fund, L.P., Sanderling V Biomedical, L.P., Sanderling V Limited Partnership, Sanderling Venture Partners V, L.P., Sanderling Venture Partners VI Co-Investment Fund, L.P., Sanderling VI Beteiligungs GmbH and Co. KG, Sanderling V Strategic Exit Fund, L.P. and Sanderling VI Limited Partnership.

Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $6.00 · Expires 2021-02-09Direct0 Reported balance After 2018-12-21 transaction · row 14 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 14 · 2018-12-21 · Disposition to issuer · Disposed 15,706 · Balance 0

F7: This Company stock option was fully vested immediately prior to the Effective Time. Pursuant to the Merger Agreement, at the Effective Time, each Company stock option that was outstanding immediately prior to the Effective Time was canceled and converted into the right to receive an amount in cash, without interest, equal to the excess of $24.00 over the exercise price with respect to such stock option, multiplied by the number of shares of Company common stock subject to such stock option, less any applicable withholding taxes.

Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $11.80 · Expires 2021-05-26Direct0 Reported balance After 2018-12-21 transaction · row 15 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 15 · 2018-12-21 · Disposition to issuer · Disposed 10,000 · Balance 0

F7: This Company stock option was fully vested immediately prior to the Effective Time. Pursuant to the Merger Agreement, at the Effective Time, each Company stock option that was outstanding immediately prior to the Effective Time was canceled and converted into the right to receive an amount in cash, without interest, equal to the excess of $24.00 over the exercise price with respect to such stock option, multiplied by the number of shares of Company common stock subject to such stock option, less any applicable withholding taxes.

Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $6.43 · Expires 2022-05-31Direct0 Reported balance After 2018-12-21 transaction · row 16 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 16 · 2018-12-21 · Disposition to issuer · Disposed 10,000 · Balance 0

F7: This Company stock option was fully vested immediately prior to the Effective Time. Pursuant to the Merger Agreement, at the Effective Time, each Company stock option that was outstanding immediately prior to the Effective Time was canceled and converted into the right to receive an amount in cash, without interest, equal to the excess of $24.00 over the exercise price with respect to such stock option, multiplied by the number of shares of Company common stock subject to such stock option, less any applicable withholding taxes.

Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $12.94 · Expires 2023-06-19Direct0 Reported balance After 2018-12-21 transaction · row 17 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 17 · 2018-12-21 · Disposition to issuer · Disposed 14,000 · Balance 0

F7: This Company stock option was fully vested immediately prior to the Effective Time. Pursuant to the Merger Agreement, at the Effective Time, each Company stock option that was outstanding immediately prior to the Effective Time was canceled and converted into the right to receive an amount in cash, without interest, equal to the excess of $24.00 over the exercise price with respect to such stock option, multiplied by the number of shares of Company common stock subject to such stock option, less any applicable withholding taxes.

Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $6.69 · Expires 2024-05-15Direct0 Reported balance After 2018-12-21 transaction · row 18 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 18 · 2018-12-21 · Disposition to issuer · Disposed 14,000 · Balance 0

F7: This Company stock option was fully vested immediately prior to the Effective Time. Pursuant to the Merger Agreement, at the Effective Time, each Company stock option that was outstanding immediately prior to the Effective Time was canceled and converted into the right to receive an amount in cash, without interest, equal to the excess of $24.00 over the exercise price with respect to such stock option, multiplied by the number of shares of Company common stock subject to such stock option, less any applicable withholding taxes.

Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $6.02 · Expires 2025-05-14Direct0 Reported balance After 2018-12-21 transaction · row 19 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 19 · 2018-12-21 · Disposition to issuer · Disposed 13,500 · Balance 0

F7: This Company stock option was fully vested immediately prior to the Effective Time. Pursuant to the Merger Agreement, at the Effective Time, each Company stock option that was outstanding immediately prior to the Effective Time was canceled and converted into the right to receive an amount in cash, without interest, equal to the excess of $24.00 over the exercise price with respect to such stock option, multiplied by the number of shares of Company common stock subject to such stock option, less any applicable withholding taxes.

Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.35 · Expires 2026-05-05Direct0 Reported balance After 2018-12-21 transaction · row 20 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 20 · 2018-12-21 · Disposition to issuer · Disposed 13,500 · Balance 0

F7: This Company stock option was fully vested immediately prior to the Effective Time. Pursuant to the Merger Agreement, at the Effective Time, each Company stock option that was outstanding immediately prior to the Effective Time was canceled and converted into the right to receive an amount in cash, without interest, equal to the excess of $24.00 over the exercise price with respect to such stock option, multiplied by the number of shares of Company common stock subject to such stock option, less any applicable withholding taxes.

Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.27 · Expires 2027-05-04Direct0 Reported balance After 2018-12-21 transaction · row 21 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 21 · 2018-12-21 · Disposition to issuer · Disposed 19,500 · Balance 0

F7: This Company stock option was fully vested immediately prior to the Effective Time. Pursuant to the Merger Agreement, at the Effective Time, each Company stock option that was outstanding immediately prior to the Effective Time was canceled and converted into the right to receive an amount in cash, without interest, equal to the excess of $24.00 over the exercise price with respect to such stock option, multiplied by the number of shares of Company common stock subject to such stock option, less any applicable withholding taxes.

Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $10.81 · Expires 2028-05-03Direct0 Reported balance After 2018-12-21 transaction · row 22 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 22 · 2018-12-21 · Disposition to issuer · Disposed 19,500 · Balance 0

F8: This Company stock option was scheduled to vest 100% on the business day prior to the Company's annual stockholder meeting following May 3, 2018. Pursuant to the Merger Agreement, at the Effective Time, each Company stock option that was outstanding immediately prior to the Effective Time was canceled and converted into the right to receive an amount in cash, without interest, equal to the excess of $24.00 over the exercise price with respect to such stock option, multiplied by the number of shares of Company common stock subject to such stock option, less any applicable withholding taxes.

Filing footnotes · ownership attribution and instrument terms

F1: Represents a gift of 83,860 shares to a non-profit organization.

F2: Pursuant to the Agreement and Plan of Merger, dated as of October 17, 2018 (the "Merger Agreement"), by and among Endocyte, Inc. (the "Company"), Novartis AG ("Novartis") and Edinburgh Merger Corporation, a wholly owned subsidiary of Novartis ("Merger Sub"), at the effective time (the "Effective Time") of the merger of Merger Sub with and into the Company, which Effective Time occurred on December 21, 2018, each share of Company common stock was converted into the right to receive an amount in cash equal to $24.00, without interest and less any applicable withholding taxes.

F3: This restricted stock unit ("RSU") award provided for vesting and settlement 100% on the business day prior to the Company's annual stockholder meeting following May 3, 2018 in the form of one share of Company common stock for each RSU. Pursuant to the Merger Agreement, at the Effective Time, each RSU outstanding immediately prior to the Effective Time was canceled and converted into the right to receive an amount in cash, without interest, equal to $24.00, multiplied by the number of shares of Company common stock subject to such RSU, less any applicable withholding taxes.

F4: Mr. Middleton disclaims beneficial ownership of the shares directly held by the entities affiliated with Sanderling except to the extent of his individual pecuniary interest therein.

F5: Fred Middleton is a managing director of Middleton, McNeil & Mills Associates V, LLC which has the ultimate voting and investment power over shares held of record by Sanderling V Beteiligungs GmbH & Co. KG, Sanderling V Biomedical Co-Investment Fund, L.P., Sanderling V Biomedical, L.P., Sanderling V Limited Partnership, Sanderling Venture Partners V, L.P., Sanderling Venture Partners VI Co-Investment Fund, L.P., Sanderling VI Beteiligungs GmbH and Co. KG, Sanderling VI Limited Partnership and Sanderling V Strategic Exit Fund, L.P. and he may be deemed to have voting and investment power over shares held of record by Sanderling V Beteiligungs GmbH & Co. KG, Sanderling V Biomedical Co-Investment Fund, L.P., Sanderling V Biomedical, L.P., Sanderling V Limited Partnership, Sanderling Venture Partners V, L.P., Sanderling Venture Partners VI Co-Investment Fund, L.P., Sanderling VI Beteiligungs GmbH and Co. KG, Sanderling V Strategic Exit Fund, L.P. and Sanderling VI Limited Partnership.

F6: Fred Middleton is a managing director of Middleton, McNeil & Mills Associate V, LLC which has the ultimate voting and investment power over shares held of record by Sanderling Venture Partners V Co-Investment Fund, L.P. and he may be deemed to have voting and investment power over shares of record by Sanderling Venture Partners V Co-Investment Fund, L.P.

F7: This Company stock option was fully vested immediately prior to the Effective Time. Pursuant to the Merger Agreement, at the Effective Time, each Company stock option that was outstanding immediately prior to the Effective Time was canceled and converted into the right to receive an amount in cash, without interest, equal to the excess of $24.00 over the exercise price with respect to such stock option, multiplied by the number of shares of Company common stock subject to such stock option, less any applicable withholding taxes.

F8: This Company stock option was scheduled to vest 100% on the business day prior to the Company's annual stockholder meeting following May 3, 2018. Pursuant to the Merger Agreement, at the Effective Time, each Company stock option that was outstanding immediately prior to the Effective Time was canceled and converted into the right to receive an amount in cash, without interest, equal to the excess of $24.00 over the exercise price with respect to such stock option, multiplied by the number of shares of Company common stock subject to such stock option, less any applicable withholding taxes.

Transaction history

JSON API
Reset

Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
December 21, 2018 Filed Dec 21, 2018 17:54 UTC ENDOCYTE INC ECYT · Entity 161591 Disposition to issuerStock Option (right to buy) · Derivative 14,000 $17.31 Strike: $6.69 $242,340.00
Disclosure

SEC source: 0001104659-18-074362 · a4.xml · derivative · entry 18

MIDDLETON FRED A · CIK 0001267959 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 14,000 shares

Expires 2024-05-15

F7 · price: This Company stock option was fully vested immediately prior to the Effective Time. Pursuant to the Merger Agreement, at the Effective Time, each Company stock option that was outstanding immediately prior to the Effective Time was canceled and converted into the right to receive an amount in cash, without interest, equal to the excess of $24.00 over the exercise price with respect to such stock option, multiplied by the number of shares of Company common stock subject to such stock option, less any applicable withholding taxes.

F7 · derivative.exercise_date: This Company stock option was fully vested immediately prior to the Effective Time. Pursuant to the Merger Agreement, at the Effective Time, each Company stock option that was outstanding immediately prior to the Effective Time was canceled and converted into the right to receive an amount in cash, without interest, equal to the excess of $24.00 over the exercise price with respect to such stock option, multiplied by the number of shares of Company common stock subject to such stock option, less any applicable withholding taxes.

Read SEC document
December 21, 2018 Filed Dec 21, 2018 17:54 UTC ENDOCYTE INC ECYT · Entity 161591 Disposition to issuerStock Option (right to buy) · Derivative 14,000 $11.06 Strike: $12.94 $154,840.00
Disclosure

SEC source: 0001104659-18-074362 · a4.xml · derivative · entry 17

MIDDLETON FRED A · CIK 0001267959 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 14,000 shares

Expires 2023-06-19

F7 · price: This Company stock option was fully vested immediately prior to the Effective Time. Pursuant to the Merger Agreement, at the Effective Time, each Company stock option that was outstanding immediately prior to the Effective Time was canceled and converted into the right to receive an amount in cash, without interest, equal to the excess of $24.00 over the exercise price with respect to such stock option, multiplied by the number of shares of Company common stock subject to such stock option, less any applicable withholding taxes.

F7 · derivative.exercise_date: This Company stock option was fully vested immediately prior to the Effective Time. Pursuant to the Merger Agreement, at the Effective Time, each Company stock option that was outstanding immediately prior to the Effective Time was canceled and converted into the right to receive an amount in cash, without interest, equal to the excess of $24.00 over the exercise price with respect to such stock option, multiplied by the number of shares of Company common stock subject to such stock option, less any applicable withholding taxes.

Read SEC document
December 21, 2018 Filed Dec 21, 2018 17:54 UTC ENDOCYTE INC ECYT · Entity 161591 Disposition to issuerStock Option (right to buy) · Derivative 10,000 $17.57 Strike: $6.43 $175,700.00
Disclosure

SEC source: 0001104659-18-074362 · a4.xml · derivative · entry 16

MIDDLETON FRED A · CIK 0001267959 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,000 shares

Expires 2022-05-31

F7 · price: This Company stock option was fully vested immediately prior to the Effective Time. Pursuant to the Merger Agreement, at the Effective Time, each Company stock option that was outstanding immediately prior to the Effective Time was canceled and converted into the right to receive an amount in cash, without interest, equal to the excess of $24.00 over the exercise price with respect to such stock option, multiplied by the number of shares of Company common stock subject to such stock option, less any applicable withholding taxes.

F7 · derivative.exercise_date: This Company stock option was fully vested immediately prior to the Effective Time. Pursuant to the Merger Agreement, at the Effective Time, each Company stock option that was outstanding immediately prior to the Effective Time was canceled and converted into the right to receive an amount in cash, without interest, equal to the excess of $24.00 over the exercise price with respect to such stock option, multiplied by the number of shares of Company common stock subject to such stock option, less any applicable withholding taxes.

Read SEC document
December 21, 2018 Filed Dec 21, 2018 17:54 UTC ENDOCYTE INC ECYT · Entity 161591 Disposition to issuerStock Option (right to buy) · Derivative 10,000 $12.20 Strike: $11.80 $122,000.00
Disclosure

SEC source: 0001104659-18-074362 · a4.xml · derivative · entry 15

MIDDLETON FRED A · CIK 0001267959 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,000 shares

Expires 2021-05-26

F7 · price: This Company stock option was fully vested immediately prior to the Effective Time. Pursuant to the Merger Agreement, at the Effective Time, each Company stock option that was outstanding immediately prior to the Effective Time was canceled and converted into the right to receive an amount in cash, without interest, equal to the excess of $24.00 over the exercise price with respect to such stock option, multiplied by the number of shares of Company common stock subject to such stock option, less any applicable withholding taxes.

F7 · derivative.exercise_date: This Company stock option was fully vested immediately prior to the Effective Time. Pursuant to the Merger Agreement, at the Effective Time, each Company stock option that was outstanding immediately prior to the Effective Time was canceled and converted into the right to receive an amount in cash, without interest, equal to the excess of $24.00 over the exercise price with respect to such stock option, multiplied by the number of shares of Company common stock subject to such stock option, less any applicable withholding taxes.

Read SEC document
December 21, 2018 Filed Dec 21, 2018 17:54 UTC ENDOCYTE INC ECYT · Entity 161591 Disposition to issuerStock Option (right to buy) · Derivative 15,706 $18.00 Strike: $6.00 $282,708.00
Disclosure

SEC source: 0001104659-18-074362 · a4.xml · derivative · entry 14

MIDDLETON FRED A · CIK 0001267959 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 15,706 shares

Expires 2021-02-09

F7 · price: This Company stock option was fully vested immediately prior to the Effective Time. Pursuant to the Merger Agreement, at the Effective Time, each Company stock option that was outstanding immediately prior to the Effective Time was canceled and converted into the right to receive an amount in cash, without interest, equal to the excess of $24.00 over the exercise price with respect to such stock option, multiplied by the number of shares of Company common stock subject to such stock option, less any applicable withholding taxes.

F7 · derivative.exercise_date: This Company stock option was fully vested immediately prior to the Effective Time. Pursuant to the Merger Agreement, at the Effective Time, each Company stock option that was outstanding immediately prior to the Effective Time was canceled and converted into the right to receive an amount in cash, without interest, equal to the excess of $24.00 over the exercise price with respect to such stock option, multiplied by the number of shares of Company common stock subject to such stock option, less any applicable withholding taxes.

Read SEC document
December 21, 2018 Filed Dec 21, 2018 17:54 UTC ENDOCYTE INC ECYT · Entity 161591 Disposition to issuerCommon Stock 904,465 $24.00 $21,707,160.00
Disclosure

SEC source: 0001104659-18-074362 · a4.xml · nonDerivative · entry 13

MIDDLETON FRED A · CIK 0001267959 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Sanderling V Strategic Exit Fund, L.P.

Disclosed balance after: 0

F2 · price: Pursuant to the Agreement and Plan of Merger, dated as of October 17, 2018 (the "Merger Agreement"), by and among Endocyte, Inc. (the "Company"), Novartis AG ("Novartis") and Edinburgh Merger Corporation, a wholly owned subsidiary of Novartis ("Merger Sub"), at the effective time (the "Effective Time") of the merger of Merger Sub with and into the Company, which Effective Time occurred on December 21, 2018, each share of Company common stock was converted into the right to receive an amount in cash equal to $24.00, without interest and less any applicable withholding taxes.

F4 · ownership.nature: Mr. Middleton disclaims beneficial ownership of the shares directly held by the entities affiliated with Sanderling except to the extent of his individual pecuniary interest therein.

F5 · ownership.nature: Fred Middleton is a managing director of Middleton, McNeil & Mills Associates V, LLC which has the ultimate voting and investment power over shares held of record by Sanderling V Beteiligungs GmbH & Co. KG, Sanderling V Biomedical Co-Investment Fund, L.P., Sanderling V Biomedical, L.P., Sanderling V Limited Partnership, Sanderling Venture Partners V, L.P., Sanderling Venture Partners VI Co-Investment Fund, L.P., Sanderling VI Beteiligungs GmbH and Co. KG, Sanderling VI Limited Partnership and Sanderling V Strategic Exit Fund, L.P. and he may be deemed to have voting and investment power over shares held of record by Sanderling V Beteiligungs GmbH & Co. KG, Sanderling V Biomedical Co-Investment Fund, L.P., Sanderling V Biomedical, L.P., Sanderling V Limited Partnership, Sanderling Venture Partners V, L.P., Sanderling Venture Partners VI Co-Investment Fund, L.P., Sanderling VI Beteiligungs GmbH and Co. KG, Sanderling V Strategic Exit Fund, L.P. and Sanderling VI Limited Partnership.

Read SEC document
December 21, 2018 Filed Dec 21, 2018 17:54 UTC ENDOCYTE INC ECYT · Entity 161591 Disposition to issuerCommon Stock 8,434 $24.00 $202,416.00
Disclosure

SEC source: 0001104659-18-074362 · a4.xml · nonDerivative · entry 12

MIDDLETON FRED A · CIK 0001267959 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Sanderling VI Beteiligungs GmbH & Co. KG

Disclosed balance after: 0

F2 · price: Pursuant to the Agreement and Plan of Merger, dated as of October 17, 2018 (the "Merger Agreement"), by and among Endocyte, Inc. (the "Company"), Novartis AG ("Novartis") and Edinburgh Merger Corporation, a wholly owned subsidiary of Novartis ("Merger Sub"), at the effective time (the "Effective Time") of the merger of Merger Sub with and into the Company, which Effective Time occurred on December 21, 2018, each share of Company common stock was converted into the right to receive an amount in cash equal to $24.00, without interest and less any applicable withholding taxes.

F4 · ownership.nature: Mr. Middleton disclaims beneficial ownership of the shares directly held by the entities affiliated with Sanderling except to the extent of his individual pecuniary interest therein.

F5 · ownership.nature: Fred Middleton is a managing director of Middleton, McNeil & Mills Associates V, LLC which has the ultimate voting and investment power over shares held of record by Sanderling V Beteiligungs GmbH & Co. KG, Sanderling V Biomedical Co-Investment Fund, L.P., Sanderling V Biomedical, L.P., Sanderling V Limited Partnership, Sanderling Venture Partners V, L.P., Sanderling Venture Partners VI Co-Investment Fund, L.P., Sanderling VI Beteiligungs GmbH and Co. KG, Sanderling VI Limited Partnership and Sanderling V Strategic Exit Fund, L.P. and he may be deemed to have voting and investment power over shares held of record by Sanderling V Beteiligungs GmbH & Co. KG, Sanderling V Biomedical Co-Investment Fund, L.P., Sanderling V Biomedical, L.P., Sanderling V Limited Partnership, Sanderling Venture Partners V, L.P., Sanderling Venture Partners VI Co-Investment Fund, L.P., Sanderling VI Beteiligungs GmbH and Co. KG, Sanderling V Strategic Exit Fund, L.P. and Sanderling VI Limited Partnership.

Read SEC document
December 21, 2018 Filed Dec 21, 2018 17:54 UTC ENDOCYTE INC ECYT · Entity 161591 Disposition to issuerCommon Stock 10,049 $24.00 $241,176.00
Disclosure

SEC source: 0001104659-18-074362 · a4.xml · nonDerivative · entry 11

MIDDLETON FRED A · CIK 0001267959 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Sanderling VI Limited Partnership

Disclosed balance after: 0

F2 · price: Pursuant to the Agreement and Plan of Merger, dated as of October 17, 2018 (the "Merger Agreement"), by and among Endocyte, Inc. (the "Company"), Novartis AG ("Novartis") and Edinburgh Merger Corporation, a wholly owned subsidiary of Novartis ("Merger Sub"), at the effective time (the "Effective Time") of the merger of Merger Sub with and into the Company, which Effective Time occurred on December 21, 2018, each share of Company common stock was converted into the right to receive an amount in cash equal to $24.00, without interest and less any applicable withholding taxes.

F4 · ownership.nature: Mr. Middleton disclaims beneficial ownership of the shares directly held by the entities affiliated with Sanderling except to the extent of his individual pecuniary interest therein.

F5 · ownership.nature: Fred Middleton is a managing director of Middleton, McNeil & Mills Associates V, LLC which has the ultimate voting and investment power over shares held of record by Sanderling V Beteiligungs GmbH & Co. KG, Sanderling V Biomedical Co-Investment Fund, L.P., Sanderling V Biomedical, L.P., Sanderling V Limited Partnership, Sanderling Venture Partners V, L.P., Sanderling Venture Partners VI Co-Investment Fund, L.P., Sanderling VI Beteiligungs GmbH and Co. KG, Sanderling VI Limited Partnership and Sanderling V Strategic Exit Fund, L.P. and he may be deemed to have voting and investment power over shares held of record by Sanderling V Beteiligungs GmbH & Co. KG, Sanderling V Biomedical Co-Investment Fund, L.P., Sanderling V Biomedical, L.P., Sanderling V Limited Partnership, Sanderling Venture Partners V, L.P., Sanderling Venture Partners VI Co-Investment Fund, L.P., Sanderling VI Beteiligungs GmbH and Co. KG, Sanderling V Strategic Exit Fund, L.P. and Sanderling VI Limited Partnership.

Read SEC document
December 21, 2018 Filed Dec 21, 2018 17:54 UTC ENDOCYTE INC ECYT · Entity 161591 Disposition to issuerCommon Stock 100,828 $24.00 $2,419,872.00
Disclosure

SEC source: 0001104659-18-074362 · a4.xml · nonDerivative · entry 10

MIDDLETON FRED A · CIK 0001267959 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Sanderling V Beteiligungs GmbH & Co. KG

Disclosed balance after: 0

F2 · price: Pursuant to the Agreement and Plan of Merger, dated as of October 17, 2018 (the "Merger Agreement"), by and among Endocyte, Inc. (the "Company"), Novartis AG ("Novartis") and Edinburgh Merger Corporation, a wholly owned subsidiary of Novartis ("Merger Sub"), at the effective time (the "Effective Time") of the merger of Merger Sub with and into the Company, which Effective Time occurred on December 21, 2018, each share of Company common stock was converted into the right to receive an amount in cash equal to $24.00, without interest and less any applicable withholding taxes.

F4 · ownership.nature: Mr. Middleton disclaims beneficial ownership of the shares directly held by the entities affiliated with Sanderling except to the extent of his individual pecuniary interest therein.

F5 · ownership.nature: Fred Middleton is a managing director of Middleton, McNeil & Mills Associates V, LLC which has the ultimate voting and investment power over shares held of record by Sanderling V Beteiligungs GmbH & Co. KG, Sanderling V Biomedical Co-Investment Fund, L.P., Sanderling V Biomedical, L.P., Sanderling V Limited Partnership, Sanderling Venture Partners V, L.P., Sanderling Venture Partners VI Co-Investment Fund, L.P., Sanderling VI Beteiligungs GmbH and Co. KG, Sanderling VI Limited Partnership and Sanderling V Strategic Exit Fund, L.P. and he may be deemed to have voting and investment power over shares held of record by Sanderling V Beteiligungs GmbH & Co. KG, Sanderling V Biomedical Co-Investment Fund, L.P., Sanderling V Biomedical, L.P., Sanderling V Limited Partnership, Sanderling Venture Partners V, L.P., Sanderling Venture Partners VI Co-Investment Fund, L.P., Sanderling VI Beteiligungs GmbH and Co. KG, Sanderling V Strategic Exit Fund, L.P. and Sanderling VI Limited Partnership.

Read SEC document
December 21, 2018 Filed Dec 21, 2018 17:54 UTC ENDOCYTE INC ECYT · Entity 161591 Disposition to issuerCommon Stock 113,315 $24.00 $2,719,560.00
Disclosure

SEC source: 0001104659-18-074362 · a4.xml · nonDerivative · entry 9

MIDDLETON FRED A · CIK 0001267959 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Sanderling V Limited Partnership

Disclosed balance after: 0

F2 · price: Pursuant to the Agreement and Plan of Merger, dated as of October 17, 2018 (the "Merger Agreement"), by and among Endocyte, Inc. (the "Company"), Novartis AG ("Novartis") and Edinburgh Merger Corporation, a wholly owned subsidiary of Novartis ("Merger Sub"), at the effective time (the "Effective Time") of the merger of Merger Sub with and into the Company, which Effective Time occurred on December 21, 2018, each share of Company common stock was converted into the right to receive an amount in cash equal to $24.00, without interest and less any applicable withholding taxes.

F4 · ownership.nature: Mr. Middleton disclaims beneficial ownership of the shares directly held by the entities affiliated with Sanderling except to the extent of his individual pecuniary interest therein.

F5 · ownership.nature: Fred Middleton is a managing director of Middleton, McNeil & Mills Associates V, LLC which has the ultimate voting and investment power over shares held of record by Sanderling V Beteiligungs GmbH & Co. KG, Sanderling V Biomedical Co-Investment Fund, L.P., Sanderling V Biomedical, L.P., Sanderling V Limited Partnership, Sanderling Venture Partners V, L.P., Sanderling Venture Partners VI Co-Investment Fund, L.P., Sanderling VI Beteiligungs GmbH and Co. KG, Sanderling VI Limited Partnership and Sanderling V Strategic Exit Fund, L.P. and he may be deemed to have voting and investment power over shares held of record by Sanderling V Beteiligungs GmbH & Co. KG, Sanderling V Biomedical Co-Investment Fund, L.P., Sanderling V Biomedical, L.P., Sanderling V Limited Partnership, Sanderling Venture Partners V, L.P., Sanderling Venture Partners VI Co-Investment Fund, L.P., Sanderling VI Beteiligungs GmbH and Co. KG, Sanderling V Strategic Exit Fund, L.P. and Sanderling VI Limited Partnership.

Read SEC document
December 21, 2018 Filed Dec 21, 2018 17:54 UTC ENDOCYTE INC ECYT · Entity 161591 Disposition to issuerCommon Stock 162,170 $24.00 $3,892,080.00
Disclosure

SEC source: 0001104659-18-074362 · a4.xml · nonDerivative · entry 8

MIDDLETON FRED A · CIK 0001267959 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Sanderling V Biomedical Co-Investment Fund, L.P.

Disclosed balance after: 0

F2 · price: Pursuant to the Agreement and Plan of Merger, dated as of October 17, 2018 (the "Merger Agreement"), by and among Endocyte, Inc. (the "Company"), Novartis AG ("Novartis") and Edinburgh Merger Corporation, a wholly owned subsidiary of Novartis ("Merger Sub"), at the effective time (the "Effective Time") of the merger of Merger Sub with and into the Company, which Effective Time occurred on December 21, 2018, each share of Company common stock was converted into the right to receive an amount in cash equal to $24.00, without interest and less any applicable withholding taxes.

F4 · ownership.nature: Mr. Middleton disclaims beneficial ownership of the shares directly held by the entities affiliated with Sanderling except to the extent of his individual pecuniary interest therein.

F5 · ownership.nature: Fred Middleton is a managing director of Middleton, McNeil & Mills Associates V, LLC which has the ultimate voting and investment power over shares held of record by Sanderling V Beteiligungs GmbH & Co. KG, Sanderling V Biomedical Co-Investment Fund, L.P., Sanderling V Biomedical, L.P., Sanderling V Limited Partnership, Sanderling Venture Partners V, L.P., Sanderling Venture Partners VI Co-Investment Fund, L.P., Sanderling VI Beteiligungs GmbH and Co. KG, Sanderling VI Limited Partnership and Sanderling V Strategic Exit Fund, L.P. and he may be deemed to have voting and investment power over shares held of record by Sanderling V Beteiligungs GmbH & Co. KG, Sanderling V Biomedical Co-Investment Fund, L.P., Sanderling V Biomedical, L.P., Sanderling V Limited Partnership, Sanderling Venture Partners V, L.P., Sanderling Venture Partners VI Co-Investment Fund, L.P., Sanderling VI Beteiligungs GmbH and Co. KG, Sanderling V Strategic Exit Fund, L.P. and Sanderling VI Limited Partnership.

Read SEC document
December 21, 2018 Filed Dec 21, 2018 17:54 UTC ENDOCYTE INC ECYT · Entity 161591 Disposition to issuerCommon Stock 249,148 $24.00 $5,979,552.00
Disclosure

SEC source: 0001104659-18-074362 · a4.xml · nonDerivative · entry 7

MIDDLETON FRED A · CIK 0001267959 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Sanderling V Biomedical, L.P.

Disclosed balance after: 0

F2 · price: Pursuant to the Agreement and Plan of Merger, dated as of October 17, 2018 (the "Merger Agreement"), by and among Endocyte, Inc. (the "Company"), Novartis AG ("Novartis") and Edinburgh Merger Corporation, a wholly owned subsidiary of Novartis ("Merger Sub"), at the effective time (the "Effective Time") of the merger of Merger Sub with and into the Company, which Effective Time occurred on December 21, 2018, each share of Company common stock was converted into the right to receive an amount in cash equal to $24.00, without interest and less any applicable withholding taxes.

F4 · ownership.nature: Mr. Middleton disclaims beneficial ownership of the shares directly held by the entities affiliated with Sanderling except to the extent of his individual pecuniary interest therein.

F5 · ownership.nature: Fred Middleton is a managing director of Middleton, McNeil & Mills Associates V, LLC which has the ultimate voting and investment power over shares held of record by Sanderling V Beteiligungs GmbH & Co. KG, Sanderling V Biomedical Co-Investment Fund, L.P., Sanderling V Biomedical, L.P., Sanderling V Limited Partnership, Sanderling Venture Partners V, L.P., Sanderling Venture Partners VI Co-Investment Fund, L.P., Sanderling VI Beteiligungs GmbH and Co. KG, Sanderling VI Limited Partnership and Sanderling V Strategic Exit Fund, L.P. and he may be deemed to have voting and investment power over shares held of record by Sanderling V Beteiligungs GmbH & Co. KG, Sanderling V Biomedical Co-Investment Fund, L.P., Sanderling V Biomedical, L.P., Sanderling V Limited Partnership, Sanderling Venture Partners V, L.P., Sanderling Venture Partners VI Co-Investment Fund, L.P., Sanderling VI Beteiligungs GmbH and Co. KG, Sanderling V Strategic Exit Fund, L.P. and Sanderling VI Limited Partnership.

Read SEC document
December 21, 2018 Filed Dec 21, 2018 17:54 UTC ENDOCYTE INC ECYT · Entity 161591 Disposition to issuerCommon Stock 267,491 $24.00 $6,419,784.00
Disclosure

SEC source: 0001104659-18-074362 · a4.xml · nonDerivative · entry 6

MIDDLETON FRED A · CIK 0001267959 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Sanderling Venture Partners V Co-Investment Fund, L.P.

Disclosed balance after: 0

F2 · price: Pursuant to the Agreement and Plan of Merger, dated as of October 17, 2018 (the "Merger Agreement"), by and among Endocyte, Inc. (the "Company"), Novartis AG ("Novartis") and Edinburgh Merger Corporation, a wholly owned subsidiary of Novartis ("Merger Sub"), at the effective time (the "Effective Time") of the merger of Merger Sub with and into the Company, which Effective Time occurred on December 21, 2018, each share of Company common stock was converted into the right to receive an amount in cash equal to $24.00, without interest and less any applicable withholding taxes.

F4 · ownership.nature: Mr. Middleton disclaims beneficial ownership of the shares directly held by the entities affiliated with Sanderling except to the extent of his individual pecuniary interest therein.

F6 · ownership.nature: Fred Middleton is a managing director of Middleton, McNeil & Mills Associate V, LLC which has the ultimate voting and investment power over shares held of record by Sanderling Venture Partners V Co-Investment Fund, L.P. and he may be deemed to have voting and investment power over shares of record by Sanderling Venture Partners V Co-Investment Fund, L.P.

Read SEC document
December 21, 2018 Filed Dec 21, 2018 17:54 UTC ENDOCYTE INC ECYT · Entity 161591 Disposition to issuerCommon Stock 1,212,413 $24.00 $29,097,912.00
Disclosure

SEC source: 0001104659-18-074362 · a4.xml · nonDerivative · entry 5

MIDDLETON FRED A · CIK 0001267959 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Sanderling Venture Partners VI Co-Investment Fund, L.P.

Disclosed balance after: 0

F2 · price: Pursuant to the Agreement and Plan of Merger, dated as of October 17, 2018 (the "Merger Agreement"), by and among Endocyte, Inc. (the "Company"), Novartis AG ("Novartis") and Edinburgh Merger Corporation, a wholly owned subsidiary of Novartis ("Merger Sub"), at the effective time (the "Effective Time") of the merger of Merger Sub with and into the Company, which Effective Time occurred on December 21, 2018, each share of Company common stock was converted into the right to receive an amount in cash equal to $24.00, without interest and less any applicable withholding taxes.

F4 · ownership.nature: Mr. Middleton disclaims beneficial ownership of the shares directly held by the entities affiliated with Sanderling except to the extent of his individual pecuniary interest therein.

F5 · ownership.nature: Fred Middleton is a managing director of Middleton, McNeil & Mills Associates V, LLC which has the ultimate voting and investment power over shares held of record by Sanderling V Beteiligungs GmbH & Co. KG, Sanderling V Biomedical Co-Investment Fund, L.P., Sanderling V Biomedical, L.P., Sanderling V Limited Partnership, Sanderling Venture Partners V, L.P., Sanderling Venture Partners VI Co-Investment Fund, L.P., Sanderling VI Beteiligungs GmbH and Co. KG, Sanderling VI Limited Partnership and Sanderling V Strategic Exit Fund, L.P. and he may be deemed to have voting and investment power over shares held of record by Sanderling V Beteiligungs GmbH & Co. KG, Sanderling V Biomedical Co-Investment Fund, L.P., Sanderling V Biomedical, L.P., Sanderling V Limited Partnership, Sanderling Venture Partners V, L.P., Sanderling Venture Partners VI Co-Investment Fund, L.P., Sanderling VI Beteiligungs GmbH and Co. KG, Sanderling V Strategic Exit Fund, L.P. and Sanderling VI Limited Partnership.

Read SEC document
December 21, 2018 Filed Dec 21, 2018 17:54 UTC ENDOCYTE INC ECYT · Entity 161591 Disposition to issuerCommon Stock 1,017,304 $24.00 $24,415,296.00
Disclosure

SEC source: 0001104659-18-074362 · a4.xml · nonDerivative · entry 4

MIDDLETON FRED A · CIK 0001267959 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Sanderling Venture Partners V, L.P.

Disclosed balance after: 0

F2 · price: Pursuant to the Agreement and Plan of Merger, dated as of October 17, 2018 (the "Merger Agreement"), by and among Endocyte, Inc. (the "Company"), Novartis AG ("Novartis") and Edinburgh Merger Corporation, a wholly owned subsidiary of Novartis ("Merger Sub"), at the effective time (the "Effective Time") of the merger of Merger Sub with and into the Company, which Effective Time occurred on December 21, 2018, each share of Company common stock was converted into the right to receive an amount in cash equal to $24.00, without interest and less any applicable withholding taxes.

F4 · ownership.nature: Mr. Middleton disclaims beneficial ownership of the shares directly held by the entities affiliated with Sanderling except to the extent of his individual pecuniary interest therein.

F5 · ownership.nature: Fred Middleton is a managing director of Middleton, McNeil & Mills Associates V, LLC which has the ultimate voting and investment power over shares held of record by Sanderling V Beteiligungs GmbH & Co. KG, Sanderling V Biomedical Co-Investment Fund, L.P., Sanderling V Biomedical, L.P., Sanderling V Limited Partnership, Sanderling Venture Partners V, L.P., Sanderling Venture Partners VI Co-Investment Fund, L.P., Sanderling VI Beteiligungs GmbH and Co. KG, Sanderling VI Limited Partnership and Sanderling V Strategic Exit Fund, L.P. and he may be deemed to have voting and investment power over shares held of record by Sanderling V Beteiligungs GmbH & Co. KG, Sanderling V Biomedical Co-Investment Fund, L.P., Sanderling V Biomedical, L.P., Sanderling V Limited Partnership, Sanderling Venture Partners V, L.P., Sanderling Venture Partners VI Co-Investment Fund, L.P., Sanderling VI Beteiligungs GmbH and Co. KG, Sanderling V Strategic Exit Fund, L.P. and Sanderling VI Limited Partnership.

Read SEC document
December 21, 2018 Filed Dec 21, 2018 17:54 UTC ENDOCYTE INC ECYT · Entity 161591 Disposition to issuerCommon Stock 3,300 $24.00 $79,200.00
Disclosure

SEC source: 0001104659-18-074362 · a4.xml · nonDerivative · entry 3

MIDDLETON FRED A · CIK 0001267959 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F3 · price: This restricted stock unit ("RSU") award provided for vesting and settlement 100% on the business day prior to the Company's annual stockholder meeting following May 3, 2018 in the form of one share of Company common stock for each RSU. Pursuant to the Merger Agreement, at the Effective Time, each RSU outstanding immediately prior to the Effective Time was canceled and converted into the right to receive an amount in cash, without interest, equal to $24.00, multiplied by the number of shares of Company common stock subject to such RSU, less any applicable withholding taxes.

Read SEC document
December 21, 2018 Filed Dec 21, 2018 17:54 UTC ENDOCYTE INC ECYT · Entity 161591 Disposition to issuerCommon Stock 110,189 $24.00 $2,644,536.00
Disclosure

SEC source: 0001104659-18-074362 · a4.xml · nonDerivative · entry 2

MIDDLETON FRED A · CIK 0001267959 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F2 · price: Pursuant to the Agreement and Plan of Merger, dated as of October 17, 2018 (the "Merger Agreement"), by and among Endocyte, Inc. (the "Company"), Novartis AG ("Novartis") and Edinburgh Merger Corporation, a wholly owned subsidiary of Novartis ("Merger Sub"), at the effective time (the "Effective Time") of the merger of Merger Sub with and into the Company, which Effective Time occurred on December 21, 2018, each share of Company common stock was converted into the right to receive an amount in cash equal to $24.00, without interest and less any applicable withholding taxes.

Read SEC document
December 11, 2018 Filed Dec 21, 2018 17:54 UTC ENDOCYTE INC ECYT · Entity 161591 GiftCommon Stock 83,860 $0.00 $0.00
Disclosure

SEC source: 0001104659-18-074362 · a4.xml · nonDerivative · entry 1

MIDDLETON FRED A · CIK 0001267959 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 113,489

F1 · shares: Represents a gift of 83,860 shares to a non-profit organization.

Read SEC document
June 20, 2018 Filed Jun 21, 2018 17:35 UTC CHIMERIX INC CMRX · Entity 80651 GrantStock Option (Right to Buy) · Derivative 21,000 $0.00 Strike: $4.82 $0.00
Disclosure

SEC source: 0001209191-18-038999 · doc4.xml · derivative · entry 1

MIDDLETON FRED A · CIK 0001267959 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,000

Underlying: Common Stock · 21,000 shares

Expires 2028-06-19

F1 · derivative.exercise_date: The shares subject to the option vest in a series of 12 equal monthly installments from the date of grant; provided, however, that the option shall become fully vested on the date that is the earlier of (i) the one-year anniversary of the date of grant and (ii) the date of the Company's 2019 annual stockholder meeting.

Read SEC document
May 03, 2018 Filed May 4, 2018 21:07 UTC ENDOCYTE INC ECYT · Entity 161591 GrantStock Option (right to buy) · Derivative 19,500 $0.00 Strike: $10.81 $0.00
Disclosure

SEC source: 0001179110-18-006320 · edgar.xml · derivative · entry 12

MIDDLETON FRED A · CIK 0001267959 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,500

Underlying: Common Stock · 19,500 shares

Expires 2028-05-03

F5 · derivative.exercise_date: 100% of options vest on the business day prior to the next annual stockholder meeting following the date of grant.

Read SEC document
May 03, 2018 Filed May 4, 2018 21:07 UTC ENDOCYTE INC ECYT · Entity 161591 GrantCommon Stock 3,300 $0.00 $0.00
Disclosure

SEC source: 0001179110-18-006320 · edgar.xml · nonDerivative · entry 1

MIDDLETON FRED A · CIK 0001267959 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 197,349

F1 · shares: Represents restricted stock units that will vest 100% on the business day prior to the next annual stockholder meeting following the date of grant, and will be paid in the form of one share of common stock for each restricted stock unit.

Read SEC document
March 28, 2018 Filed Mar 30, 2018 18:13 UTC CHIMERIX INC CMRX · Entity 80651 GrantStock Option (Right to Buy) · Derivative 42,000 $0.00 Strike: $5.25 $0.00
Disclosure

SEC source: 0001209191-18-022248 · doc4.xml · derivative · entry 1

MIDDLETON FRED A · CIK 0001267959 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,000

Underlying: Common Stock · 42,000 shares

Expires 2028-03-27

F1 · derivative.exercise_date: One-fourth (1/4th) of the shares vest one year after the Vesting Commencement Date; the balance of the shares vest in a series of thirty-six (36) successive equal monthly installments measured from the first anniversary of the Vesting Commencement Date, subject to Optionholder's Continuous Service as of each such date and the potential vesting acceleration described in Section 1 of the Option Agreement.

Read SEC document
March 02, 2018 Filed Mar 5, 2018 23:05 UTC Stereotaxis, Inc. STXS · Entity 6577 OtherCommon Stock Warrant (right to buy) · Derivative 153,846 $0.00 Strike: $0.28 $0.00
Disclosure

SEC source: 0001289340-18-000044 · edgar.xml · derivative · entry 13

MIDDLETON FRED A · CIK 0001267959 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 153,846 shares

Expires 2021-09-29

Read SEC document
March 02, 2018 Filed Mar 5, 2018 23:05 UTC Stereotaxis, Inc. STXS · Entity 6577 OtherCommon Stock 153,846 $0.28 $43,076.88
Disclosure

SEC source: 0001289340-18-000044 · edgar.xml · nonDerivative · entry 1

MIDDLETON FRED A · CIK 0001267959 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 303,528

Read SEC document
March 01, 2018 Filed Mar 5, 2018 23:05 UTC Stereotaxis, Inc. STXS · Entity 6577 GrantCommon Stock Warrant (right to buy) · Derivative 153,846 Not disclosed Strike: $0.28 Not disclosed
Disclosure

SEC source: 0001289340-18-000044 · edgar.xml · derivative · entry 12

MIDDLETON FRED A · CIK 0001267959 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 153,846

Underlying: Common Stock · 153,846 shares

Expires 2021-09-29

F1 · date: On February 28, 2018, the issuer and certain holders of outstanding warrants issued pursuant to the Stock Purchase Agreement dated September 26, 2016, including the reporting person, entered into an amendment to the warrants. The amendment provided that the exercise price of the warrants would be reduced for a limited period of time, provided that at least $6 million of warrants was exercised during the limited period. This condition was satisfied on March 1, 2018.

F2 · price: The transactions reported in the first two lines of Table II above report the amendment of the warrant to temporarily reduce the exercise price from $0.70 per share to $0.28 per share. The amendment is reported as the disposition of the old warrant and the acquisition of a new one. The amendment to the warrant was approved by a transaction committee consisting solely of independent directors for purposes of Rules 16b-3(d) and (e).

Read SEC document
March 01, 2018 Filed Mar 5, 2018 23:05 UTC Stereotaxis, Inc. STXS · Entity 6577 Disposition to issuerCommon Stock Warrant (right to buy) · Derivative 153,846 Not disclosed Strike: $0.70 Not disclosed
Disclosure

SEC source: 0001289340-18-000044 · edgar.xml · derivative · entry 11

MIDDLETON FRED A · CIK 0001267959 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 153,846 shares

Expires 2021-09-29

F1 · date: On February 28, 2018, the issuer and certain holders of outstanding warrants issued pursuant to the Stock Purchase Agreement dated September 26, 2016, including the reporting person, entered into an amendment to the warrants. The amendment provided that the exercise price of the warrants would be reduced for a limited period of time, provided that at least $6 million of warrants was exercised during the limited period. This condition was satisfied on March 1, 2018.

F2 · price: The transactions reported in the first two lines of Table II above report the amendment of the warrant to temporarily reduce the exercise price from $0.70 per share to $0.28 per share. The amendment is reported as the disposition of the old warrant and the acquisition of a new one. The amendment to the warrant was approved by a transaction committee consisting solely of independent directors for purposes of Rules 16b-3(d) and (e).

Read SEC document
February 28, 2018 Filed Mar 1, 2018 21:27 UTC ENDOCYTE INC ECYT · Entity 161591 GrantCommon Stock 119,048 $4.20 $500,001.60
Disclosure

SEC source: 0001179110-18-003126 · edgar.xml · nonDerivative · entry 11

MIDDLETON FRED A · CIK 0001267959 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Sanderling V Strategic Exit Fund, L.P.

Disclosed balance after: 904,465

F4 · shares: Represents shares purchased in conjunction with the Issuer's public offering on February 28, 2018.

F1 · ownership.nature: Mr. Middleton disclaims beneficial ownership of the shares directly held by the entities affiliated with Sanderling except to the extent of his individual pecuniary interest therein.

F2 · ownership.nature: Fred Middleton is a managing director of Middleton, McNeil & Mills Associates V, LLC which has the ultimate voting and investment power over shares held of record by Sanderling V Beteiligungs GmbH & Co. KG, Sanderling V Biomedical Co-Investment Fund, L.P., Sanderling V Biomedical, L.P., Sanderling V Limited Partnership, Sanderling Venture Partners V, L.P., Sanderling Venture Partners VI Co-Investment Fund, L.P., Sanderling VI Beteiligungs GmbH and Co. KG, Sanderling VI Limited Partnership and Sanderling V Strategic Exit Fund, L.P. and he may be deemed to have voting and investment power over shares held of record by Sanderling V Beteiligungs GmbH & Co. KG, Sanderling V Biomedical Co-Investment Fund, L.P., Sanderling V Biomedical, L.P., Sanderling V Limited Partnership, Sanderling Venture Partners V, L.P., Sanderling Venture Partners VI Co-Investment Fund, L.P., Sanderling VI Beteiligungs GmbH and Co. KG, Sanderling V Strategic Exit Fund, L.P. and Sanderling VI Limited Partnership.

Read SEC document
February 28, 2018 Filed Mar 1, 2018 21:27 UTC ENDOCYTE INC ECYT · Entity 161591 GrantCommon Stock 380,952 $4.20 $1,599,998.40
Disclosure

SEC source: 0001179110-18-003126 · edgar.xml · nonDerivative · entry 3

MIDDLETON FRED A · CIK 0001267959 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Sanderling Venture Partners VI Co-Investment Fund, L.P.

Disclosed balance after: 1,212,413

F4 · shares: Represents shares purchased in conjunction with the Issuer's public offering on February 28, 2018.

F1 · ownership.nature: Mr. Middleton disclaims beneficial ownership of the shares directly held by the entities affiliated with Sanderling except to the extent of his individual pecuniary interest therein.

F2 · ownership.nature: Fred Middleton is a managing director of Middleton, McNeil & Mills Associates V, LLC which has the ultimate voting and investment power over shares held of record by Sanderling V Beteiligungs GmbH & Co. KG, Sanderling V Biomedical Co-Investment Fund, L.P., Sanderling V Biomedical, L.P., Sanderling V Limited Partnership, Sanderling Venture Partners V, L.P., Sanderling Venture Partners VI Co-Investment Fund, L.P., Sanderling VI Beteiligungs GmbH and Co. KG, Sanderling VI Limited Partnership and Sanderling V Strategic Exit Fund, L.P. and he may be deemed to have voting and investment power over shares held of record by Sanderling V Beteiligungs GmbH & Co. KG, Sanderling V Biomedical Co-Investment Fund, L.P., Sanderling V Biomedical, L.P., Sanderling V Limited Partnership, Sanderling Venture Partners V, L.P., Sanderling Venture Partners VI Co-Investment Fund, L.P., Sanderling VI Beteiligungs GmbH and Co. KG, Sanderling V Strategic Exit Fund, L.P. and Sanderling VI Limited Partnership.

Read SEC document
January 02, 2018 Filed Jan 2, 2018 19:17 UTC Stereotaxis, Inc. STXS · Entity 6577 GrantCommon Stock 30,000 $0.00 $0.00
Disclosure

SEC source: 0001289340-18-000013 · edgar.xml · nonDerivative · entry 1

MIDDLETON FRED A · CIK 0001267959 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 149,682

F1 · shares: Grant of restricted share units. Each restricted share unit represents a right to receive one share of common stock. The restricted share units vest immediately upon the date of the grant.

Read SEC document
July 03, 2017 Filed Jul 6, 2017 20:14 UTC Stereotaxis, Inc. STXS · Entity 6577 GrantCommon Stock 30,000 $0.00 $0.00
Disclosure

SEC source: 0000950138-17-000536 · edgar.xml · nonDerivative · entry 1

MIDDLETON FRED A · CIK 0001267959 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 119,682

F1 · shares: Grant of restricted share units. Each restricted share unit represents a right to receive one share of common stock. The restricted share units vest immediately upon the date of the grant.

F2 · balance_after: Balance updated to reflect the distribution of 32,872 shares to the Reporting Person from various affiliated entities of his.

Read SEC document
May 04, 2017 Filed May 5, 2017 21:09 UTC ENDOCYTE INC ECYT · Entity 161591 GrantStock Option (right to buy) · Derivative 19,500 $0.00 Strike: $2.27 $0.00
Disclosure

SEC source: 0001179110-17-006717 · edgar.xml · derivative · entry 12

MIDDLETON FRED A · CIK 0001267959 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,500

Underlying: Common Stock · 19,500 shares

Expires 2027-05-04

F6 · derivative.exercise_date: 100% of options vest on the business day prior to the next annual stockholder meeting following the date of grant.

Read SEC document
May 04, 2017 Filed May 5, 2017 21:09 UTC ENDOCYTE INC ECYT · Entity 161591 GrantCommon Stock 3,300 $0.00 $0.00
Disclosure

SEC source: 0001179110-17-006717 · edgar.xml · nonDerivative · entry 1

MIDDLETON FRED A · CIK 0001267959 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 194,049

F1 · shares: Represents restricted stock units that will vest 100% on the business day prior to the next annual stockholder meeting following the date of grant, and will be paid in the form of one share of common stock for each restricted stock unit.

F2 · balance_after: Reflects the transfer of 12,500 shares by Mr. Middleton pursuant to a qualified domestic relations order.

Read SEC document
September 29, 2016 Filed Oct 3, 2016 21:44 UTC Stereotaxis, Inc. STXS · Entity 6577 OtherCommon Stock Warrant (right to buy) · Derivative 153,846 $0.00 Strike: $0.70 $0.00
Disclosure

SEC source: 0001289340-16-000155 · edgar.xml · derivative · entry 2

MIDDLETON FRED A · CIK 0001267959 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 153,846

Underlying: Common Stock · 153,846 shares

Expires 2021-09-29

F1 · derivative.exercise_price: Initial conversion/exercise price. The conversion/exercise price is subject to adjustment.

F4 · kind: The warrants were acquired in connection with the purchase of Series A convertible preferred stock.

F5 · derivative.underlying_shares: The number of shares is based on the initial exercise price of $.70. The exercise price is subject to adjustment.

Read SEC document
September 29, 2016 Filed Oct 3, 2016 21:44 UTC Stereotaxis, Inc. STXS · Entity 6577 PurchaseSeries A Convertible Preferred Stock · Derivative 100 $1,000.00 Strike: $0.65 $100,000.00
Disclosure

SEC source: 0001289340-16-000155 · edgar.xml · derivative · entry 1

MIDDLETON FRED A · CIK 0001267959 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100

Underlying: Common Stock · 153,846 shares

Expires not disclosed

F1 · derivative.exercise_price: Initial conversion/exercise price. The conversion/exercise price is subject to adjustment.

F2 · derivative.exercise_date: The Series A convertible preferred stock is convertible at the election of the holder at any time and has no expiration date.

F2 · derivative.expiration_date: The Series A convertible preferred stock is convertible at the election of the holder at any time and has no expiration date.

F3 · derivative.underlying_shares: The number of shares is based on the initial conversion price of $.65. The conversion price is subject to adjustment. For purposes of determining the number of shares of common stock upon conversion, the value of the convertible preferred stock will be increased by the amount of dividends at a rate of 6% per annum, which will be cumulative and accrue daily from the date of issuance on the $1,000 stated value.

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.