Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CalciMedica, Inc.CALC · Entity 7804 | Director · 10% owner | June 25, 2026 | June 29, 2026 |
| Stereotaxis, Inc.STXS · Entity 6577 | Director | March 02, 2018 | March 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 / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy 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 rowRow 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-derivative | IndirectBy Sanderling Venture Partners VI, LP | 946,744 |
Reported balance
Holding disclosure · report date 2026-06-25 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 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-derivative | IndirectBy Sanderling Ventures Management VI | 22,479 |
Reported balance
Holding disclosure · report date 2026-06-25 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 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-derivative | IndirectBy Sanderling VI Beteligungs GmbH & Co KG | 7,456 |
Reported balance
Holding disclosure · report date 2026-06-25 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 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-derivative | IndirectBy Sanderling VI Limited Partnership | 8,884 |
Reported balance
Holding disclosure · report date 2026-06-25 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 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-derivative | IndirectBy 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 rowRow 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-derivative | IndirectBy 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 rowRow 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-derivative | IndirectBy 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 rowRow 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-derivative | IndirectBy Sanderling Ventures Management VII | 30,292 |
Reported balance
Holding disclosure · report date 2026-06-25 · row 9
Holding and transaction disclosures are not merged.
1 source rowRow 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-derivative | IndirectBy Golden Triangle Ventures, LLC | 8,176 |
Reported balance
Holding disclosure · report date 2026-06-25 · row 10
Holding and transaction disclosures are not merged.
1 source rowRow 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-derivative | Direct | 36,514 |
Reported balance
Holding disclosure · report date 2026-06-25 · row 11
Holding and transaction disclosures are not merged.
1 source rowRow 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 / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 303,528 |
Reported balance
After 2018-03-02 transaction · row 1
1 source rowRow 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 2021-09-29 | Direct | 0 |
Reported balance
After 2018-03-01 transaction · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 2021-09-29 | Direct | 153,846 |
Reported balance
After 2018-03-01 transaction · row 12
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 2021-09-29 | Direct | 0 |
Reported balance
After 2018-03-02 transaction · row 13
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 13 · 2018-03-02 · Other · Disposed 153,846 · Balance 0 |
| Common StockSEC Table I · non-derivative | IndirectSanderling 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 rowRow 2 · Balance 1,107,189 |
| Common StockSEC Table I · non-derivative | IndirectSanderling VI Limited Partnership | 6,358 |
Reported balance
Holding disclosure · report date 2018-03-02 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 6,358 |
| Common StockSEC Table I · non-derivative | IndirectSanderling VI Beteiligungs GmbH & Co. KG | 5,335 |
Reported balance
Holding disclosure · report date 2018-03-02 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 5,335 |
| Common StockSEC Table I · non-derivative | IndirectSanderling 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 rowRow 5 · Balance 53,275 |
| Common StockSEC Table I · non-derivative | IndirectSanderling V Beteiligungs GmbH & Co. KG | 11,097 |
Reported balance
Holding disclosure · report date 2018-03-02 · row 6
Holding and transaction disclosures are not merged.
1 source rowRow 6 · Balance 11,097 |
| Common StockSEC Table I · non-derivative | IndirectSanderling 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 rowRow 7 · Balance 39,716 |
| Common StockSEC Table I · non-derivative | IndirectSanderling V Limited Partnership | 11,956 |
Reported balance
Holding disclosure · report date 2018-03-02 · row 8
Holding and transaction disclosures are not merged.
1 source rowRow 8 · Balance 11,956 |
| Common StockSEC Table I · non-derivative | IndirectSanderling 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 rowRow 9 · Balance 67,790 |
| Common StockSEC Table I · non-derivative | IndirectSanderling Venture Partners IV Co-Investment Fund | 22,451 |
Reported balance
Holding disclosure · report date 2018-03-02 · row 10
Holding and transaction disclosures are not merged.
1 source rowRow 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 / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectFred A. Middleton Separate Property Trust | 0 |
Reported balance
After 2025-04-21 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 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-derivative | IndirectMiddleton Childrens 2015 Irrevocable Trust | 0 |
Reported balance
After 2025-04-21 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 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-derivative | IndirectSee footnote | 0 |
Reported balance
After 2025-04-21 transaction · row 3
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 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-derivative | IndirectSee footnote | 0 |
Reported balance
After 2025-04-21 transaction · row 4
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 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-derivative | Direct | 0 |
Reported balance
After 2025-04-21 transaction · row 5
1 source rowRow 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 2028-03-27 | Direct | 0 |
Reported balance
After 2025-04-21 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 2028-06-19 | Direct | 0 |
Reported balance
After 2025-04-21 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 2029-06-19 | Direct | 0 |
Reported balance
After 2025-04-21 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 2030-06-10 | Direct | 0 |
Reported balance
After 2025-04-21 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 2031-06-22 | Direct | 0 |
Reported balance
After 2025-04-21 transaction · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 2032-06-22 | Direct | 0 |
Reported balance
After 2025-04-21 transaction · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 2033-06-08 | Direct | 0 |
Reported balance
After 2025-04-21 transaction · row 12
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 2034-06-19 | Direct | 0 |
Reported balance
After 2025-04-21 transaction · row 13
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 113,489 |
Reported balance
After 2018-12-11 transaction · row 1
Sequence does not reconcile; account continuity is unresolved.
1 source rowRow 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-derivative | Direct | 0 |
Reported balance
After 2018-12-21 transaction · row 2
Sequence does not reconcile; account continuity is unresolved.
1 source rowRow 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-derivative | Direct | 0 |
Reported balance
After 2018-12-21 transaction · row 3
Sequence does not reconcile; account continuity is unresolved.
1 source rowRow 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-derivative | IndirectBy 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 rowRow 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-derivative | IndirectBy 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 rowRow 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-derivative | IndirectBy 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 rowRow 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-derivative | IndirectBy 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 rowRow 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-derivative | IndirectBy 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 rowRow 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-derivative | IndirectBy Sanderling V Limited Partnership | 0 |
Reported balance
After 2018-12-21 transaction · row 9
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 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-derivative | IndirectBy Sanderling V Beteiligungs GmbH & Co. KG | 0 |
Reported balance
After 2018-12-21 transaction · row 10
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 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-derivative | IndirectBy Sanderling VI Limited Partnership | 0 |
Reported balance
After 2018-12-21 transaction · row 11
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 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-derivative | IndirectBy Sanderling VI Beteiligungs GmbH & Co. KG | 0 |
Reported balance
After 2018-12-21 transaction · row 12
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 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-derivative | IndirectBy 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 rowRow 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 2021-02-09 | Direct | 0 |
Reported balance
After 2018-12-21 transaction · row 14
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 2021-05-26 | Direct | 0 |
Reported balance
After 2018-12-21 transaction · row 15
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 2022-05-31 | Direct | 0 |
Reported balance
After 2018-12-21 transaction · row 16
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 2023-06-19 | Direct | 0 |
Reported balance
After 2018-12-21 transaction · row 17
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 2024-05-15 | Direct | 0 |
Reported balance
After 2018-12-21 transaction · row 18
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 2025-05-14 | Direct | 0 |
Reported balance
After 2018-12-21 transaction · row 19
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 2026-05-05 | Direct | 0 |
Reported balance
After 2018-12-21 transaction · row 20
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 2027-05-04 | Direct | 0 |
Reported balance
After 2018-12-21 transaction · row 21
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 2028-05-03 | Direct | 0 |
Reported balance
After 2018-12-21 transaction · row 22
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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.