Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Aligos Therapeutics, Inc.ALGS · Entity 7352 | Director | June 25, 2026 | June 29, 2026 |
| Histogen Inc.CNAT · Entity 112047 | Director | June 21, 2018 | June 25, 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.
Aligos Therapeutics, Inc.
Report date June 25, 2026 · Filed June 29, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.50 · Expires 2036-06-25 | Direct | 5,860 |
Reported balance
After 2026-06-25 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-06-25 · Grant · Acquired 5,860 · Balance 5,860 F1: The shares subject to the option will vest and become exercisable as to 100% of the total number of shares subject to the option on the earlier of the first anniversary of the grant date or immediately prior to the annual meeting in 2027 of the Issuer's stockholders, subject to continuous service to the Issuer through such vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares subject to the option will vest and become exercisable as to 100% of the total number of shares subject to the option on the earlier of the first anniversary of the grant date or immediately prior to the annual meeting in 2027 of the Issuer's stockholders, subject to continuous service to the Issuer through such vesting date.
Histogen Inc.
Report date June 21, 2018 · Filed June 25, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $4.99 · Expires 2028-06-20 | Direct | 20,000 |
Reported balance
After 2018-06-21 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2018-06-21 · Grant · Acquired 20,000 · Balance 20,000 F1: The shares subject to this option become exercisable as the shares vest. The entire number of shares subject to this option becomes fully vested and exercisable on the first anniversary of the grant date, subject to the Reporting Person's continued service on the board of directors of the Issuer through such vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares subject to this option become exercisable as the shares vest. The entire number of shares subject to this option becomes fully vested and exercisable on the first anniversary of the grant date, subject to the Reporting Person's continued service on the board of directors of the Issuer through such vesting date.
Past disclosures · reporting ended (3)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Adverum Biotechnologies, Inc.
Report date December 09, 2025 · Filed December 10, 2025
Section 16 reporting ended · disclosed 2025-12-10. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2025-12-09 transaction · row 1
1 source rowRow 1 · 2025-12-09 · Other · Disposed 10,333 · Balance 0 F1: In connection with the terms of an Agreement and Plan of Merger, dated as of October 24, 2025 (the "Merger Agreement"), by and among the Issuer, Eli Lilly and Company ("Parent") and Parent's direct wholly owned subsidiary, Flying Tigers Acquisition Corporation ("Purchaser"), Purchaser completed a tender offer for shares of the Issuer's Common Stock. In exchange for each share, tendering stockholders received: (i) $3.56 per share in cash, without interest and less any applicable tax withholding (the "Cash Consideration"); plus (ii) one non-tradable contingent value right (each, a "CVR"), which represents the contractual right to receive up to two contingent cash payments of up to an aggregate of $8.91 per CVR, net to the stockholder in cash, F2: (continued from footnote 1) without interest and less any applicable tax withholding, upon the achievement of both specified milestones in accordance with the terms and subject to the conditions of a contingent value rights agreement (the "CVR Agreement") with Computershare Inc. and its affiliate, Computershare Trust Company, N.A, as the rights agent. After completion of the tender offer, pursuant to the terms of the Merger Agreement, Purchaser merged with and into the Issuer (the "Merger"), effective as of December 9, 2025, with the Issuer continuing as the surviving entity and a wholly owned subsidiary of Parent (the "Effective Time"). |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $64.80 | Direct | 0 |
Reported balance
After 2025-12-09 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2025-12-09 · Disposition to issuer · Disposed 4,666 · Balance 0 F3: Pursuant to the terms of the Merger Agreement, each Company Stock Option that has an exercise price equal to or greater than the Cash Consideration that was outstanding immediately prior to the Effective Time (each such Company Stock Option, an "Out-of-the-Money Option"), to the extent not vested, was fully vested as of prior to the Effective Time. Any Out-of-the-Money Options that remained outstanding and unexercised as of the Effective Time was cancelled for no consideration at the Effective Time. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $134.10 | Direct | 0 |
Reported balance
After 2025-12-09 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2025-12-09 · Disposition to issuer · Disposed 4,500 · Balance 0 F3: Pursuant to the terms of the Merger Agreement, each Company Stock Option that has an exercise price equal to or greater than the Cash Consideration that was outstanding immediately prior to the Effective Time (each such Company Stock Option, an "Out-of-the-Money Option"), to the extent not vested, was fully vested as of prior to the Effective Time. Any Out-of-the-Money Options that remained outstanding and unexercised as of the Effective Time was cancelled for no consideration at the Effective Time. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $256.40 | Direct | 0 |
Reported balance
After 2025-12-09 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2025-12-09 · Disposition to issuer · Disposed 3,000 · Balance 0 F3: Pursuant to the terms of the Merger Agreement, each Company Stock Option that has an exercise price equal to or greater than the Cash Consideration that was outstanding immediately prior to the Effective Time (each such Company Stock Option, an "Out-of-the-Money Option"), to the extent not vested, was fully vested as of prior to the Effective Time. Any Out-of-the-Money Options that remained outstanding and unexercised as of the Effective Time was cancelled for no consideration at the Effective Time. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $37.00 | Direct | 0 |
Reported balance
After 2025-12-09 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2025-12-09 · Disposition to issuer · Disposed 4,000 · Balance 0 F3: Pursuant to the terms of the Merger Agreement, each Company Stock Option that has an exercise price equal to or greater than the Cash Consideration that was outstanding immediately prior to the Effective Time (each such Company Stock Option, an "Out-of-the-Money Option"), to the extent not vested, was fully vested as of prior to the Effective Time. Any Out-of-the-Money Options that remained outstanding and unexercised as of the Effective Time was cancelled for no consideration at the Effective Time. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $9.90 | Direct | 0 |
Reported balance
After 2025-12-09 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2025-12-09 · Disposition to issuer · Disposed 4,000 · Balance 0 F3: Pursuant to the terms of the Merger Agreement, each Company Stock Option that has an exercise price equal to or greater than the Cash Consideration that was outstanding immediately prior to the Effective Time (each such Company Stock Option, an "Out-of-the-Money Option"), to the extent not vested, was fully vested as of prior to the Effective Time. Any Out-of-the-Money Options that remained outstanding and unexercised as of the Effective Time was cancelled for no consideration at the Effective Time. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $15.60 | Direct | 0 |
Reported balance
After 2025-12-09 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2025-12-09 · Disposition to issuer · Disposed 4,000 · Balance 0 F3: Pursuant to the terms of the Merger Agreement, each Company Stock Option that has an exercise price equal to or greater than the Cash Consideration that was outstanding immediately prior to the Effective Time (each such Company Stock Option, an "Out-of-the-Money Option"), to the extent not vested, was fully vested as of prior to the Effective Time. Any Out-of-the-Money Options that remained outstanding and unexercised as of the Effective Time was cancelled for no consideration at the Effective Time. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $7.32 | Direct | 0 |
Reported balance
After 2025-12-09 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2025-12-09 · Disposition to issuer · Disposed 10,520 · Balance 0 F3: Pursuant to the terms of the Merger Agreement, each Company Stock Option that has an exercise price equal to or greater than the Cash Consideration that was outstanding immediately prior to the Effective Time (each such Company Stock Option, an "Out-of-the-Money Option"), to the extent not vested, was fully vested as of prior to the Effective Time. Any Out-of-the-Money Options that remained outstanding and unexercised as of the Effective Time was cancelled for no consideration at the Effective Time. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.32 | Direct | 0 |
Reported balance
After 2025-12-09 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2025-12-09 · Disposition to issuer · Disposed 10,450 · Balance 0 F4: Pursuant to the terms of the Merger Agreement, at the Effective Time, each outstanding stock option granted under a Company Equity Plan having an exercise price less than the Cash Consideration (each such option, a "Cash-Out Stock Option") that was outstanding immediately prior to the Effective Time, whether or not vested, was automatically cancelled, and in exchange for such cancellation, the holder of such Cash-Out Stock Option received (i) an amount in cash, without interest and less any applicable tax withholdings, equal to the product of (a) the excess, if any, of the Cash Consideration over the applicable exercise price per share underlying such Cash-Out Stock Option multiplied by (b) the total number of shares subject to such Cash-Out Stock Option and (ii) one CVR for each share subject to such Cash-Out Stock Option (without regard to vesting). |
Filing footnotes · ownership attribution and instrument terms
F1: In connection with the terms of an Agreement and Plan of Merger, dated as of October 24, 2025 (the "Merger Agreement"), by and among the Issuer, Eli Lilly and Company ("Parent") and Parent's direct wholly owned subsidiary, Flying Tigers Acquisition Corporation ("Purchaser"), Purchaser completed a tender offer for shares of the Issuer's Common Stock. In exchange for each share, tendering stockholders received: (i) $3.56 per share in cash, without interest and less any applicable tax withholding (the "Cash Consideration"); plus (ii) one non-tradable contingent value right (each, a "CVR"), which represents the contractual right to receive up to two contingent cash payments of up to an aggregate of $8.91 per CVR, net to the stockholder in cash,
F2: (continued from footnote 1) without interest and less any applicable tax withholding, upon the achievement of both specified milestones in accordance with the terms and subject to the conditions of a contingent value rights agreement (the "CVR Agreement") with Computershare Inc. and its affiliate, Computershare Trust Company, N.A, as the rights agent. After completion of the tender offer, pursuant to the terms of the Merger Agreement, Purchaser merged with and into the Issuer (the "Merger"), effective as of December 9, 2025, with the Issuer continuing as the surviving entity and a wholly owned subsidiary of Parent (the "Effective Time").
F3: Pursuant to the terms of the Merger Agreement, each Company Stock Option that has an exercise price equal to or greater than the Cash Consideration that was outstanding immediately prior to the Effective Time (each such Company Stock Option, an "Out-of-the-Money Option"), to the extent not vested, was fully vested as of prior to the Effective Time. Any Out-of-the-Money Options that remained outstanding and unexercised as of the Effective Time was cancelled for no consideration at the Effective Time.
F4: Pursuant to the terms of the Merger Agreement, at the Effective Time, each outstanding stock option granted under a Company Equity Plan having an exercise price less than the Cash Consideration (each such option, a "Cash-Out Stock Option") that was outstanding immediately prior to the Effective Time, whether or not vested, was automatically cancelled, and in exchange for such cancellation, the holder of such Cash-Out Stock Option received (i) an amount in cash, without interest and less any applicable tax withholdings, equal to the product of (a) the excess, if any, of the Cash Consideration over the applicable exercise price per share underlying such Cash-Out Stock Option multiplied by (b) the total number of shares subject to such Cash-Out Stock Option and (ii) one CVR for each share subject to such Cash-Out Stock Option (without regard to vesting).
DICE Therapeutics, Inc.
Report date August 09, 2023 · Filed August 09, 2023
Section 16 reporting ended · disclosed 2023-08-09. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2023-08-09 transaction · row 1
1 source rowRow 1 · 2023-08-09 · Disposition to issuer · Disposed 15,199 · Balance 0 F1: On June 18, 2023, DICE Therapeutics, Inc., a Delaware corporation (the "Issuer" or the "Company") entered into the Agreement and Plan of Merger (the "Merger Agreement"), with Eli Lilly and Company, an Indiana corporation (the "Parent"), and Durning Acquisition Corporation, a Delaware corporation and a direct or indirect wholly owned subsidiary of the Parent (the "Merger Sub"). Pursuant to the Merger Agreement, the Merger Sub merged with and into the Company (such merger and the other transactions contemplated by the Merger Agreement, the "Merger") with the Company surviving the Merger as a wholly owned subsidiary of the Parent. F2: (Continued from Footnote 1) Upon the closing (the "Closing") of the Merger on August 9, 2023, each share of the Company's Common Stock, par value $0.0001 per share ("Common Stock"), was either (x) purchased for $48.00 per share (the "Offer Price"), without interest, less any applicable withholding taxes or (y) automatically converted into the right to receive an amount in cash without interest, equal to the Offer Price, less any applicable withholding taxes. Immediately prior to the Closing, any repurchase rights of the Company or other similar restrictions on the Common Stock fully lapsed and all Common Stock became fully vested. |
| Common StockSEC Table I · non-derivative | IndirectBy Trust | 0 |
Reported balance
After 2023-08-09 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 2 · 2023-08-09 · Disposition to issuer · Disposed 25,722 · Balance 0 F1: On June 18, 2023, DICE Therapeutics, Inc., a Delaware corporation (the "Issuer" or the "Company") entered into the Agreement and Plan of Merger (the "Merger Agreement"), with Eli Lilly and Company, an Indiana corporation (the "Parent"), and Durning Acquisition Corporation, a Delaware corporation and a direct or indirect wholly owned subsidiary of the Parent (the "Merger Sub"). Pursuant to the Merger Agreement, the Merger Sub merged with and into the Company (such merger and the other transactions contemplated by the Merger Agreement, the "Merger") with the Company surviving the Merger as a wholly owned subsidiary of the Parent. F2: (Continued from Footnote 1) Upon the closing (the "Closing") of the Merger on August 9, 2023, each share of the Company's Common Stock, par value $0.0001 per share ("Common Stock"), was either (x) purchased for $48.00 per share (the "Offer Price"), without interest, less any applicable withholding taxes or (y) automatically converted into the right to receive an amount in cash without interest, equal to the Offer Price, less any applicable withholding taxes. Immediately prior to the Closing, any repurchase rights of the Company or other similar restrictions on the Common Stock fully lapsed and all Common Stock became fully vested. F3: These securities are held of record by The James P. Scopa and Anne E. Kenner Family Trust, Anne E. Kenner and James P. Scopa, Trustees. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $17.00 · Expires 2031-09-14 | Direct | 0 |
Reported balance
After 2023-08-09 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2023-08-09 · Disposition to issuer · Disposed 12,096 · Balance 0 F5: Pursuant to the Merger Agreement, each Option to purchase shares of Common Stock that was outstanding but not vested as of immediately prior to the Closing (the "Unvested Option"), became fully vested and exercisable (the "Vested Option"). Each Vested Option was automatically cancelled and converted into the right to receive an amount in cash, without interest, less any applicable tax withholding, equal to the product obtained by multiplying (i) the excess, if any, of the Offer Price over the exercise price per share of Common Stock underlying such Option by (ii) the number of shares of Common Stock underlying such Option. Except if the exercise price per share of Common Stock of the Option was equal to or greater than the Offer Price, such Option was cancelled without any cash payment or other consideration being made in respect thereof. F4: The Company's Stock Option (the "Option") vests as to 1/36th of the total shares monthly, beginning November 8, 2020, subject to the Reporting Holder's continued service to the Registrant. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $17.00 · Expires 2031-09-14 | Direct | 0 |
Reported balance
After 2023-08-09 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2023-08-09 · Disposition to issuer · Disposed 8,261 · Balance 0 F5: Pursuant to the Merger Agreement, each Option to purchase shares of Common Stock that was outstanding but not vested as of immediately prior to the Closing (the "Unvested Option"), became fully vested and exercisable (the "Vested Option"). Each Vested Option was automatically cancelled and converted into the right to receive an amount in cash, without interest, less any applicable tax withholding, equal to the product obtained by multiplying (i) the excess, if any, of the Offer Price over the exercise price per share of Common Stock underlying such Option by (ii) the number of shares of Common Stock underlying such Option. Except if the exercise price per share of Common Stock of the Option was equal to or greater than the Offer Price, such Option was cancelled without any cash payment or other consideration being made in respect thereof. F6: The Option vests as to 1/36th of the total shares monthly, beginning January 1, 2021, subject to the Reporting Holder's continued service to the Registrant. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $17.00 · Expires 2031-09-14 | Direct | 0 |
Reported balance
After 2023-08-09 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2023-08-09 · Disposition to issuer · Disposed 13,800 · Balance 0 F5: Pursuant to the Merger Agreement, each Option to purchase shares of Common Stock that was outstanding but not vested as of immediately prior to the Closing (the "Unvested Option"), became fully vested and exercisable (the "Vested Option"). Each Vested Option was automatically cancelled and converted into the right to receive an amount in cash, without interest, less any applicable tax withholding, equal to the product obtained by multiplying (i) the excess, if any, of the Offer Price over the exercise price per share of Common Stock underlying such Option by (ii) the number of shares of Common Stock underlying such Option. Except if the exercise price per share of Common Stock of the Option was equal to or greater than the Offer Price, such Option was cancelled without any cash payment or other consideration being made in respect thereof. F7: The Option vests as to 1/48th of the total shares monthly, beginning August 20, 2021, subject to the Reporting Holder's continued service to the Registrant. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $14.98 · Expires 2032-06-06 | Direct | 0 |
Reported balance
After 2023-08-09 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2023-08-09 · Disposition to issuer · Disposed 21,250 · Balance 0 F5: Pursuant to the Merger Agreement, each Option to purchase shares of Common Stock that was outstanding but not vested as of immediately prior to the Closing (the "Unvested Option"), became fully vested and exercisable (the "Vested Option"). Each Vested Option was automatically cancelled and converted into the right to receive an amount in cash, without interest, less any applicable tax withholding, equal to the product obtained by multiplying (i) the excess, if any, of the Offer Price over the exercise price per share of Common Stock underlying such Option by (ii) the number of shares of Common Stock underlying such Option. Except if the exercise price per share of Common Stock of the Option was equal to or greater than the Offer Price, such Option was cancelled without any cash payment or other consideration being made in respect thereof. F8: The Option is fully vested and exercisable. |
Filing footnotes · ownership attribution and instrument terms
F1: On June 18, 2023, DICE Therapeutics, Inc., a Delaware corporation (the "Issuer" or the "Company") entered into the Agreement and Plan of Merger (the "Merger Agreement"), with Eli Lilly and Company, an Indiana corporation (the "Parent"), and Durning Acquisition Corporation, a Delaware corporation and a direct or indirect wholly owned subsidiary of the Parent (the "Merger Sub"). Pursuant to the Merger Agreement, the Merger Sub merged with and into the Company (such merger and the other transactions contemplated by the Merger Agreement, the "Merger") with the Company surviving the Merger as a wholly owned subsidiary of the Parent.
F2: (Continued from Footnote 1) Upon the closing (the "Closing") of the Merger on August 9, 2023, each share of the Company's Common Stock, par value $0.0001 per share ("Common Stock"), was either (x) purchased for $48.00 per share (the "Offer Price"), without interest, less any applicable withholding taxes or (y) automatically converted into the right to receive an amount in cash without interest, equal to the Offer Price, less any applicable withholding taxes. Immediately prior to the Closing, any repurchase rights of the Company or other similar restrictions on the Common Stock fully lapsed and all Common Stock became fully vested.
F3: These securities are held of record by The James P. Scopa and Anne E. Kenner Family Trust, Anne E. Kenner and James P. Scopa, Trustees.
F4: The Company's Stock Option (the "Option") vests as to 1/36th of the total shares monthly, beginning November 8, 2020, subject to the Reporting Holder's continued service to the Registrant.
F5: Pursuant to the Merger Agreement, each Option to purchase shares of Common Stock that was outstanding but not vested as of immediately prior to the Closing (the "Unvested Option"), became fully vested and exercisable (the "Vested Option"). Each Vested Option was automatically cancelled and converted into the right to receive an amount in cash, without interest, less any applicable tax withholding, equal to the product obtained by multiplying (i) the excess, if any, of the Offer Price over the exercise price per share of Common Stock underlying such Option by (ii) the number of shares of Common Stock underlying such Option. Except if the exercise price per share of Common Stock of the Option was equal to or greater than the Offer Price, such Option was cancelled without any cash payment or other consideration being made in respect thereof.
F6: The Option vests as to 1/36th of the total shares monthly, beginning January 1, 2021, subject to the Reporting Holder's continued service to the Registrant.
F7: The Option vests as to 1/48th of the total shares monthly, beginning August 20, 2021, subject to the Reporting Holder's continued service to the Registrant.
F8: The Option is fully vested and exercisable.
Radius Health, Inc.
Report date September 27, 2016 · Filed September 29, 2016
Jointly reported with MPM BioVentures IV LLC, MPM BioVentures IV GP LLC, MPM Bio IV NVS Strategic Fund LP, KAILIAN VAUGHN M, Foley Todd
Section 16 reporting ended · disclosed 2016-09-29. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 1,427,698 |
Reported balance
After 2016-09-27 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2016-09-27 · Other · Disposed 713,849 · Balance 1,427,698 F1: Represents a pro-rata in-kind distribution of Common Stock of the Issuer by MPM Bio IV NVS Strategic Fund, L.P. ("MPM NVS"), without consideration to its limited partners. F2: The shares are held by MPM NVS. F3: MPM BioVentures IV GP LLC ("BV IV GP LLC") and MPM BioVentures IV LLC ("BV IV LLC") are the direct and indirect general partners of MPM NVS. Luke Evnin, Ansbert Gadicke, Todd Foley, Vaughn M. Kailian and James Paul Scopa are the members of BV IV LLC. Each reporting person disclaims beneficial ownership of the securities reported herein except to the extent of his or its respective pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents a pro-rata in-kind distribution of Common Stock of the Issuer by MPM Bio IV NVS Strategic Fund, L.P. ("MPM NVS"), without consideration to its limited partners.
F2: The shares are held by MPM NVS.
F3: MPM BioVentures IV GP LLC ("BV IV GP LLC") and MPM BioVentures IV LLC ("BV IV LLC") are the direct and indirect general partners of MPM NVS. Luke Evnin, Ansbert Gadicke, Todd Foley, Vaughn M. Kailian and James Paul Scopa are the members of BV IV LLC. Each reporting person disclaims beneficial ownership of the securities reported herein except to the extent of his or its respective pecuniary interest therein.
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 |
|---|---|---|---|---|---|---|
| June 25, 2026 Filed Jun 29, 2026 20:36 UTC | Aligos Therapeutics, Inc. ALGS · Entity 7352 | GrantStock Option (Right to Buy) · Derivative | 5,860 | $0.00 Strike: $5.50 | $0.00 |
DisclosureSEC source: 0001610717-26-000302 · form4.xml · derivative · entry 1 Scopa James Paul · CIK 0001356950 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 5,860 Underlying: Common Stock · 5,860 shares Expires 2036-06-25 F1 · derivative.exercise_date: The shares subject to the option will vest and become exercisable as to 100% of the total number of shares subject to the option on the earlier of the first anniversary of the grant date or immediately prior to the annual meeting in 2027 of the Issuer's stockholders, subject to continuous service to the Issuer through such vesting date. Read SEC document |
| December 09, 2025 Filed Dec 10, 2025 18:29 UTC | Adverum Biotechnologies, Inc. ADVM · Entity 71889 | Disposition to issuerStock Option (Right to Buy) · Derivative | 10,450 | Not disclosed Strike: $2.32 | Not disclosed |
DisclosureSEC source: 0001356950-25-000004 · form4-12102025_061232.xml · derivative · entry 9 Scopa James Paul · CIK 0001356950 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 10,450 shares Expires not disclosed F4 · price: Pursuant to the terms of the Merger Agreement, at the Effective Time, each outstanding stock option granted under a Company Equity Plan having an exercise price less than the Cash Consideration (each such option, a "Cash-Out Stock Option") that was outstanding immediately prior to the Effective Time, whether or not vested, was automatically cancelled, and in exchange for such cancellation, the holder of such Cash-Out Stock Option received (i) an amount in cash, without interest and less any applicable tax withholdings, equal to the product of (a) the excess, if any, of the Cash Consideration over the applicable exercise price per share underlying such Cash-Out Stock Option multiplied by (b) the total number of shares subject to such Cash-Out Stock Option and (ii) one CVR for each share subject to such Cash-Out Stock Option (without regard to vesting). F4 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, at the Effective Time, each outstanding stock option granted under a Company Equity Plan having an exercise price less than the Cash Consideration (each such option, a "Cash-Out Stock Option") that was outstanding immediately prior to the Effective Time, whether or not vested, was automatically cancelled, and in exchange for such cancellation, the holder of such Cash-Out Stock Option received (i) an amount in cash, without interest and less any applicable tax withholdings, equal to the product of (a) the excess, if any, of the Cash Consideration over the applicable exercise price per share underlying such Cash-Out Stock Option multiplied by (b) the total number of shares subject to such Cash-Out Stock Option and (ii) one CVR for each share subject to such Cash-Out Stock Option (without regard to vesting). F4 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement, at the Effective Time, each outstanding stock option granted under a Company Equity Plan having an exercise price less than the Cash Consideration (each such option, a "Cash-Out Stock Option") that was outstanding immediately prior to the Effective Time, whether or not vested, was automatically cancelled, and in exchange for such cancellation, the holder of such Cash-Out Stock Option received (i) an amount in cash, without interest and less any applicable tax withholdings, equal to the product of (a) the excess, if any, of the Cash Consideration over the applicable exercise price per share underlying such Cash-Out Stock Option multiplied by (b) the total number of shares subject to such Cash-Out Stock Option and (ii) one CVR for each share subject to such Cash-Out Stock Option (without regard to vesting). Read SEC document |
| December 09, 2025 Filed Dec 10, 2025 18:29 UTC | Adverum Biotechnologies, Inc. ADVM · Entity 71889 | Disposition to issuerStock Option (Right to Buy) · Derivative | 10,520 | Not disclosed Strike: $7.32 | Not disclosed |
DisclosureSEC source: 0001356950-25-000004 · form4-12102025_061232.xml · derivative · entry 8 Scopa James Paul · CIK 0001356950 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 10,520 shares Expires not disclosed F3 · price: Pursuant to the terms of the Merger Agreement, each Company Stock Option that has an exercise price equal to or greater than the Cash Consideration that was outstanding immediately prior to the Effective Time (each such Company Stock Option, an "Out-of-the-Money Option"), to the extent not vested, was fully vested as of prior to the Effective Time. Any Out-of-the-Money Options that remained outstanding and unexercised as of the Effective Time was cancelled for no consideration at the Effective Time. F3 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, each Company Stock Option that has an exercise price equal to or greater than the Cash Consideration that was outstanding immediately prior to the Effective Time (each such Company Stock Option, an "Out-of-the-Money Option"), to the extent not vested, was fully vested as of prior to the Effective Time. Any Out-of-the-Money Options that remained outstanding and unexercised as of the Effective Time was cancelled for no consideration at the Effective Time. F3 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement, each Company Stock Option that has an exercise price equal to or greater than the Cash Consideration that was outstanding immediately prior to the Effective Time (each such Company Stock Option, an "Out-of-the-Money Option"), to the extent not vested, was fully vested as of prior to the Effective Time. Any Out-of-the-Money Options that remained outstanding and unexercised as of the Effective Time was cancelled for no consideration at the Effective Time. Read SEC document |
| December 09, 2025 Filed Dec 10, 2025 18:29 UTC | Adverum Biotechnologies, Inc. ADVM · Entity 71889 | Disposition to issuerStock Option (Right to Buy) · Derivative | 4,000 | Not disclosed Strike: $15.60 | Not disclosed |
DisclosureSEC source: 0001356950-25-000004 · form4-12102025_061232.xml · derivative · entry 7 Scopa James Paul · CIK 0001356950 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 4,000 shares Expires not disclosed F3 · price: Pursuant to the terms of the Merger Agreement, each Company Stock Option that has an exercise price equal to or greater than the Cash Consideration that was outstanding immediately prior to the Effective Time (each such Company Stock Option, an "Out-of-the-Money Option"), to the extent not vested, was fully vested as of prior to the Effective Time. Any Out-of-the-Money Options that remained outstanding and unexercised as of the Effective Time was cancelled for no consideration at the Effective Time. F3 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, each Company Stock Option that has an exercise price equal to or greater than the Cash Consideration that was outstanding immediately prior to the Effective Time (each such Company Stock Option, an "Out-of-the-Money Option"), to the extent not vested, was fully vested as of prior to the Effective Time. Any Out-of-the-Money Options that remained outstanding and unexercised as of the Effective Time was cancelled for no consideration at the Effective Time. F3 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement, each Company Stock Option that has an exercise price equal to or greater than the Cash Consideration that was outstanding immediately prior to the Effective Time (each such Company Stock Option, an "Out-of-the-Money Option"), to the extent not vested, was fully vested as of prior to the Effective Time. Any Out-of-the-Money Options that remained outstanding and unexercised as of the Effective Time was cancelled for no consideration at the Effective Time. Read SEC document |
| December 09, 2025 Filed Dec 10, 2025 18:29 UTC | Adverum Biotechnologies, Inc. ADVM · Entity 71889 | Disposition to issuerStock Option (Right to Buy) · Derivative | 4,000 | Not disclosed Strike: $9.90 | Not disclosed |
DisclosureSEC source: 0001356950-25-000004 · form4-12102025_061232.xml · derivative · entry 6 Scopa James Paul · CIK 0001356950 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 4,000 shares Expires not disclosed F3 · price: Pursuant to the terms of the Merger Agreement, each Company Stock Option that has an exercise price equal to or greater than the Cash Consideration that was outstanding immediately prior to the Effective Time (each such Company Stock Option, an "Out-of-the-Money Option"), to the extent not vested, was fully vested as of prior to the Effective Time. Any Out-of-the-Money Options that remained outstanding and unexercised as of the Effective Time was cancelled for no consideration at the Effective Time. F3 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, each Company Stock Option that has an exercise price equal to or greater than the Cash Consideration that was outstanding immediately prior to the Effective Time (each such Company Stock Option, an "Out-of-the-Money Option"), to the extent not vested, was fully vested as of prior to the Effective Time. Any Out-of-the-Money Options that remained outstanding and unexercised as of the Effective Time was cancelled for no consideration at the Effective Time. F3 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement, each Company Stock Option that has an exercise price equal to or greater than the Cash Consideration that was outstanding immediately prior to the Effective Time (each such Company Stock Option, an "Out-of-the-Money Option"), to the extent not vested, was fully vested as of prior to the Effective Time. Any Out-of-the-Money Options that remained outstanding and unexercised as of the Effective Time was cancelled for no consideration at the Effective Time. Read SEC document |
| December 09, 2025 Filed Dec 10, 2025 18:29 UTC | Adverum Biotechnologies, Inc. ADVM · Entity 71889 | Disposition to issuerStock Option (Right to Buy) · Derivative | 4,000 | Not disclosed Strike: $37.00 | Not disclosed |
DisclosureSEC source: 0001356950-25-000004 · form4-12102025_061232.xml · derivative · entry 5 Scopa James Paul · CIK 0001356950 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 4,000 shares Expires not disclosed F3 · price: Pursuant to the terms of the Merger Agreement, each Company Stock Option that has an exercise price equal to or greater than the Cash Consideration that was outstanding immediately prior to the Effective Time (each such Company Stock Option, an "Out-of-the-Money Option"), to the extent not vested, was fully vested as of prior to the Effective Time. Any Out-of-the-Money Options that remained outstanding and unexercised as of the Effective Time was cancelled for no consideration at the Effective Time. F3 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, each Company Stock Option that has an exercise price equal to or greater than the Cash Consideration that was outstanding immediately prior to the Effective Time (each such Company Stock Option, an "Out-of-the-Money Option"), to the extent not vested, was fully vested as of prior to the Effective Time. Any Out-of-the-Money Options that remained outstanding and unexercised as of the Effective Time was cancelled for no consideration at the Effective Time. F3 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement, each Company Stock Option that has an exercise price equal to or greater than the Cash Consideration that was outstanding immediately prior to the Effective Time (each such Company Stock Option, an "Out-of-the-Money Option"), to the extent not vested, was fully vested as of prior to the Effective Time. Any Out-of-the-Money Options that remained outstanding and unexercised as of the Effective Time was cancelled for no consideration at the Effective Time. Read SEC document |
| December 09, 2025 Filed Dec 10, 2025 18:29 UTC | Adverum Biotechnologies, Inc. ADVM · Entity 71889 | Disposition to issuerStock Option (Right to Buy) · Derivative | 3,000 | Not disclosed Strike: $256.40 | Not disclosed |
DisclosureSEC source: 0001356950-25-000004 · form4-12102025_061232.xml · derivative · entry 4 Scopa James Paul · CIK 0001356950 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,000 shares Expires not disclosed F3 · price: Pursuant to the terms of the Merger Agreement, each Company Stock Option that has an exercise price equal to or greater than the Cash Consideration that was outstanding immediately prior to the Effective Time (each such Company Stock Option, an "Out-of-the-Money Option"), to the extent not vested, was fully vested as of prior to the Effective Time. Any Out-of-the-Money Options that remained outstanding and unexercised as of the Effective Time was cancelled for no consideration at the Effective Time. F3 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, each Company Stock Option that has an exercise price equal to or greater than the Cash Consideration that was outstanding immediately prior to the Effective Time (each such Company Stock Option, an "Out-of-the-Money Option"), to the extent not vested, was fully vested as of prior to the Effective Time. Any Out-of-the-Money Options that remained outstanding and unexercised as of the Effective Time was cancelled for no consideration at the Effective Time. F3 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement, each Company Stock Option that has an exercise price equal to or greater than the Cash Consideration that was outstanding immediately prior to the Effective Time (each such Company Stock Option, an "Out-of-the-Money Option"), to the extent not vested, was fully vested as of prior to the Effective Time. Any Out-of-the-Money Options that remained outstanding and unexercised as of the Effective Time was cancelled for no consideration at the Effective Time. Read SEC document |
| December 09, 2025 Filed Dec 10, 2025 18:29 UTC | Adverum Biotechnologies, Inc. ADVM · Entity 71889 | Disposition to issuerStock Option (Right to Buy) · Derivative | 4,500 | Not disclosed Strike: $134.10 | Not disclosed |
DisclosureSEC source: 0001356950-25-000004 · form4-12102025_061232.xml · derivative · entry 3 Scopa James Paul · CIK 0001356950 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 4,500 shares Expires not disclosed F3 · price: Pursuant to the terms of the Merger Agreement, each Company Stock Option that has an exercise price equal to or greater than the Cash Consideration that was outstanding immediately prior to the Effective Time (each such Company Stock Option, an "Out-of-the-Money Option"), to the extent not vested, was fully vested as of prior to the Effective Time. Any Out-of-the-Money Options that remained outstanding and unexercised as of the Effective Time was cancelled for no consideration at the Effective Time. F3 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, each Company Stock Option that has an exercise price equal to or greater than the Cash Consideration that was outstanding immediately prior to the Effective Time (each such Company Stock Option, an "Out-of-the-Money Option"), to the extent not vested, was fully vested as of prior to the Effective Time. Any Out-of-the-Money Options that remained outstanding and unexercised as of the Effective Time was cancelled for no consideration at the Effective Time. F3 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement, each Company Stock Option that has an exercise price equal to or greater than the Cash Consideration that was outstanding immediately prior to the Effective Time (each such Company Stock Option, an "Out-of-the-Money Option"), to the extent not vested, was fully vested as of prior to the Effective Time. Any Out-of-the-Money Options that remained outstanding and unexercised as of the Effective Time was cancelled for no consideration at the Effective Time. Read SEC document |
| December 09, 2025 Filed Dec 10, 2025 18:29 UTC | Adverum Biotechnologies, Inc. ADVM · Entity 71889 | Disposition to issuerStock Option (Right to Buy) · Derivative | 4,666 | Not disclosed Strike: $64.80 | Not disclosed |
DisclosureSEC source: 0001356950-25-000004 · form4-12102025_061232.xml · derivative · entry 2 Scopa James Paul · CIK 0001356950 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 4,666 shares Expires not disclosed F3 · price: Pursuant to the terms of the Merger Agreement, each Company Stock Option that has an exercise price equal to or greater than the Cash Consideration that was outstanding immediately prior to the Effective Time (each such Company Stock Option, an "Out-of-the-Money Option"), to the extent not vested, was fully vested as of prior to the Effective Time. Any Out-of-the-Money Options that remained outstanding and unexercised as of the Effective Time was cancelled for no consideration at the Effective Time. F3 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, each Company Stock Option that has an exercise price equal to or greater than the Cash Consideration that was outstanding immediately prior to the Effective Time (each such Company Stock Option, an "Out-of-the-Money Option"), to the extent not vested, was fully vested as of prior to the Effective Time. Any Out-of-the-Money Options that remained outstanding and unexercised as of the Effective Time was cancelled for no consideration at the Effective Time. F3 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement, each Company Stock Option that has an exercise price equal to or greater than the Cash Consideration that was outstanding immediately prior to the Effective Time (each such Company Stock Option, an "Out-of-the-Money Option"), to the extent not vested, was fully vested as of prior to the Effective Time. Any Out-of-the-Money Options that remained outstanding and unexercised as of the Effective Time was cancelled for no consideration at the Effective Time. Read SEC document |
| December 09, 2025 Filed Dec 10, 2025 18:29 UTC | Adverum Biotechnologies, Inc. ADVM · Entity 71889 | OtherCommon Stock | 10,333 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001356950-25-000004 · form4-12102025_061232.xml · nonDerivative · entry 1 Scopa James Paul · CIK 0001356950 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 F1 · kind: In connection with the terms of an Agreement and Plan of Merger, dated as of October 24, 2025 (the "Merger Agreement"), by and among the Issuer, Eli Lilly and Company ("Parent") and Parent's direct wholly owned subsidiary, Flying Tigers Acquisition Corporation ("Purchaser"), Purchaser completed a tender offer for shares of the Issuer's Common Stock. In exchange for each share, tendering stockholders received: (i) $3.56 per share in cash, without interest and less any applicable tax withholding (the "Cash Consideration"); plus (ii) one non-tradable contingent value right (each, a "CVR"), which represents the contractual right to receive up to two contingent cash payments of up to an aggregate of $8.91 per CVR, net to the stockholder in cash, F2 · kind: (continued from footnote 1) without interest and less any applicable tax withholding, upon the achievement of both specified milestones in accordance with the terms and subject to the conditions of a contingent value rights agreement (the "CVR Agreement") with Computershare Inc. and its affiliate, Computershare Trust Company, N.A, as the rights agent. After completion of the tender offer, pursuant to the terms of the Merger Agreement, Purchaser merged with and into the Issuer (the "Merger"), effective as of December 9, 2025, with the Issuer continuing as the surviving entity and a wholly owned subsidiary of Parent (the "Effective Time"). F1 · price: In connection with the terms of an Agreement and Plan of Merger, dated as of October 24, 2025 (the "Merger Agreement"), by and among the Issuer, Eli Lilly and Company ("Parent") and Parent's direct wholly owned subsidiary, Flying Tigers Acquisition Corporation ("Purchaser"), Purchaser completed a tender offer for shares of the Issuer's Common Stock. In exchange for each share, tendering stockholders received: (i) $3.56 per share in cash, without interest and less any applicable tax withholding (the "Cash Consideration"); plus (ii) one non-tradable contingent value right (each, a "CVR"), which represents the contractual right to receive up to two contingent cash payments of up to an aggregate of $8.91 per CVR, net to the stockholder in cash, F2 · price: (continued from footnote 1) without interest and less any applicable tax withholding, upon the achievement of both specified milestones in accordance with the terms and subject to the conditions of a contingent value rights agreement (the "CVR Agreement") with Computershare Inc. and its affiliate, Computershare Trust Company, N.A, as the rights agent. After completion of the tender offer, pursuant to the terms of the Merger Agreement, Purchaser merged with and into the Issuer (the "Merger"), effective as of December 9, 2025, with the Issuer continuing as the surviving entity and a wholly owned subsidiary of Parent (the "Effective Time"). Read SEC document |
| June 25, 2025 Filed Jun 26, 2025 20:30 UTC | Aligos Therapeutics, Inc. ALGS · Entity 7352 | GrantStock Option (Right to Buy) · Derivative | 5,860 | $0.00 Strike: $7.63 | $0.00 |
DisclosureSEC source: 0001610717-25-000258 · form4.xml · derivative · entry 1 Scopa James Paul · CIK 0001356950 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 5,860 Underlying: Common Stock · 5,860 shares Expires 2035-06-25 F1 · derivative.exercise_date: The shares subject to the option will vest and become exercisable as to 100% of the total number of shares subject to the option on the earlier of the first anniversary of the grant date or immediately prior to the annual meeting in 2026 of the Issuer's stockholders, subject to continuous service to the Issuer through such vesting date. Read SEC document |
| June 17, 2025 Filed Jun 20, 2025 20:26 UTC | Adverum Biotechnologies, Inc. ADVM · Entity 71889 | GrantStock Option (Right to Buy) · Derivative | 10,450 | $0.00 Strike: $2.32 | $0.00 |
DisclosureSEC source: 0001415889-25-017856 · form4-06202025_080606.xml · derivative · entry 1 Scopa James Paul · CIK 0001356950 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 10,450 Underlying: Common Stock · 10,450 shares Expires 2035-06-16 F1 · derivative.exercise_date: The shares subject to the option will vest and become exercisable on the earlier of June 17, 2026 or the 2026 annual meeting of stockholders, subject to (1) accelerated vesting upon a change of control and (2) the Reporting Person's continued service with the Issuer on the vesting date. Read SEC document |
| June 27, 2024 Filed Jun 28, 2024 20:07 UTC | Aligos Therapeutics, Inc. ALGS · Entity 7352 | GrantStock Option (Right to Buy) · Derivative | 60,000 | $0.00 Strike: $0.38 | $0.00 |
DisclosureSEC source: 0001610717-24-000370 · form4.xml · derivative · entry 1 Scopa James Paul · CIK 0001356950 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 60,000 Underlying: Common Stock · 60,000 shares Expires 2034-06-27 F1 · derivative.exercise_date: The shares subject to the option will vest and become exercisable as to 100% of the total number of shares subject to the option on the earlier of the first anniversary of the grant date or immediately prior to the annual meeting in 2025 of the Issuer's stockholders, subject to continuous service to the Issuer through such vesting date. Read SEC document |
| June 17, 2024 Filed Jun 20, 2024 20:44 UTC | Adverum Biotechnologies, Inc. ADVM · Entity 71889 | GrantStock Option (Right to Buy) · Derivative | 10,520 | $0.00 Strike: $7.32 | $0.00 |
DisclosureSEC source: 0001415889-24-017674 · form4-06202024_080655.xml · derivative · entry 1 Scopa James Paul · CIK 0001356950 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 10,520 Underlying: Common Stock · 10,520 shares Expires 2034-06-16 F1 · derivative.exercise_date: The shares subject to the option will vest and become exercisable on the earlier of June 17, 2025 or the 2025 annual meeting of stockholders, subject to (1) accelerated vesting upon a change of control and (2) the Reporting Person's continued service with the Issuer on the vesting date. Read SEC document |
| February 28, 2024 Filed Feb 28, 2024 22:34 UTC | Aligos Therapeutics, Inc. ALGS · Entity 7352 | GrantStock Option (Right to Buy) · Derivative | 8,823 | $0.00 Strike: $0.96 | $0.00 |
DisclosureSEC source: 0001610717-24-000101 · form4.xml · derivative · entry 2 Scopa James Paul · CIK 0001356950 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 8,823 Underlying: Common Stock · 8,823 shares Expires 2031-04-26 F1 · price: On February 27, 2024, the issuer canceled, pursuant to the issuer's option exchange program, an option for 30,000 of the issuer's shares granted to the reporting person on April 26, 2021. In exchange, on February 28, 2024, the reporting person received a replacement option, for 8,823 shares, having an exercise price of $0.96 per share. F2 · derivative.exercise_date: The shares subject to the option will vest and become exercisable on the one year anniversary of the date of grant, subject to the reporting person's continued service with the issuer through such one year anniversary. Read SEC document |
| February 27, 2024 Filed Feb 28, 2024 22:34 UTC | Aligos Therapeutics, Inc. ALGS · Entity 7352 | Disposition to issuerStock Option (Right to Buy) · Derivative | 30,000 | $0.00 Strike: $29.10 | $0.00 |
DisclosureSEC source: 0001610717-24-000101 · form4.xml · derivative · entry 1 Scopa James Paul · CIK 0001356950 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 30,000 shares Expires 2031-04-26 F1 · price: On February 27, 2024, the issuer canceled, pursuant to the issuer's option exchange program, an option for 30,000 of the issuer's shares granted to the reporting person on April 26, 2021. In exchange, on February 28, 2024, the reporting person received a replacement option, for 8,823 shares, having an exercise price of $0.96 per share. Read SEC document |
| February 07, 2024 Filed Feb 9, 2024 22:51 UTC | Adverum Biotechnologies, Inc. ADVM · Entity 71889 | PurchaseCommon Stock | 100,000 | $1.35 | $135,000.00 |
DisclosureSEC source: 0001415889-24-003209 · form4-02092024_100244.xml · nonDerivative · entry 1 Scopa James Paul · CIK 0001356950 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 100,000 F1 · balance_after: Shares of the Issuer's common stock were purchased in the Issuer's private placement of common stock pursuant to a Securities Purchase Agreement, dated February 5, 2024, by and among the Issuer and the other purchaser named therein. The shares of common stock acquired were purchased at a price per share of $1.35. Read SEC document |
| October 25, 2023 Filed Oct 27, 2023 20:13 UTC | Aligos Therapeutics, Inc. ALGS · Entity 7352 | GrantWarrant (Right to Buy) · Derivative | 91,541 | $0.13 Strike: $0.76 | $11,442.63 |
DisclosureSEC source: 0001610717-23-000318 · form4.xml · derivative · entry 2 Scopa James Paul · CIK 0001356950 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 91,541 Underlying: Common Stock · 91,541 shares Expires 2030-10-25 Read SEC document |
| October 25, 2023 Filed Oct 27, 2023 20:13 UTC | Aligos Therapeutics, Inc. ALGS · Entity 7352 | GrantCommon Stock | 183,083 | $0.76 | $138,557.21 |
DisclosureSEC source: 0001610717-23-000318 · form4.xml · nonDerivative · entry 1 Scopa James Paul · CIK 0001356950 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 183,083 Read SEC document |
| August 09, 2023 Filed Aug 9, 2023 20:33 UTC | DICE Therapeutics, Inc. DICE · Entity 110693 | Disposition to issuerStock Option (right to buy) · Derivative | 21,250 | Not disclosed Strike: $14.98 | Not disclosed |
DisclosureSEC source: 0001209191-23-045182 · doc4.xml · derivative · entry 6 Scopa James Paul · CIK 0001356950 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 21,250 shares Expires 2032-06-06 F5 · price: Pursuant to the Merger Agreement, each Option to purchase shares of Common Stock that was outstanding but not vested as of immediately prior to the Closing (the "Unvested Option"), became fully vested and exercisable (the "Vested Option"). Each Vested Option was automatically cancelled and converted into the right to receive an amount in cash, without interest, less any applicable tax withholding, equal to the product obtained by multiplying (i) the excess, if any, of the Offer Price over the exercise price per share of Common Stock underlying such Option by (ii) the number of shares of Common Stock underlying such Option. Except if the exercise price per share of Common Stock of the Option was equal to or greater than the Offer Price, such Option was cancelled without any cash payment or other consideration being made in respect thereof. F8 · derivative.exercise_date: The Option is fully vested and exercisable. Read SEC document |
| August 09, 2023 Filed Aug 9, 2023 20:33 UTC | DICE Therapeutics, Inc. DICE · Entity 110693 | Disposition to issuerStock Option (right to buy) · Derivative | 13,800 | Not disclosed Strike: $17.00 | Not disclosed |
DisclosureSEC source: 0001209191-23-045182 · doc4.xml · derivative · entry 5 Scopa James Paul · CIK 0001356950 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 13,800 shares Expires 2031-09-14 F5 · price: Pursuant to the Merger Agreement, each Option to purchase shares of Common Stock that was outstanding but not vested as of immediately prior to the Closing (the "Unvested Option"), became fully vested and exercisable (the "Vested Option"). Each Vested Option was automatically cancelled and converted into the right to receive an amount in cash, without interest, less any applicable tax withholding, equal to the product obtained by multiplying (i) the excess, if any, of the Offer Price over the exercise price per share of Common Stock underlying such Option by (ii) the number of shares of Common Stock underlying such Option. Except if the exercise price per share of Common Stock of the Option was equal to or greater than the Offer Price, such Option was cancelled without any cash payment or other consideration being made in respect thereof. F7 · derivative.exercise_date: The Option vests as to 1/48th of the total shares monthly, beginning August 20, 2021, subject to the Reporting Holder's continued service to the Registrant. Read SEC document |
| August 09, 2023 Filed Aug 9, 2023 20:33 UTC | DICE Therapeutics, Inc. DICE · Entity 110693 | Disposition to issuerStock Option (right to buy) · Derivative | 8,261 | Not disclosed Strike: $17.00 | Not disclosed |
DisclosureSEC source: 0001209191-23-045182 · doc4.xml · derivative · entry 4 Scopa James Paul · CIK 0001356950 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 8,261 shares Expires 2031-09-14 F5 · price: Pursuant to the Merger Agreement, each Option to purchase shares of Common Stock that was outstanding but not vested as of immediately prior to the Closing (the "Unvested Option"), became fully vested and exercisable (the "Vested Option"). Each Vested Option was automatically cancelled and converted into the right to receive an amount in cash, without interest, less any applicable tax withholding, equal to the product obtained by multiplying (i) the excess, if any, of the Offer Price over the exercise price per share of Common Stock underlying such Option by (ii) the number of shares of Common Stock underlying such Option. Except if the exercise price per share of Common Stock of the Option was equal to or greater than the Offer Price, such Option was cancelled without any cash payment or other consideration being made in respect thereof. F6 · derivative.exercise_date: The Option vests as to 1/36th of the total shares monthly, beginning January 1, 2021, subject to the Reporting Holder's continued service to the Registrant. Read SEC document |
| August 09, 2023 Filed Aug 9, 2023 20:33 UTC | DICE Therapeutics, Inc. DICE · Entity 110693 | Disposition to issuerStock Option (right to buy) · Derivative | 12,096 | Not disclosed Strike: $17.00 | Not disclosed |
DisclosureSEC source: 0001209191-23-045182 · doc4.xml · derivative · entry 3 Scopa James Paul · CIK 0001356950 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 12,096 shares Expires 2031-09-14 F5 · price: Pursuant to the Merger Agreement, each Option to purchase shares of Common Stock that was outstanding but not vested as of immediately prior to the Closing (the "Unvested Option"), became fully vested and exercisable (the "Vested Option"). Each Vested Option was automatically cancelled and converted into the right to receive an amount in cash, without interest, less any applicable tax withholding, equal to the product obtained by multiplying (i) the excess, if any, of the Offer Price over the exercise price per share of Common Stock underlying such Option by (ii) the number of shares of Common Stock underlying such Option. Except if the exercise price per share of Common Stock of the Option was equal to or greater than the Offer Price, such Option was cancelled without any cash payment or other consideration being made in respect thereof. F4 · derivative.exercise_date: The Company's Stock Option (the "Option") vests as to 1/36th of the total shares monthly, beginning November 8, 2020, subject to the Reporting Holder's continued service to the Registrant. Read SEC document |
| August 09, 2023 Filed Aug 9, 2023 20:33 UTC | DICE Therapeutics, Inc. DICE · Entity 110693 | Disposition to issuerCommon Stock | 25,722 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-23-045182 · doc4.xml · nonDerivative · entry 2 Scopa James Paul · CIK 0001356950 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By Trust Disclosed balance after: 0 F1 · price: On June 18, 2023, DICE Therapeutics, Inc., a Delaware corporation (the "Issuer" or the "Company") entered into the Agreement and Plan of Merger (the "Merger Agreement"), with Eli Lilly and Company, an Indiana corporation (the "Parent"), and Durning Acquisition Corporation, a Delaware corporation and a direct or indirect wholly owned subsidiary of the Parent (the "Merger Sub"). Pursuant to the Merger Agreement, the Merger Sub merged with and into the Company (such merger and the other transactions contemplated by the Merger Agreement, the "Merger") with the Company surviving the Merger as a wholly owned subsidiary of the Parent. F2 · price: (Continued from Footnote 1) Upon the closing (the "Closing") of the Merger on August 9, 2023, each share of the Company's Common Stock, par value $0.0001 per share ("Common Stock"), was either (x) purchased for $48.00 per share (the "Offer Price"), without interest, less any applicable withholding taxes or (y) automatically converted into the right to receive an amount in cash without interest, equal to the Offer Price, less any applicable withholding taxes. Immediately prior to the Closing, any repurchase rights of the Company or other similar restrictions on the Common Stock fully lapsed and all Common Stock became fully vested. F3 · ownership.nature: These securities are held of record by The James P. Scopa and Anne E. Kenner Family Trust, Anne E. Kenner and James P. Scopa, Trustees. Read SEC document |
| August 09, 2023 Filed Aug 9, 2023 20:33 UTC | DICE Therapeutics, Inc. DICE · Entity 110693 | Disposition to issuerCommon Stock | 15,199 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-23-045182 · doc4.xml · nonDerivative · entry 1 Scopa James Paul · CIK 0001356950 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 F1 · price: On June 18, 2023, DICE Therapeutics, Inc., a Delaware corporation (the "Issuer" or the "Company") entered into the Agreement and Plan of Merger (the "Merger Agreement"), with Eli Lilly and Company, an Indiana corporation (the "Parent"), and Durning Acquisition Corporation, a Delaware corporation and a direct or indirect wholly owned subsidiary of the Parent (the "Merger Sub"). Pursuant to the Merger Agreement, the Merger Sub merged with and into the Company (such merger and the other transactions contemplated by the Merger Agreement, the "Merger") with the Company surviving the Merger as a wholly owned subsidiary of the Parent. F2 · price: (Continued from Footnote 1) Upon the closing (the "Closing") of the Merger on August 9, 2023, each share of the Company's Common Stock, par value $0.0001 per share ("Common Stock"), was either (x) purchased for $48.00 per share (the "Offer Price"), without interest, less any applicable withholding taxes or (y) automatically converted into the right to receive an amount in cash without interest, equal to the Offer Price, less any applicable withholding taxes. Immediately prior to the Closing, any repurchase rights of the Company or other similar restrictions on the Common Stock fully lapsed and all Common Stock became fully vested. Read SEC document |
| August 02, 2023 Filed Aug 3, 2023 23:37 UTC | DICE Therapeutics, Inc. DICE · Entity 110693 | GiftCommon Stock | 2,200 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-23-044546 · doc4.xml · nonDerivative · entry 2 Scopa James Paul · CIK 0001356950 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By Trust Disclosed balance after: 25,722 F3 · shares: Represents shares of the Issuer's Common Stock that the Reporting Person transferred as a bona fide gift to Harvard Law School for no consideration. F2 · ownership.nature: These securities are held of record by The James P. Scopa and Anne E. Kenner Family Trust, Anne E. Kenner and James P. Scopa, Trustees. Read SEC document |
| August 02, 2023 Filed Aug 3, 2023 23:37 UTC | DICE Therapeutics, Inc. DICE · Entity 110693 | GiftCommon Stock | 220 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-23-044546 · doc4.xml · nonDerivative · entry 1 Scopa James Paul · CIK 0001356950 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By Trust Disclosed balance after: 27,922 F1 · shares: Represents shares of the Issuer's Common Stock that the Reporting Person transferred as a bona fide gift to Gateway High School for no consideration. F2 · ownership.nature: These securities are held of record by The James P. Scopa and Anne E. Kenner Family Trust, Anne E. Kenner and James P. Scopa, Trustees. Read SEC document |
| July 20, 2023 Filed Jul 21, 2023 20:11 UTC | Aligos Therapeutics, Inc. ALGS · Entity 7352 | GrantStock Option (Right to Buy) · Derivative | 20,000 | $0.00 Strike: $1.00 | $0.00 |
DisclosureSEC source: 0001610717-23-000212 · form4.xml · derivative · entry 1 Scopa James Paul · CIK 0001356950 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2033-07-20 F1 · derivative.exercise_date: The shares subject to the option will vest and become exercisable as to 100% of the total number of shares subject to the option on the earlier of the first anniversary of the grant date or immediately prior to the annual meeting in 2024 of the Issuer's stockholders, subject to continuous service to the Issuer through such vesting date. Read SEC document |
| July 18, 2023 Filed Jul 19, 2023 20:53 UTC | DICE Therapeutics, Inc. DICE · Entity 110693 | GiftCommon Stock | 2,200 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-23-042750 · doc4.xml · nonDerivative · entry 1 Scopa James Paul · CIK 0001356950 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By Trust Disclosed balance after: 28,142 F1 · shares: Represents shares of the Issuer's Common Stock that the Reporting Person transferred as a bona fide gift to Boston Children's Hospital for no consideration. F2 · ownership.nature: These securities are held of record by The James P. Scopa and Anne E. Kenner Family Trust, Anne E. Kenner and James P. Scopa, Trustees. Read SEC document |
| July 11, 2023 Filed Jul 13, 2023 21:12 UTC | DICE Therapeutics, Inc. DICE · Entity 110693 | GiftCommon Stock | 300 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-23-042235 · doc4.xml · nonDerivative · entry 1 Scopa James Paul · CIK 0001356950 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By Trust Disclosed balance after: 30,342 F1 · shares: Represents shares of the Issuer's Common Stock that the Reporting Person transferred as a bona fide gift to Stanford University for no consideration. F2 · ownership.nature: These securities are held of record by The James P. Scopa and Anne E. Kenner Family Trust, Anne E. Kenner and James P. Scopa, Trustees. Read SEC document |
| June 09, 2023 Filed Jun 13, 2023 21:17 UTC | Adverum Biotechnologies, Inc. ADVM · Entity 71889 | GrantStock Option (Right to Buy) · Derivative | 40,000 | $0.00 Strike: $1.56 | $0.00 |
DisclosureSEC source: 0001209191-23-036820 · doc4.xml · derivative · entry 1 Scopa James Paul · CIK 0001356950 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Stock · 40,000 shares Expires 2033-06-08 F1 · derivative.exercise_date: The shares subject to the option will vest on the earlier of June 9, 2024 or the 2024 annual meeting of stockholders, subject to (1) accelerated vesting upon a change of control and (2) the Reporting Person's continued service with the Issuer on the vesting date. Read SEC document |
| May 01, 2023 Filed May 2, 2023 21:49 UTC | DICE Therapeutics, Inc. DICE · Entity 110693 | GiftCommon Stock | 6,923 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-23-026618 · doc4.xml · nonDerivative · entry 2 Scopa James Paul · CIK 0001356950 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By Trust Disclosed balance after: 30,642 F1 · shares: Represents shares of the Issuer's Common Stock that the Reporting Person transferred as a bona fide gift for no consideration. F2 · ownership.nature: These securities are held of record by The James P. Scopa and Anne E. Kenner Family Trust, Anne E. Kenner and James P. Scopa, Trustees. Read SEC document |
| May 01, 2023 Filed May 2, 2023 21:49 UTC | DICE Therapeutics, Inc. DICE · Entity 110693 | GiftCommon Stock | 6,923 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-23-026618 · doc4.xml · nonDerivative · entry 1 Scopa James Paul · CIK 0001356950 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 15,199 F1 · shares: Represents shares of the Issuer's Common Stock that the Reporting Person transferred as a bona fide gift for no consideration. Read SEC document |
| March 17, 2023 Filed Mar 21, 2023 20:47 UTC | DICE Therapeutics, Inc. DICE · Entity 110693 | SaleCommon Stock | 10,000 | $29.05 | $290,500.00 |
DisclosureSEC source: 0001209191-23-020299 · doc4.xml · nonDerivative · entry 3 Scopa James Paul · CIK 0001356950 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By Trust Disclosed balance after: 23,719 F2 · ownership.nature: These securities are held of record by The James P. Scopa and Anne E. Kenner Family Trust, Anne E. Kenner and James P. Scopa, Trustees. Read SEC document |
| October 24, 2022 Filed Mar 21, 2023 20:47 UTC | DICE Therapeutics, Inc. DICE · Entity 110693 | GiftCommon Stock | 30,719 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-23-020299 · doc4.xml · nonDerivative · entry 2 Scopa James Paul · CIK 0001356950 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By Trust Disclosed balance after: 33,719 F1 · shares: Represents shares of the Issuer's Common Stock that the Reporting Person transferred as a bona fide gift for no consideration. F2 · ownership.nature: These securities are held of record by The James P. Scopa and Anne E. Kenner Family Trust, Anne E. Kenner and James P. Scopa, Trustees. Read SEC document |
| October 24, 2022 Filed Mar 21, 2023 20:47 UTC | DICE Therapeutics, Inc. DICE · Entity 110693 | GiftCommon Stock | 30,719 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-23-020299 · doc4.xml · nonDerivative · entry 1 Scopa James Paul · CIK 0001356950 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 22,122 F1 · shares: Represents shares of the Issuer's Common Stock that the Reporting Person transferred as a bona fide gift for no consideration. Read SEC document |
| June 23, 2022 Filed Jun 27, 2022 20:13 UTC | Aligos Therapeutics, Inc. ALGS · Entity 7352 | GrantStock Option (Right to Buy) · Derivative | 15,000 | $0.00 Strike: $1.34 | $0.00 |
DisclosureSEC source: 0001567619-22-013390 · doc1.xml · derivative · entry 1 Scopa James Paul · CIK 0001356950 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2032-06-23 F1 · derivative.exercise_date: The shares subject to the option will vest and become exercisable as to 100% of the total number of shares subject to the option on the earlier of the first anniversary of the grant date or immediately prior to the annual meeting in 2023 of the Issuer's stockholders, subject to continuous service to the Issuer through such vesting date. Read SEC document |
| June 10, 2022 Filed Jun 14, 2022 20:22 UTC | Adverum Biotechnologies, Inc. ADVM · Entity 71889 | GrantStock Option (Right to Buy) · Derivative | 40,000 | $0.00 Strike: $0.99 | $0.00 |
DisclosureSEC source: 0001209191-22-036686 · doc4.xml · derivative · entry 1 Scopa James Paul · CIK 0001356950 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Stock · 40,000 shares Expires 2032-06-09 F1 · derivative.exercise_date: The shares subject to the option will vest on the earlier of June 10, 2023 or the 2023 annual meeting of stockholders, subject to (1) accelerated vesting upon a change of control and (2) the Reporting Person's continued service with the Issuer on the vesting date. Read SEC document |
| June 07, 2022 Filed Jun 8, 2022 20:53 UTC | DICE Therapeutics, Inc. DICE · Entity 110693 | GrantStock Option (right to buy Common Stock) · Derivative | 21,250 | $0.00 Strike: $14.98 | $0.00 |
DisclosureSEC source: 0001209191-22-035071 · doc4.xml · derivative · entry 1 Scopa James Paul · CIK 0001356950 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,250 Underlying: Common Stock · 21,250 shares Expires 2032-06-06 F1 · derivative.exercise_date: The option vests on the earlier to occur of: (i) the one-year anniversary of the grant date and (ii) the subsequent annual meeting of the Registrant's stockholders, in each case, subject to the Reporting Holder's continued service to the Registrant. Read SEC document |
| December 30, 2021 Filed Feb 11, 2022 22:33 UTC | DICE Therapeutics, Inc. DICE · Entity 110693 | GiftCommon Stock | 3,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-008948 · doc5.xml · nonDerivative · entry 2 Scopa James Paul · CIK 0001356950 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 3,000 F1 · shares: Represents shares of the Issuer's Common Stock that the Reporting Person transferred as a bona fide gift for no consideration, which shares have not been sold and remain subject to the lock-up agreement entered into in connection with the Issuer's initial public offering. F2 · ownership.nature: These securities are held of record by The James P. Scopa and Anne E. Kenner Family Trust, Anne E. Kenner and James P. Scopa, Trustees. Read SEC document |
| December 30, 2021 Filed Feb 11, 2022 22:33 UTC | DICE Therapeutics, Inc. DICE · Entity 110693 | GiftCommon Stock | 3,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-008948 · doc5.xml · nonDerivative · entry 1 Scopa James Paul · CIK 0001356950 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,841 F1 · shares: Represents shares of the Issuer's Common Stock that the Reporting Person transferred as a bona fide gift for no consideration, which shares have not been sold and remain subject to the lock-up agreement entered into in connection with the Issuer's initial public offering. Read SEC document |
| November 15, 2021 Filed Nov 17, 2021 21:38 UTC | Adverum Biotechnologies, Inc. ADVM · Entity 71889 | SaleCommon Stock | 50,000 | $2.18 | $109,000.00 |
DisclosureSEC source: 0001209191-21-065115 · doc4.xml · nonDerivative · entry 1 Scopa James Paul · CIK 0001356950 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 3,334 F1 · price: Price reported is a weighted-average sales price. The shares were sold at prices ranging from $2.17 to $2.185. The reporting person will provide upon request to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares sold at each separate price. F2 · ownership.nature: Shares are held directly by James Paul Scopa and Anne Eunice Kenner, as Trustees of The James P. Scopa and Anne E. Kenner Family Trust. Read SEC document |
| September 15, 2021 Filed Sep 17, 2021 01:30 UTC | DICE Therapeutics, Inc. DICE · Entity 110693 | PurchaseCommon Stock | 6,000 | $17.00 | $102,000.00 |
DisclosureSEC source: 0001209191-21-056526 · doc4.xml · nonDerivative · entry 1 Scopa James Paul · CIK 0001356950 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,841 F1 · balance_after: The number of shares of Common Stock reported in the Reporting Holder's Form 3 reflected the conversion of derivative securities based on the midpoint of the Issuer's initial public offering range of $16.00 per share. The number of shares of Common Stock reflected in this Form 4 reflects the adjusted number of shares issued based on the higher initial public offering price of $17.00 per share, and does not reflect a disposition of shares. F2 · balance_after: Certain of the shares are subject to the Issuer's right of repurchase if underlying vesting conditions are not met. Read SEC document |
| September 14, 2021 Filed Sep 17, 2021 01:30 UTC | DICE Therapeutics, Inc. DICE · Entity 110693 | GrantStock Option (right to buy) · Derivative | 5,600 | $0.00 Strike: $17.00 | $0.00 |
DisclosureSEC source: 0001209191-21-056526 · doc4.xml · derivative · entry 5 Scopa James Paul · CIK 0001356950 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,600 Underlying: Common Stock · 5,600 shares Expires 2031-09-14 F5 · derivative.exercise_date: The option vests as to 1/48th of the total shares monthly, beginning August 20, 2021, subject to the Reporting Holder's continued service to the Registrant. Read SEC document |
| September 14, 2021 Filed Sep 17, 2021 01:30 UTC | DICE Therapeutics, Inc. DICE · Entity 110693 | GrantStock Option (right to buy) · Derivative | 8,200 | $0.00 Strike: $17.00 | $0.00 |
DisclosureSEC source: 0001209191-21-056526 · doc4.xml · derivative · entry 4 Scopa James Paul · CIK 0001356950 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,200 Underlying: Common Stock · 8,200 shares Expires 2031-09-14 F5 · derivative.exercise_date: The option vests as to 1/48th of the total shares monthly, beginning August 20, 2021, subject to the Reporting Holder's continued service to the Registrant. Read SEC document |
| September 14, 2021 Filed Sep 17, 2021 01:30 UTC | DICE Therapeutics, Inc. DICE · Entity 110693 | GrantStock Option (right to buy) · Derivative | 8,261 | $0.00 Strike: $17.00 | $0.00 |
DisclosureSEC source: 0001209191-21-056526 · doc4.xml · derivative · entry 3 Scopa James Paul · CIK 0001356950 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,261 Underlying: Common Stock · 8,261 shares Expires 2031-09-14 F4 · derivative.exercise_date: The option vests as to 1/36th of the total shares monthly, beginning January 1, 2021, subject to the Reporting Holder's continued service to the Registrant. Read SEC document |
| September 14, 2021 Filed Sep 17, 2021 01:30 UTC | DICE Therapeutics, Inc. DICE · Entity 110693 | GrantStock Option (right to buy) · Derivative | 12,096 | $0.00 Strike: $17.00 | $0.00 |
DisclosureSEC source: 0001209191-21-056526 · doc4.xml · derivative · entry 2 Scopa James Paul · CIK 0001356950 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,096 Underlying: Common Stock · 12,096 shares Expires 2031-09-14 F3 · derivative.exercise_date: The option vests as to 1/36th of the total shares monthly, beginning November 8, 2020, subject to the Reporting Holder's continued service to the Registrant. Read SEC document |
| May 12, 2021 Filed May 15, 2021 00:03 UTC | Adverum Biotechnologies, Inc. ADVM · Entity 71889 | GrantStock Option (Right to Buy) · Derivative | 40,000 | $0.00 Strike: $3.70 | $0.00 |
DisclosureSEC source: 0001209191-21-032958 · doc4.xml · derivative · entry 1 Scopa James Paul · CIK 0001356950 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Stock · 40,000 shares Expires 2031-05-11 F1 · derivative.exercise_date: The shares subject to the option will vest on the earlier of May 12, 2022 or the 2022 annual meeting of stockholders, subject to (1) accelerated vesting upon a change of control and (2) the Reporting Person's continued service with the Issuer on the vesting date. Read SEC document |
| April 26, 2021 Filed Apr 27, 2021 20:42 UTC | Aligos Therapeutics, Inc. ALGS · Entity 7352 | GrantStock Option (Right to Buy) · Derivative | 30,000 | $0.00 Strike: $29.10 | $0.00 |
DisclosureSEC source: 0001567619-21-008646 · doc1.xml · derivative · entry 1 Scopa James Paul · CIK 0001356950 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 Underlying: Common Stock · 30,000 shares Expires 2031-04-26 F1 · derivative.exercise_date: 1/36th of the total number of shares vest in thirty-six (36) successive and equal monthly installments measured from April 26, 2021 (the "Vesting Commencement Date"), such that 100% of the shares subject to the option will be fully vested and exercisable on the third anniversary of the Vesting Commencement Date. Read SEC document |
| June 23, 2020 Filed Jun 25, 2020 21:47 UTC | Adverum Biotechnologies, Inc. ADVM · Entity 71889 | GrantStock Option (Right to Buy) · Derivative | 30,000 | $0.00 Strike: $25.64 | $0.00 |
DisclosureSEC source: 0001209191-20-038963 · doc4.xml · derivative · entry 1 Scopa James Paul · CIK 0001356950 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 Underlying: Common Stock · 30,000 shares Expires 2030-06-22 F1 · derivative.exercise_date: The shares subject to the option will vest on the earlier of June 23, 2021 or the 2021 annual meeting of stockholders, subject to (1) accelerated vesting upon a change of control and (2) the Reporting Person's continued service with the Issuer on the vesting date. 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.