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 |
|---|---|---|---|---|---|---|
| May 04, 2020 Filed May 5, 2020 22:44 UTC | Adverum Biotechnologies, Inc. ADVM · Entity 71889 | Exercise / conversionStock Option (Right to Buy) · Derivative | 23,334 | $0.00 Strike: $6.48 | $0.00 |
DisclosureSEC source: 0001209191-20-027287 · doc4.xml · derivative · entry 2 Scopa James Paul · CIK 0001356950 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,666 Underlying: Common Stock · 23,334 shares Expires 2029-04-30 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: 1/3 of the total number of shares subject to the option vest and become exercisable on each anniversary of May 1, 2019 (the "Vesting Commencement Date"), such that all of the shares subject to the option shall become vested and exercisable as of the third anniversary of the Vesting Commencement Date, subject to the Reporting Person's continued service with the Issuer on each such vesting date. Read SEC document |
| May 04, 2020 Filed May 5, 2020 22:44 UTC | Adverum Biotechnologies, Inc. ADVM · Entity 71889 | Exercise / conversionCommon Stock | 23,334 | $6.48 | $151,204.32 |
DisclosureSEC source: 0001209191-20-027287 · doc4.xml · nonDerivative · entry 1 Scopa James Paul · CIK 0001356950 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 53,334 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · 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 |
| February 14, 2020 Filed Feb 15, 2020 01:58 UTC | Adverum Biotechnologies, Inc. ADVM · Entity 71889 | PurchaseCommon Stock | 10,000 | $13.75 | $137,500.00 |
DisclosureSEC source: 0001209191-20-009848 · doc4.xml · nonDerivative · entry 1 Scopa James Paul · CIK 0001356950 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 30,000 F1 · 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 |
| August 15, 2019 Filed Aug 16, 2019 20:16 UTC | Adverum Biotechnologies, Inc. ADVM · Entity 71889 | GrantStock Option (Right to Buy) · Derivative | 33,750 | $0.00 Strike: $13.41 | $0.00 |
DisclosureSEC source: 0001209191-19-046311 · doc4.xml · derivative · entry 1 Scopa James Paul · CIK 0001356950 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,000 Underlying: Common Stock · 33,750 shares Expires 2029-07-30 F1 · derivative.exercise_date: The shares subject to the option will vest on the earlier of (a) the 2020 annual meeting of stockholders and (b) July 31, 2020. The options were issued in connection with an amendment to the company's non-employee director compensation policy, such that the director's total annual option grants correspond to the amended policy. Read SEC document |
| July 31, 2019 Filed Aug 2, 2019 20:23 UTC | Adverum Biotechnologies, Inc. ADVM · Entity 71889 | GrantStock Option (Right to Buy) · Derivative | 11,250 | $0.00 Strike: $13.41 | $0.00 |
DisclosureSEC source: 0001209191-19-044249 · doc4.xml · derivative · entry 1 Scopa James Paul · CIK 0001356950 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,250 Underlying: Common Stock · 11,250 shares Expires 2029-07-30 F1 · derivative.exercise_date: The shares subject to the option will vest on the earlier of (a) the 2020 annual meeting of stockholders and (b) July 31, 2020. Read SEC document |
| May 06, 2019 Filed May 6, 2019 23:42 UTC | Adverum Biotechnologies, Inc. ADVM · Entity 71889 | PurchaseCommon Stock | 20,000 | $6.71 | $134,200.00 |
DisclosureSEC source: 0001209191-19-027832 · doc4.xml · nonDerivative · entry 1 Scopa James Paul · CIK 0001356950 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 20,000 F1 · 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 |
| May 01, 2019 Filed May 3, 2019 20:40 UTC | Adverum Biotechnologies, Inc. ADVM · Entity 71889 | GrantStock Option (Right to Buy) · Derivative | 70,000 | $0.00 Strike: $6.48 | $0.00 |
DisclosureSEC source: 0001209191-19-027398 · doc4.xml · derivative · entry 1 Scopa James Paul · CIK 0001356950 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,000 Underlying: Common Stock · 70,000 shares Expires 2029-04-30 F1 · derivative.exercise_date: 1/3 of the total number of shares subject to the option vest and become exercisable on each anniversary of May 1, 2019 (the "Vesting Commencement Date"), such that all of the shares subject to the option shall become vested and exercisable as of the third anniversary of the Vesting Commencement Date, subject to the Reporting Person's continued service with the Issuer on each such vesting date. Read SEC document |
| June 21, 2018 Filed Jun 25, 2018 20:07 UTC | Histogen Inc. CNAT · Entity 112047 | GrantStock Option (Right to Buy) · Derivative | 20,000 | $0.00 Strike: $4.99 | $0.00 |
DisclosureSEC source: 0001209191-18-039399 · doc4.xml · derivative · entry 1 Scopa James Paul · CIK 0001356950 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2028-06-20 F1 · derivative.exercise_date: 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. Read SEC document |
| June 22, 2017 Filed Jun 26, 2017 20:16 UTC | Histogen Inc. CNAT · Entity 112047 | GrantStock Option (Right to Buy) · Derivative | 20,000 | $0.00 Strike: $4.96 | $0.00 |
DisclosureSEC source: 0001209191-17-041832 · doc4.xml · derivative · entry 1 Scopa James Paul · CIK 0001356950 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2027-06-21 F1 · derivative.exercise_date: 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. Read SEC document |
| September 27, 2016 Filed Sep 29, 2016 18:03 UTC | Radius Health, Inc. RDUS · Entity 124173 | OtherCommon Stock | 713,849 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-143183 · doc4.xml · nonDerivative · entry 1 MPM BioVentures IV LLC · CIK 0001358312 · Former 10% stockholder Scopa James Paul · CIK 0001356950 · Former 10% stockholder MPM BioVentures IV GP LLC · CIK 0001358311 · Former 10% stockholder MPM Bio IV NVS Strategic Fund LP · CIK 0001423213 · Former 10% stockholder KAILIAN VAUGHN M · CIK 0001180429 · Former 10% stockholder Foley Todd · CIK 0001473930 · Former 10% stockholder Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,427,698 F1 · kind: 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. F1 · price: 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 · balance_after: The shares are held by MPM NVS. F3 · ownership.nature: 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. 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.