Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ALBIREO PHARMA, INC.ALBO · Entity 116015 | Director | January 23, 2017 | January 25, 2017 |
| Aligos Therapeutics, Inc.ALGS · Entity 7352 | Director | June 25, 2026 | June 29, 2026 |
| Entasis Therapeutics Holdings Inc.ETTX · Entity 16036 | Director | June 19, 2019 | June 21, 2019 |
| Fusion Pharmaceuticals Inc.FUSN · Entity 11851 | Director | June 14, 2023 | June 14, 2023 |
| Karuna Therapeutics, Inc.KRTX · Entity 92934 | Director | June 24, 2021 | June 28, 2021 |
| OTONOMY, INC.OTIC · Entity 116495 | Director | June 11, 2019 | June 13, 2019 |
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.
ALBIREO PHARMA, INC.
Report date January 23, 2017 · Filed January 25, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $18.54 · Expires 2027-01-22 | Direct | 4,500 |
Reported balance
After 2017-01-23 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2017-01-23 · Grant · Acquired 4,500 · Balance 4,500 F1: The option will vest and become exercisable in equal annual installments on each of the first three anniversaries of the date of the grant (provided that, in any case, the option will fully vest on the day prior to the annual meeting for the third fiscal year following the date of the grant). |
Filing footnotes · ownership attribution and instrument terms
F1: The option will vest and become exercisable in equal annual installments on each of the first three anniversaries of the date of the grant (provided that, in any case, the option will fully vest on the day prior to the annual meeting for the third fiscal year following the date of the grant).
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.
Entasis Therapeutics Holdings Inc.
Report date June 19, 2019 · Filed June 21, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $6.12 · Expires 2029-06-18 | Direct | 7,500 |
Reported balance
After 2019-06-19 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2019-06-19 · Grant · Acquired 7,500 · Balance 7,500 F1: The shares subject to this option will vest in equal monthly installments over the 12 months following the date of grant, provided that the option will in any case be fully vested on the date of the next annual stockholder meeting, subject to the Reporting Persons's continued service through each such vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares subject to this option will vest in equal monthly installments over the 12 months following the date of grant, provided that the option will in any case be fully vested on the date of the next annual stockholder meeting, subject to the Reporting Persons's continued service through each such vesting date.
Fusion Pharmaceuticals Inc.
Report date June 14, 2023 · Filed June 14, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $4.64 · Expires 2033-06-13 | Direct | 17,000 |
Reported balance
After 2023-06-14 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2023-06-14 · Grant · Acquired 17,000 · Balance 17,000 F1: This option fully vests on the earlier of (i) June 14, 2024 or (ii) the 2024 Annual Meeting of Shareholders of Fusion Pharmaceuticals Inc. |
Filing footnotes · ownership attribution and instrument terms
F1: This option fully vests on the earlier of (i) June 14, 2024 or (ii) the 2024 Annual Meeting of Shareholders of Fusion Pharmaceuticals Inc.
Karuna Therapeutics, Inc.
Report date June 24, 2021 · Filed June 28, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 6,556 |
Reported balance
After 2021-06-24 transaction · row 1
1 source rowRow 1 · 2021-06-24 · Other · Acquired 184 · Balance 6,556 F1: Represents a distribution of common stock of the Issuer to partners of a limited partnership and includes subsequent distributions by the general partner of the limited partnership. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents a distribution of common stock of the Issuer to partners of a limited partnership and includes subsequent distributions by the general partner of the limited partnership.
OTONOMY, INC.
Report date June 11, 2019 · Filed June 13, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.35 · Expires 2029-06-10 | Direct | 17,500 |
Reported balance
After 2019-06-11 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2019-06-11 · Grant · Acquired 17,500 · Balance 17,500 F1: 100% of the shares subject to the option shall vest upon the date of the Issuer's next annual meeting of stockholders occurring after the grant date, provided that the Reporting Person remains a service provider through such date. |
Filing footnotes · ownership attribution and instrument terms
F1: 100% of the shares subject to the option shall vest upon the date of the Issuer's next annual meeting of stockholders occurring after the grant date, provided that the Reporting Person remains a service provider through such date.
Past disclosures · reporting ended (2)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
ALDER BIOPHARMACEUTICALS INC
Report date October 22, 2019 · Filed October 24, 2019
Section 16 reporting ended · disclosed 2019-10-24. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $39.66 · Expires 2025-05-18 | Direct | 0 |
Reported balance
After 2019-10-22 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2019-10-22 · Disposition to issuer · Disposed 6,350 · Balance 0 F1: On September 16, 2019, the Issuer entered into an Agreement and Plan of Merger (the "Merger Agreement") with H. Lundbeck A/S ("Lundbeck"), Lundbeck LLC and Violet Acquisition Corp., a wholly owned subsidiary of Lundbeck ("Purchaser"). On October 22, 2019 (the "Effective Time"), Purchaser merged with and into the Issuer pursuant to Section 251(h) of the General Corporation Law of the State of Delaware, with the Issuer being the surviving corporation and becoming a wholly-owned subsidiary of Lundbeck. F2: The shares subject to this option shall fully vest and become exercisable on the date of the 2016 Annual Meeting of the Stockholders of the Issuer, so long as the Reporting Person provides continuous service to the Issuer through such date. The shares subject to this option are fully vested as of the date hereof. F3: The shares subject to this option, whether or not vested, were cancelled at the Effective Time without any consideration payable therefor. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $29.26 · Expires 2026-05-25 | Direct | 0 |
Reported balance
After 2019-10-22 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2019-10-22 · Disposition to issuer · Disposed 15,000 · Balance 0 F1: On September 16, 2019, the Issuer entered into an Agreement and Plan of Merger (the "Merger Agreement") with H. Lundbeck A/S ("Lundbeck"), Lundbeck LLC and Violet Acquisition Corp., a wholly owned subsidiary of Lundbeck ("Purchaser"). On October 22, 2019 (the "Effective Time"), Purchaser merged with and into the Issuer pursuant to Section 251(h) of the General Corporation Law of the State of Delaware, with the Issuer being the surviving corporation and becoming a wholly-owned subsidiary of Lundbeck. F3: The shares subject to this option, whether or not vested, were cancelled at the Effective Time without any consideration payable therefor. F4: The shares subject to this option shall fully vest and become exercisable on the date of the 2017 Annual Meeting of the Stockholders of the Issuer, so long as the Reporting Person provides continuous service to the Issuer through such date. The shares subject to this option are fully vested as of the date hereof. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $16.90 · Expires 2027-05-23 | Direct | 0 |
Reported balance
After 2019-10-22 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2019-10-22 · Disposition to issuer · Disposed 15,000 · Balance 0 F1: On September 16, 2019, the Issuer entered into an Agreement and Plan of Merger (the "Merger Agreement") with H. Lundbeck A/S ("Lundbeck"), Lundbeck LLC and Violet Acquisition Corp., a wholly owned subsidiary of Lundbeck ("Purchaser"). On October 22, 2019 (the "Effective Time"), Purchaser merged with and into the Issuer pursuant to Section 251(h) of the General Corporation Law of the State of Delaware, with the Issuer being the surviving corporation and becoming a wholly-owned subsidiary of Lundbeck. F5: The shares subject to this option shall fully vest and become exercisable on the date of the 2018 Annual Meeting of the Stockholders of the Issuer, so long as the Reporting Person provides continuous service to the Issuer through such date. The shares subject to this option are fully vested as of the date hereof. F6: The shares subject to this option, whether or not vested, were cancelled and converted into the right to receive both (i) a cash payment equal to (A) the excess, if any of (x) $18.00 over (y) the Exercise Price per share listed in Column 2 of Table II of this Form 4, multiplied by (B) the total number of shares listed in Column 5 of Table II of this Form 4, and (ii) one non-transferable contingent value right for each share subject to this option, which represents the contractual right to receive up to an additional $2.00 per share upon achievement of a milestone. |
Filing footnotes · ownership attribution and instrument terms
F1: On September 16, 2019, the Issuer entered into an Agreement and Plan of Merger (the "Merger Agreement") with H. Lundbeck A/S ("Lundbeck"), Lundbeck LLC and Violet Acquisition Corp., a wholly owned subsidiary of Lundbeck ("Purchaser"). On October 22, 2019 (the "Effective Time"), Purchaser merged with and into the Issuer pursuant to Section 251(h) of the General Corporation Law of the State of Delaware, with the Issuer being the surviving corporation and becoming a wholly-owned subsidiary of Lundbeck.
F2: The shares subject to this option shall fully vest and become exercisable on the date of the 2016 Annual Meeting of the Stockholders of the Issuer, so long as the Reporting Person provides continuous service to the Issuer through such date. The shares subject to this option are fully vested as of the date hereof.
F3: The shares subject to this option, whether or not vested, were cancelled at the Effective Time without any consideration payable therefor.
F4: The shares subject to this option shall fully vest and become exercisable on the date of the 2017 Annual Meeting of the Stockholders of the Issuer, so long as the Reporting Person provides continuous service to the Issuer through such date. The shares subject to this option are fully vested as of the date hereof.
F5: The shares subject to this option shall fully vest and become exercisable on the date of the 2018 Annual Meeting of the Stockholders of the Issuer, so long as the Reporting Person provides continuous service to the Issuer through such date. The shares subject to this option are fully vested as of the date hereof.
F6: The shares subject to this option, whether or not vested, were cancelled and converted into the right to receive both (i) a cash payment equal to (A) the excess, if any of (x) $18.00 over (y) the Exercise Price per share listed in Column 2 of Table II of this Form 4, multiplied by (B) the total number of shares listed in Column 5 of Table II of this Form 4, and (ii) one non-transferable contingent value right for each share subject to this option, which represents the contractual right to receive up to an additional $2.00 per share upon achievement of a milestone.
Akouos, Inc.
Report date November 30, 2022 · Filed December 02, 2022
Section 16 reporting ended · disclosed 2022-12-02. 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 2022-11-30 transaction · row 1
1 source rowRow 1 · 2022-11-30 · Other · Disposed 5,882 · Balance 0 F1: Pursuant to the terms of that certain Agreement and Plan of Merger (the "Merger Agreement"), by and among the Issuer, Eli Lilly and Company ("Parent") and Kearny Acquisition Corporation ("Merger Sub"), dated as of October 17, 2022, these shares of common stock, par value $0.0001 per share, of the Issuer ("Shares") were tendered prior to the Expiration Date (as defined in the Merger Agreement) and disposed of at the Acceptance Time (as defined in the Merger Agreement) in exchange for (i) $12.50 per Share, net to the stockholder in cash, without interest (the "Cash Consideration") and less any applicable tax withholding, plus [Continued on Note 2] F2: [Continuation of Note 1] (ii) one non-tradable contingent value right ("CVR") per Share, which represents the contractual right to receive contingent payments of up to $3.00 per CVR, net to the stockholder in cash, without interest and less any applicable tax withholding, upon the achievement of certain specified milestones in accordance with the terms and subject to the conditions of a Contingent Value Rights Agreement, dated as of November 30, 2022, by and among Parent, Merger Sub, Computershare Inc. and Computershare Trust Company, N.A. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $4.21 · Expires 2032-06-22 | Direct | 0 |
Reported balance
After 2022-12-01 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2022-12-01 · Disposition to issuer · Disposed 16,000 · Balance 0 F3: At the effective time of the merger (the "Effective Time"), pursuant to the Merger Agreement, each outstanding option to purchase Shares having an exercise price less than $12.50 per Share, whether or not vested, was cancelled and converted into the right to receive (x) an amount in cash, without interest and less any applicable tax withholdings, equal to the product of (A) the total number of Shares subject to such option immediately prior to the Effective Time multiplied by (B) the excess, if any, of the Cash Consideration over the applicable exercise price per Share under such option and (y) one CVR for each Share subject to such option immediately prior to the Effective Time (without regard to vesting). |
Filing footnotes · ownership attribution and instrument terms
F1: Pursuant to the terms of that certain Agreement and Plan of Merger (the "Merger Agreement"), by and among the Issuer, Eli Lilly and Company ("Parent") and Kearny Acquisition Corporation ("Merger Sub"), dated as of October 17, 2022, these shares of common stock, par value $0.0001 per share, of the Issuer ("Shares") were tendered prior to the Expiration Date (as defined in the Merger Agreement) and disposed of at the Acceptance Time (as defined in the Merger Agreement) in exchange for (i) $12.50 per Share, net to the stockholder in cash, without interest (the "Cash Consideration") and less any applicable tax withholding, plus [Continued on Note 2]
F2: [Continuation of Note 1] (ii) one non-tradable contingent value right ("CVR") per Share, which represents the contractual right to receive contingent payments of up to $3.00 per CVR, net to the stockholder in cash, without interest and less any applicable tax withholding, upon the achievement of certain specified milestones in accordance with the terms and subject to the conditions of a Contingent Value Rights Agreement, dated as of November 30, 2022, by and among Parent, Merger Sub, Computershare Inc. and Computershare Trust Company, N.A.
F3: At the effective time of the merger (the "Effective Time"), pursuant to the Merger Agreement, each outstanding option to purchase Shares having an exercise price less than $12.50 per Share, whether or not vested, was cancelled and converted into the right to receive (x) an amount in cash, without interest and less any applicable tax withholdings, equal to the product of (A) the total number of Shares subject to such option immediately prior to the Effective Time multiplied by (B) the excess, if any, of the Cash Consideration over the applicable exercise price per Share under such option and (y) one CVR for each Share subject to such option immediately prior to the Effective Time (without regard to vesting).
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 20:38 UTC | Aligos Therapeutics, Inc. ALGS · Entity 7352 | GrantStock Option (Right to Buy) · Derivative | 5,860 | $0.00 Strike: $5.50 | $0.00 |
DisclosureSEC source: 0001610717-26-000305 · form4.xml · derivative · entry 1 Preston Heather · CIK 0001606826 · 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 |
| 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: 0001610717-25-000256 · form4.xml · derivative · entry 1 Preston Heather · CIK 0001606826 · 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 |
| August 07, 2024 Filed Aug 9, 2024 20:08 UTC | Aligos Therapeutics, Inc. ALGS · Entity 7352 | GrantStock Option (Right to Buy) · Derivative | 120,000 | $0.00 Strike: $0.55 | $0.00 |
DisclosureSEC source: 0001610717-24-000422 · form4.xml · derivative · entry 1 Preston Heather · CIK 0001606826 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 120,000 Underlying: Common Stock · 120,000 shares Expires 2034-08-07 F1 · derivative.exercise_date: 1/36th of the total number of shares vest in thirty-six (36) successive and equal monthly installments measured from August 7, 2024 (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 14, 2023 Filed Jun 14, 2023 17:10 UTC | Fusion Pharmaceuticals Inc. FUSN · Entity 11851 | GrantStock Option (Right to Buy) · Derivative | 17,000 | $0.00 Strike: $4.64 | $0.00 |
DisclosureSEC source: 0001209191-23-037096 · doc4.xml · derivative · entry 1 Preston Heather · CIK 0001606826 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 17,000 Underlying: Common Stock · 17,000 shares Expires 2033-06-13 F1 · derivative.exercise_date: This option fully vests on the earlier of (i) June 14, 2024 or (ii) the 2024 Annual Meeting of Shareholders of Fusion Pharmaceuticals Inc. Read SEC document |
| December 01, 2022 Filed Dec 2, 2022 16:49 UTC | Akouos, Inc. AKUS · Entity 11574 | Disposition to issuerStock Option (right to buy) · Derivative | 16,000 | Not disclosed Strike: $4.21 | Not disclosed |
DisclosureSEC source: 0001104659-22-124137 · tm2231851-4_4seq1.xml · derivative · entry 2 Preston Heather · CIK 0001606826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 16,000 shares Expires 2032-06-22 F3 · price: At the effective time of the merger (the "Effective Time"), pursuant to the Merger Agreement, each outstanding option to purchase Shares having an exercise price less than $12.50 per Share, whether or not vested, was cancelled and converted into the right to receive (x) an amount in cash, without interest and less any applicable tax withholdings, equal to the product of (A) the total number of Shares subject to such option immediately prior to the Effective Time multiplied by (B) the excess, if any, of the Cash Consideration over the applicable exercise price per Share under such option and (y) one CVR for each Share subject to such option immediately prior to the Effective Time (without regard to vesting). F3 · derivative.exercise_date: At the effective time of the merger (the "Effective Time"), pursuant to the Merger Agreement, each outstanding option to purchase Shares having an exercise price less than $12.50 per Share, whether or not vested, was cancelled and converted into the right to receive (x) an amount in cash, without interest and less any applicable tax withholdings, equal to the product of (A) the total number of Shares subject to such option immediately prior to the Effective Time multiplied by (B) the excess, if any, of the Cash Consideration over the applicable exercise price per Share under such option and (y) one CVR for each Share subject to such option immediately prior to the Effective Time (without regard to vesting). Read SEC document |
| November 30, 2022 Filed Dec 2, 2022 16:49 UTC | Akouos, Inc. AKUS · Entity 11574 | OtherCommon Stock | 5,882 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-22-124137 · tm2231851-4_4seq1.xml · nonDerivative · entry 1 Preston Heather · CIK 0001606826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · shares: Pursuant to the terms of that certain Agreement and Plan of Merger (the "Merger Agreement"), by and among the Issuer, Eli Lilly and Company ("Parent") and Kearny Acquisition Corporation ("Merger Sub"), dated as of October 17, 2022, these shares of common stock, par value $0.0001 per share, of the Issuer ("Shares") were tendered prior to the Expiration Date (as defined in the Merger Agreement) and disposed of at the Acceptance Time (as defined in the Merger Agreement) in exchange for (i) $12.50 per Share, net to the stockholder in cash, without interest (the "Cash Consideration") and less any applicable tax withholding, plus [Continued on Note 2] F2 · shares: [Continuation of Note 1] (ii) one non-tradable contingent value right ("CVR") per Share, which represents the contractual right to receive contingent payments of up to $3.00 per CVR, net to the stockholder in cash, without interest and less any applicable tax withholding, upon the achievement of certain specified milestones in accordance with the terms and subject to the conditions of a Contingent Value Rights Agreement, dated as of November 30, 2022, by and among Parent, Merger Sub, Computershare Inc. and Computershare Trust Company, N.A. F1 · price: Pursuant to the terms of that certain Agreement and Plan of Merger (the "Merger Agreement"), by and among the Issuer, Eli Lilly and Company ("Parent") and Kearny Acquisition Corporation ("Merger Sub"), dated as of October 17, 2022, these shares of common stock, par value $0.0001 per share, of the Issuer ("Shares") were tendered prior to the Expiration Date (as defined in the Merger Agreement) and disposed of at the Acceptance Time (as defined in the Merger Agreement) in exchange for (i) $12.50 per Share, net to the stockholder in cash, without interest (the "Cash Consideration") and less any applicable tax withholding, plus [Continued on Note 2] F2 · price: [Continuation of Note 1] (ii) one non-tradable contingent value right ("CVR") per Share, which represents the contractual right to receive contingent payments of up to $3.00 per CVR, net to the stockholder in cash, without interest and less any applicable tax withholding, upon the achievement of certain specified milestones in accordance with the terms and subject to the conditions of a Contingent Value Rights Agreement, dated as of November 30, 2022, by and among Parent, Merger Sub, Computershare Inc. and Computershare Trust Company, N.A. Read SEC document |
| June 23, 2022 Filed Jun 27, 2022 17:06 UTC | Akouos, Inc. AKUS · Entity 11574 | GrantStock Option (right to buy) · Derivative | 16,000 | $0.00 Strike: $4.21 | $0.00 |
DisclosureSEC source: 0001104659-22-074834 · tm2219359-6_4seq1.xml · derivative · entry 1 Preston Heather · CIK 0001606826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,000 Underlying: Common Stock · 16,000 shares Expires 2032-06-22 F1 · derivative.exercise_date: This option was granted on June 23, 2022. The shares underlying the option will fully vest on the earlier of (i) June 23, 2023 and (ii) the date of the Issuer's 2023 annual meeting of stockholders. F2 · ownership.direct: The option was granted to the Reporting Person, a managing partner of Pivotal BioVenture Partners Fund I, L.P. (the "Fund") and an officer of Pivotal bioVenture Partners Investment Advisor, LLC (the "Investment Adviser"), the Fund's investment adviser, in connection with her service as a member of the Board of Directors of the Issuer. Pursuant to the policies of the Investment Adviser, the Reporting Person has assigned her rights in respect of the option to the Investment Adviser. The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of her pecuniary interest therein, if any. Read SEC document |
| June 14, 2022 Filed Jun 22, 2022 19:16 UTC | Fusion Pharmaceuticals Inc. FUSN · Entity 11851 | GrantStock Option (Right to Buy) · Derivative | 17,000 | $0.00 Strike: $3.60 | $0.00 |
DisclosureSEC source: 0001209191-22-038773 · doc4.xml · derivative · entry 1 Preston Heather · CIK 0001606826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,000 Underlying: Common Stock · 17,000 shares Expires 2032-06-13 F1 · derivative.exercise_date: This option fully vests on the earlier of (i) June 14, 2023 or (ii) the 2023 Annual Meeting of Shareholders of Fusion Pharmaceuticals Inc. Read SEC document |
| June 24, 2021 Filed Jun 25, 2021 16:37 UTC | Akouos, Inc. AKUS · Entity 11574 | GrantStock Option (right to buy) · Derivative | 16,000 | $0.00 Strike: $13.39 | $0.00 |
DisclosureSEC source: 0001104659-21-085764 · tm2120686-5_4seq1.xml · derivative · entry 1 Preston Heather · CIK 0001606826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,000 Underlying: Common Stock · 16,000 shares Expires 2031-06-23 F1 · derivative.exercise_date: This option was granted on June 24, 2021. The shares underlying the option will fully vest on the earlier of (i) June 24, 2022 and (ii) the date of the Issuer's 2022 annual meeting of stockholders. F2 · ownership.direct: The option was granted to the Reporting Person, a managing partner of Pivotal BioVenture Partners Fund I, L.P. (the "Fund") and an officer of Pivotal bioVenture Partners Investment Advisor, LLC (the "Investment Adviser"), the Fund's investment adviser, in connection with her service as a member of the Board of Directors of the Issuer. Pursuant to the policies of the Investment Adviser, the Reporting Person has assigned her rights in respect of the option to the Investment Adviser. The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of her pecuniary interest therein, if any. Read SEC document |
| June 24, 2021 Filed Jun 28, 2021 21:31 UTC | Karuna Therapeutics, Inc. KRTX · Entity 92934 | OtherCommon Stock | 184 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001062993-21-006041 · form4.xml · nonDerivative · entry 1 Preston Heather · CIK 0001606826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,556 F1 · kind: Represents a distribution of common stock of the Issuer to partners of a limited partnership and includes subsequent distributions by the general partner of the limited partnership. F1 · price: Represents a distribution of common stock of the Issuer to partners of a limited partnership and includes subsequent distributions by the general partner of the limited partnership. Read SEC document |
| June 16, 2021 Filed Jun 23, 2021 20:39 UTC | Karuna Therapeutics, Inc. KRTX · Entity 92934 | GrantOption (right to buy) · Derivative | 8,500 | $0.00 Strike: $128.01 | $0.00 |
DisclosureSEC source: 0001593968-21-001688 · primary_01.xml · derivative · entry 1 Preston Heather · CIK 0001606826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,500 Underlying: Common Stock · 8,500 shares Expires 2031-06-15 F1 · derivative.exercise_date: This option shall vest in full upon the earlier of (i) June 16, 2022, and (ii) the 2022 annual meeting of the Issuer's stockholders. Read SEC document |
| June 04, 2021 Filed Jun 7, 2021 16:18 UTC | Fusion Pharmaceuticals Inc. FUSN · Entity 11851 | GrantStock Option (Right to Buy) · Derivative | 17,000 | $0.00 Strike: $8.15 | $0.00 |
DisclosureSEC source: 0001209191-21-038583 · doc4.xml · derivative · entry 1 Preston Heather · CIK 0001606826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,000 Underlying: Common Stock · 17,000 shares Expires 2031-06-03 F1 · derivative.exercise_date: This option fully vests on the earlier of (i) June 4, 2022 or (ii) the 2022 Annual Meeting of Shareholders of Fusion Pharmaceuticals Inc. Read SEC document |
| March 08, 2021 Filed Mar 11, 2021 00:25 UTC | Karuna Therapeutics, Inc. KRTX · Entity 92934 | OtherCommon Stock | 572 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001062993-21-002589 · form4.xml · nonDerivative · entry 1 Preston Heather · CIK 0001606826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,372 F1 · kind: Represents a distribution of common stock of the Issuer to partners of a limited partnership and includes subsequent distributions by the general partner of the limited partnership. F1 · price: Represents a distribution of common stock of the Issuer to partners of a limited partnership and includes subsequent distributions by the general partner of the limited partnership. Read SEC document |
| September 04, 2020 Filed Sep 10, 2020 00:10 UTC | Karuna Therapeutics, Inc. KRTX · Entity 92934 | PurchaseCommon Stock | 350 | $72.36 | $25,326.00 |
DisclosureSEC source: 0000899243-20-024803 · doc4.xml · nonDerivative · entry 1 Preston Heather · CIK 0001606826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,800 Read SEC document |
| June 30, 2020 Filed Jul 2, 2020 16:05 UTC | Fusion Pharmaceuticals Inc. FUSN · Entity 11851 | PurchaseCommon Stock | 8,823 | $17.00 | $149,991.00 |
DisclosureSEC source: 0000899243-20-018260 · doc4.xml · nonDerivative · entry 1 Preston Heather · CIK 0001606826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,823 Read SEC document |
| June 30, 2020 Filed Jul 2, 2020 16:16 UTC | Akouos, Inc. AKUS · Entity 11574 | ConversionSeries B Preferred Stock · Derivative | 1,499,971 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-20-080562 · a4.xml · derivative · entry 4 Preston Heather · CIK 0001606826 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 1,499,971 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: On June 30, 2020, the Series B Preferred Stock converted into Common Stock on a 21.073-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F1 · derivative.exercise_date: On June 30, 2020, the Series B Preferred Stock converted into Common Stock on a 21.073-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F1 · derivative.expiration_date: On June 30, 2020, the Series B Preferred Stock converted into Common Stock on a 21.073-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F2 · ownership.nature: The reportable securities are owned directly by Pivotal bioVenture Partners Fund I, L.P. ("Pivotal"). The Reporting Person is a managing partner of Pivotal bioVenture Partners Management Ltd. ("Investment Advisor"), which is the investment advisor to Pivotal, and is managing partner of Pivotal bioVenture Partners Investment Advisor, LLC, which is the U.S. sub-advisor to the Investment Advisor. Therefore, the Reporting Person may be deemed to beneficially own the shares held by Pivotal. The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of the Reporting Person's pecuniary interest therein, if any. Read SEC document |
| June 30, 2020 Filed Jul 2, 2020 16:16 UTC | Akouos, Inc. AKUS · Entity 11574 | PurchaseCommon Stock | 5,882 | $17.00 | $99,994.00 |
DisclosureSEC source: 0001104659-20-080562 · a4.xml · nonDerivative · entry 3 Preston Heather · CIK 0001606826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,882 Read SEC document |
| June 30, 2020 Filed Jul 2, 2020 16:16 UTC | Akouos, Inc. AKUS · Entity 11574 | PurchaseCommon Stock | 294,117 | $17.00 | $4,999,989.00 |
DisclosureSEC source: 0001104659-20-080562 · a4.xml · nonDerivative · entry 2 Preston Heather · CIK 0001606826 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,794,088 F2 · ownership.nature: The reportable securities are owned directly by Pivotal bioVenture Partners Fund I, L.P. ("Pivotal"). The Reporting Person is a managing partner of Pivotal bioVenture Partners Management Ltd. ("Investment Advisor"), which is the investment advisor to Pivotal, and is managing partner of Pivotal bioVenture Partners Investment Advisor, LLC, which is the U.S. sub-advisor to the Investment Advisor. Therefore, the Reporting Person may be deemed to beneficially own the shares held by Pivotal. The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of the Reporting Person's pecuniary interest therein, if any. Read SEC document |
| June 30, 2020 Filed Jul 2, 2020 16:16 UTC | Akouos, Inc. AKUS · Entity 11574 | ConversionCommon Stock | 1,499,971 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-20-080562 · a4.xml · nonDerivative · entry 1 Preston Heather · CIK 0001606826 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,499,971 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 · price: On June 30, 2020, the Series B Preferred Stock converted into Common Stock on a 21.073-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F2 · ownership.nature: The reportable securities are owned directly by Pivotal bioVenture Partners Fund I, L.P. ("Pivotal"). The Reporting Person is a managing partner of Pivotal bioVenture Partners Management Ltd. ("Investment Advisor"), which is the investment advisor to Pivotal, and is managing partner of Pivotal bioVenture Partners Investment Advisor, LLC, which is the U.S. sub-advisor to the Investment Advisor. Therefore, the Reporting Person may be deemed to beneficially own the shares held by Pivotal. The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of the Reporting Person's pecuniary interest therein, if any. Read SEC document |
| June 25, 2020 Filed Jun 30, 2020 06:34 UTC | Fusion Pharmaceuticals Inc. FUSN · Entity 11851 | GrantStock Option (Right to Buy) · Derivative | 30,000 | $0.00 Strike: $17.00 | $0.00 |
DisclosureSEC source: 0000899243-20-017872 · doc4.xml · derivative · entry 1 Preston Heather · CIK 0001606826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 Underlying: Common Shares · 30,000 shares Expires 2030-06-18 F1 · derivative.exercise_date: This option shall vest and become exercisable in 36 equal monthly installments commencing on July 18, 2020. Read SEC document |
| June 04, 2020 Filed Jun 8, 2020 20:38 UTC | Karuna Therapeutics, Inc. KRTX · Entity 92934 | GrantOption (right to buy) · Derivative | 12,500 | $0.00 Strike: $97.59 | $0.00 |
DisclosureSEC source: 0001593968-20-001422 · primary_01.xml · derivative · entry 1 Preston Heather · CIK 0001606826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,500 Underlying: Common Stock · 12,500 shares Expires 2030-06-04 F1 · derivative.exercise_date: This option shall vest in full upon the earlier of (i) June 4, 2021, and (ii) the 2021 annual meeting of the Issuer's stockholders. Read SEC document |
| March 12, 2020 Filed Mar 12, 2020 22:34 UTC | Karuna Therapeutics, Inc. KRTX · Entity 92934 | PurchaseCommon Stock | 500 | $74.91 | $37,455.00 |
DisclosureSEC source: 0000899243-20-008109 · doc4.xml · nonDerivative · entry 5 Preston Heather · CIK 0001606826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,450 Read SEC document |
| March 12, 2020 Filed Mar 12, 2020 22:34 UTC | Karuna Therapeutics, Inc. KRTX · Entity 92934 | PurchaseCommon Stock | 500 | $73.00 | $36,500.00 |
DisclosureSEC source: 0000899243-20-008109 · doc4.xml · nonDerivative · entry 4 Preston Heather · CIK 0001606826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,950 Read SEC document |
| March 12, 2020 Filed Mar 12, 2020 22:34 UTC | Karuna Therapeutics, Inc. KRTX · Entity 92934 | PurchaseCommon Stock | 500 | $70.00 | $35,000.00 |
DisclosureSEC source: 0000899243-20-008109 · doc4.xml · nonDerivative · entry 3 Preston Heather · CIK 0001606826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,450 Read SEC document |
| March 12, 2020 Filed Mar 12, 2020 22:34 UTC | Karuna Therapeutics, Inc. KRTX · Entity 92934 | PurchaseCommon Stock | 550 | $69.17 | $38,042.79 |
DisclosureSEC source: 0000899243-20-008109 · doc4.xml · nonDerivative · entry 2 Preston Heather · CIK 0001606826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,950 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $68.69 to $69.4791, inclusive. The Reporting Person undertakes to provide to the Issuer, any securityholder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| March 10, 2020 Filed Mar 12, 2020 22:34 UTC | Karuna Therapeutics, Inc. KRTX · Entity 92934 | PurchaseCommon Stock | 1,000 | $80.00 | $80,000.00 |
DisclosureSEC source: 0000899243-20-008109 · doc4.xml · nonDerivative · entry 1 Preston Heather · CIK 0001606826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,400 Read SEC document |
| January 09, 2020 Filed Jan 10, 2020 21:48 UTC | Karuna Therapeutics, Inc. KRTX · Entity 92934 | PurchaseCommon Stock | 788 | $70.50 | $55,554.00 |
DisclosureSEC source: 0000899243-20-000978 · doc4.xml · nonDerivative · entry 1 Preston Heather · CIK 0001606826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,400 Read SEC document |
| January 03, 2020 Filed Jan 7, 2020 23:09 UTC | Karuna Therapeutics, Inc. KRTX · Entity 92934 | PurchaseCommon Stock | 1,138 | $70.00 | $79,660.00 |
DisclosureSEC source: 0000899243-20-000737 · doc4.xml · nonDerivative · entry 2 Preston Heather · CIK 0001606826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,612 Read SEC document |
| January 03, 2020 Filed Jan 7, 2020 23:09 UTC | Karuna Therapeutics, Inc. KRTX · Entity 92934 | PurchaseCommon Stock | 289 | $69.00 | $19,941.00 |
DisclosureSEC source: 0000899243-20-000737 · doc4.xml · nonDerivative · entry 1 Preston Heather · CIK 0001606826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 474 Read SEC document |
| December 31, 2019 Filed Jan 3, 2020 22:13 UTC | Karuna Therapeutics, Inc. KRTX · Entity 92934 | PurchaseCommon Stock | 185 | $70.00 | $12,950.00 |
DisclosureSEC source: 0000899243-20-000296 · doc4.xml · nonDerivative · entry 1 Preston Heather · CIK 0001606826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 185 Read SEC document |
| October 22, 2019 Filed Oct 24, 2019 19:01 UTC | ALDER BIOPHARMACEUTICALS INC ALDR · Entity 154258 | Disposition to issuerStock Option (Right to Buy) · Derivative | 15,000 | $0.00 Strike: $16.90 | $0.00 |
DisclosureSEC source: 0001209191-19-053916 · doc4.xml · derivative · entry 3 Preston Heather · CIK 0001606826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 15,000 shares Expires 2027-05-23 F1 · date: On September 16, 2019, the Issuer entered into an Agreement and Plan of Merger (the "Merger Agreement") with H. Lundbeck A/S ("Lundbeck"), Lundbeck LLC and Violet Acquisition Corp., a wholly owned subsidiary of Lundbeck ("Purchaser"). On October 22, 2019 (the "Effective Time"), Purchaser merged with and into the Issuer pursuant to Section 251(h) of the General Corporation Law of the State of Delaware, with the Issuer being the surviving corporation and becoming a wholly-owned subsidiary of Lundbeck. F5 · derivative.exercise_date: The shares subject to this option shall fully vest and become exercisable on the date of the 2018 Annual Meeting of the Stockholders of the Issuer, so long as the Reporting Person provides continuous service to the Issuer through such date. The shares subject to this option are fully vested as of the date hereof. F6 · derivative.exercise_date: The shares subject to this option, whether or not vested, were cancelled and converted into the right to receive both (i) a cash payment equal to (A) the excess, if any of (x) $18.00 over (y) the Exercise Price per share listed in Column 2 of Table II of this Form 4, multiplied by (B) the total number of shares listed in Column 5 of Table II of this Form 4, and (ii) one non-transferable contingent value right for each share subject to this option, which represents the contractual right to receive up to an additional $2.00 per share upon achievement of a milestone. Read SEC document |
| October 22, 2019 Filed Oct 24, 2019 19:01 UTC | ALDER BIOPHARMACEUTICALS INC ALDR · Entity 154258 | Disposition to issuerStock Option (Right to Buy) · Derivative | 15,000 | $0.00 Strike: $29.26 | $0.00 |
DisclosureSEC source: 0001209191-19-053916 · doc4.xml · derivative · entry 2 Preston Heather · CIK 0001606826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 15,000 shares Expires 2026-05-25 F1 · date: On September 16, 2019, the Issuer entered into an Agreement and Plan of Merger (the "Merger Agreement") with H. Lundbeck A/S ("Lundbeck"), Lundbeck LLC and Violet Acquisition Corp., a wholly owned subsidiary of Lundbeck ("Purchaser"). On October 22, 2019 (the "Effective Time"), Purchaser merged with and into the Issuer pursuant to Section 251(h) of the General Corporation Law of the State of Delaware, with the Issuer being the surviving corporation and becoming a wholly-owned subsidiary of Lundbeck. F3 · derivative.exercise_date: The shares subject to this option, whether or not vested, were cancelled at the Effective Time without any consideration payable therefor. F4 · derivative.exercise_date: The shares subject to this option shall fully vest and become exercisable on the date of the 2017 Annual Meeting of the Stockholders of the Issuer, so long as the Reporting Person provides continuous service to the Issuer through such date. The shares subject to this option are fully vested as of the date hereof. Read SEC document |
| October 22, 2019 Filed Oct 24, 2019 19:01 UTC | ALDER BIOPHARMACEUTICALS INC ALDR · Entity 154258 | Disposition to issuerStock Option (Right to Buy) · Derivative | 6,350 | $0.00 Strike: $39.66 | $0.00 |
DisclosureSEC source: 0001209191-19-053916 · doc4.xml · derivative · entry 1 Preston Heather · CIK 0001606826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 6,350 shares Expires 2025-05-18 F1 · date: On September 16, 2019, the Issuer entered into an Agreement and Plan of Merger (the "Merger Agreement") with H. Lundbeck A/S ("Lundbeck"), Lundbeck LLC and Violet Acquisition Corp., a wholly owned subsidiary of Lundbeck ("Purchaser"). On October 22, 2019 (the "Effective Time"), Purchaser merged with and into the Issuer pursuant to Section 251(h) of the General Corporation Law of the State of Delaware, with the Issuer being the surviving corporation and becoming a wholly-owned subsidiary of Lundbeck. F2 · derivative.exercise_date: The shares subject to this option shall fully vest and become exercisable on the date of the 2016 Annual Meeting of the Stockholders of the Issuer, so long as the Reporting Person provides continuous service to the Issuer through such date. The shares subject to this option are fully vested as of the date hereof. F3 · derivative.exercise_date: The shares subject to this option, whether or not vested, were cancelled at the Effective Time without any consideration payable therefor. Read SEC document |
| June 27, 2019 Filed Jul 1, 2019 23:18 UTC | Karuna Therapeutics, Inc. KRTX · Entity 92934 | GrantStock Option (Right to Buy) · Derivative | 16,250 | $0.00 Strike: $16.00 | $0.00 |
DisclosureSEC source: 0000899243-19-018725 · doc4.xml · derivative · entry 1 Preston Heather · CIK 0001606826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,250 Underlying: Common Stock · 16,250 shares Expires 2029-06-27 F1 · derivative.exercise_date: This option shall vest in full upon the earlier of (i) June 27, 2020, and (ii) the next annual meeting of the Issuer's stockholders. Read SEC document |
| June 19, 2019 Filed Jun 21, 2019 20:03 UTC | Entasis Therapeutics Holdings Inc. ETTX · Entity 16036 | GrantStock Option (Right to Buy) · Derivative | 7,500 | $0.00 Strike: $6.12 | $0.00 |
DisclosureSEC source: 0001104659-19-037002 · a4.xml · derivative · entry 1 Preston Heather · CIK 0001606826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,500 Underlying: Common Stock · 7,500 shares Expires 2029-06-18 F1 · derivative.exercise_date: The shares subject to this option will vest in equal monthly installments over the 12 months following the date of grant, provided that the option will in any case be fully vested on the date of the next annual stockholder meeting, subject to the Reporting Persons's continued service through each such vesting date. Read SEC document |
| June 11, 2019 Filed Jun 13, 2019 17:04 UTC | OTONOMY, INC. OTIC · Entity 116495 | GrantStock Option (right to buy) · Derivative | 17,500 | $0.00 Strike: $2.35 | $0.00 |
DisclosureSEC source: 0001209191-19-036837 · doc4.xml · derivative · entry 1 Preston Heather · CIK 0001606826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,500 Underlying: Common Stock · 17,500 shares Expires 2029-06-10 F1 · derivative.exercise_date: 100% of the shares subject to the option shall vest upon the date of the Issuer's next annual meeting of stockholders occurring after the grant date, provided that the Reporting Person remains a service provider through such date. Read SEC document |
| September 28, 2018 Filed Oct 3, 2018 01:40 UTC | Entasis Therapeutics Holdings Inc. ETTX · Entity 16036 | ConversionSeries B-1 Tranche B Convertible Preferred Stock · Derivative | 9,502,249 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-053538 · doc4.xml · derivative · entry 5 Preston Heather · CIK 0001606826 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 458,425 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of Series B-1 Tranche A Convertible Preferred Stock and Series B-1 Tranche B Convertible Preferred Stock (collectively, the "Preferred Stock") automatically converted into Common Stock on a 20.728-for-one basis upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F1 · derivative.exercise_date: Each share of Series B-1 Tranche A Convertible Preferred Stock and Series B-1 Tranche B Convertible Preferred Stock (collectively, the "Preferred Stock") automatically converted into Common Stock on a 20.728-for-one basis upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F1 · derivative.expiration_date: Each share of Series B-1 Tranche A Convertible Preferred Stock and Series B-1 Tranche B Convertible Preferred Stock (collectively, the "Preferred Stock") automatically converted into Common Stock on a 20.728-for-one basis upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F1 · derivative.underlying_shares: Each share of Series B-1 Tranche A Convertible Preferred Stock and Series B-1 Tranche B Convertible Preferred Stock (collectively, the "Preferred Stock") automatically converted into Common Stock on a 20.728-for-one basis upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F2 · ownership.nature: The reportable securities are owned directly by Pivotal bioVenture Partners Fund I, L.P. ("Pivotal"). The Reporting Person is a managing partner of Pivotal bioVenture Partners Management Ltd. ("Investment Advisor"), which is the investment advisor to Pivotal, and is managing partner of Pivotal bioVenture Partners Investment Advisor, LLC, which is the U.S. sub-advisor to the Investment Advisor. Therefore, the Reporting Person may be deemed to beneficially own the shares held by Pivotal. The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of the Reporting Person's pecuniary interest therein, if any. Read SEC document |
| September 28, 2018 Filed Oct 3, 2018 01:40 UTC | Entasis Therapeutics Holdings Inc. ETTX · Entity 16036 | ConversionSeries B-1 Tranche A Convertible Preferred Stock · Derivative | 7,446,904 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-053538 · doc4.xml · derivative · entry 4 Preston Heather · CIK 0001606826 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 359,267 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of Series B-1 Tranche A Convertible Preferred Stock and Series B-1 Tranche B Convertible Preferred Stock (collectively, the "Preferred Stock") automatically converted into Common Stock on a 20.728-for-one basis upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F1 · derivative.exercise_date: Each share of Series B-1 Tranche A Convertible Preferred Stock and Series B-1 Tranche B Convertible Preferred Stock (collectively, the "Preferred Stock") automatically converted into Common Stock on a 20.728-for-one basis upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F1 · derivative.expiration_date: Each share of Series B-1 Tranche A Convertible Preferred Stock and Series B-1 Tranche B Convertible Preferred Stock (collectively, the "Preferred Stock") automatically converted into Common Stock on a 20.728-for-one basis upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F1 · derivative.underlying_shares: Each share of Series B-1 Tranche A Convertible Preferred Stock and Series B-1 Tranche B Convertible Preferred Stock (collectively, the "Preferred Stock") automatically converted into Common Stock on a 20.728-for-one basis upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F2 · ownership.nature: The reportable securities are owned directly by Pivotal bioVenture Partners Fund I, L.P. ("Pivotal"). The Reporting Person is a managing partner of Pivotal bioVenture Partners Management Ltd. ("Investment Advisor"), which is the investment advisor to Pivotal, and is managing partner of Pivotal bioVenture Partners Investment Advisor, LLC, which is the U.S. sub-advisor to the Investment Advisor. Therefore, the Reporting Person may be deemed to beneficially own the shares held by Pivotal. The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of the Reporting Person's pecuniary interest therein, if any. Read SEC document |
| September 28, 2018 Filed Oct 3, 2018 01:40 UTC | Entasis Therapeutics Holdings Inc. ETTX · Entity 16036 | PurchaseCommon Stock | 337,724 | $15.00 | $5,065,860.00 |
DisclosureSEC source: 0001209191-18-053538 · doc4.xml · nonDerivative · entry 3 Preston Heather · CIK 0001606826 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,180,178 F2 · ownership.nature: The reportable securities are owned directly by Pivotal bioVenture Partners Fund I, L.P. ("Pivotal"). The Reporting Person is a managing partner of Pivotal bioVenture Partners Management Ltd. ("Investment Advisor"), which is the investment advisor to Pivotal, and is managing partner of Pivotal bioVenture Partners Investment Advisor, LLC, which is the U.S. sub-advisor to the Investment Advisor. Therefore, the Reporting Person may be deemed to beneficially own the shares held by Pivotal. The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of the Reporting Person's pecuniary interest therein, if any. Read SEC document |
| September 28, 2018 Filed Oct 3, 2018 01:40 UTC | Entasis Therapeutics Holdings Inc. ETTX · Entity 16036 | ConversionCommon Stock | 458,425 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-053538 · doc4.xml · nonDerivative · entry 2 Preston Heather · CIK 0001606826 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 842,454 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 · price: Each share of Series B-1 Tranche A Convertible Preferred Stock and Series B-1 Tranche B Convertible Preferred Stock (collectively, the "Preferred Stock") automatically converted into Common Stock on a 20.728-for-one basis upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F3 · balance_after: This number includes an aggregate of 24,762 shares of Common Stock received by Pivotal upon the conversion of the Issuer's Preferred Stock as payment of the accrued dividends through September 27, 2018. No dividends will accrue after September 27, 2018. F2 · ownership.nature: The reportable securities are owned directly by Pivotal bioVenture Partners Fund I, L.P. ("Pivotal"). The Reporting Person is a managing partner of Pivotal bioVenture Partners Management Ltd. ("Investment Advisor"), which is the investment advisor to Pivotal, and is managing partner of Pivotal bioVenture Partners Investment Advisor, LLC, which is the U.S. sub-advisor to the Investment Advisor. Therefore, the Reporting Person may be deemed to beneficially own the shares held by Pivotal. The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of the Reporting Person's pecuniary interest therein, if any. Read SEC document |
| September 28, 2018 Filed Oct 3, 2018 01:40 UTC | Entasis Therapeutics Holdings Inc. ETTX · Entity 16036 | ConversionCommon Stock | 359,267 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-053538 · doc4.xml · nonDerivative · entry 1 Preston Heather · CIK 0001606826 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 359,267 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 · price: Each share of Series B-1 Tranche A Convertible Preferred Stock and Series B-1 Tranche B Convertible Preferred Stock (collectively, the "Preferred Stock") automatically converted into Common Stock on a 20.728-for-one basis upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F2 · ownership.nature: The reportable securities are owned directly by Pivotal bioVenture Partners Fund I, L.P. ("Pivotal"). The Reporting Person is a managing partner of Pivotal bioVenture Partners Management Ltd. ("Investment Advisor"), which is the investment advisor to Pivotal, and is managing partner of Pivotal bioVenture Partners Investment Advisor, LLC, which is the U.S. sub-advisor to the Investment Advisor. Therefore, the Reporting Person may be deemed to beneficially own the shares held by Pivotal. The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of the Reporting Person's pecuniary interest therein, if any. Read SEC document |
| June 19, 2018 Filed Jun 20, 2018 19:37 UTC | OTONOMY, INC. OTIC · Entity 116495 | GrantStock Option (right to buy) · Derivative | 17,500 | $0.00 Strike: $4.45 | $0.00 |
DisclosureSEC source: 0001209191-18-038876 · doc4.xml · derivative · entry 1 Preston Heather · CIK 0001606826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,500 Underlying: Common Stock · 17,500 shares Expires 2028-06-18 F1 · derivative.exercise_date: 100% of the shares subject to the option shall vest upon the date of the Issuer's next annual meeting of stockholders occurring after the grant date, provided that the Reporting Person remains a service provider through such date. Read SEC document |
| June 20, 2017 Filed Jul 14, 2017 18:35 UTC | OTONOMY, INC. OTIC · Entity 116495 | GrantStock Option (right to buy) · Derivative | 15,000 | $0.00 Strike: $16.05 | $0.00 |
DisclosureSEC source: 0001209191-17-045258 · doc4.xml · derivative · entry 1 Preston Heather · CIK 0001606826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2027-06-20 F1 · derivative.exercise_date: The shares subject to the option vest in full on the date of the Issuer's next annual meeting of stockholders. Read SEC document |
| May 24, 2017 Filed May 26, 2017 18:27 UTC | ALDER BIOPHARMACEUTICALS INC ALDR · Entity 154258 | GrantStock Option (Right to Buy) · Derivative | 15,000 | $0.00 Strike: $16.90 | $0.00 |
DisclosureSEC source: 0001209191-17-036020 · doc4.xml · derivative · entry 1 Preston Heather · CIK 0001606826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2027-05-23 F1 · derivative.exercise_date: The shares subject to this option shall fully vest and become exercisable on the date of the 2018 Annual Meeting of the Stockholders of the Issuer, so long as the Reporting Person provides continuous service to the Issuer through such date. Read SEC document |
| January 23, 2017 Filed Jan 25, 2017 16:15 UTC | ALBIREO PHARMA, INC. ALBO · Entity 116015 | GrantStock Option (right to buy) · Derivative | 4,500 | $0.00 Strike: $18.54 | $0.00 |
DisclosureSEC source: 0000903423-17-000030 · prestonf4.xml · derivative · entry 1 Preston Heather · CIK 0001606826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,500 Underlying: Common Stock · 4,500 shares Expires 2027-01-22 F1 · derivative.exercise_date: The option will vest and become exercisable in equal annual installments on each of the first three anniversaries of the date of the grant (provided that, in any case, the option will fully vest on the day prior to the annual meeting for the third fiscal year following the date of the grant). 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.