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person · Reporting owner

Smaldone Alsup Laurie

Disclosed activity across 5 companies

Tapewire entity
35099
SEC CIK
0001589602

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Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
ARVINAS, INC.ARVN · Entity 5355DirectorJune 24, 2026June 26, 2026
BLACKBERRY LtdBB · Entity 3966DirectorJune 25, 2024June 26, 2024

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.

ARVINAS, INC.

Report date June 24, 2026 · Filed June 26, 2026

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect41,572 Reported balance After 2026-06-24 transaction · row 1
1 source row

Row 1 · 2026-06-24 · Grant · Acquired 15,527 · Balance 41,572

F1: The restricted stock units (each, an "RSU") were granted by the Issuer on June 24, 2026 and each RSU represents a contingent right to receive one share of the Issuer's common stock upon settlement for no consideration. The RSUs shall vest in full on the earlier of (i) June 24, 2027 or (ii) immediately prior to the first annual meeting of stockholders occurring after the date of grant, subject to the reporting person's continued service with the Issuer on the vesting date.

Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $8.05 · Expires 2036-06-23Direct22,714 Reported balance After 2026-06-24 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · 2026-06-24 · Grant · Acquired 22,714 · Balance 22,714

F2: This option award was granted on June 24, 2026. The shares underlying the award shall vest in full on the earlier of (i) June 24, 2027 or (ii) immediately prior to the first annual meeting of stockholders occurring after the date of grant, subject to the reporting person's continued service with the Issuer on the vesting date.

Filing footnotes · ownership attribution and instrument terms

F1: The restricted stock units (each, an "RSU") were granted by the Issuer on June 24, 2026 and each RSU represents a contingent right to receive one share of the Issuer's common stock upon settlement for no consideration. The RSUs shall vest in full on the earlier of (i) June 24, 2027 or (ii) immediately prior to the first annual meeting of stockholders occurring after the date of grant, subject to the reporting person's continued service with the Issuer on the vesting date.

F2: This option award was granted on June 24, 2026. The shares underlying the award shall vest in full on the earlier of (i) June 24, 2027 or (ii) immediately prior to the first annual meeting of stockholders occurring after the date of grant, subject to the reporting person's continued service with the Issuer on the vesting date.

BLACKBERRY Ltd

Report date June 25, 2024 · Filed June 26, 2024

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Deferred Share UnitSEC Table II · derivative / convertible securityDirect292,923 Reported balance After 2024-06-25 transaction · row 1 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 1 · 2024-06-25 · Grant · Acquired 5,994 · Balance 292,923

F1: Each Deferred Share Unit ("DSU") is the economic equivalent of one common share. The DSUs become payable, in cash or common shares or a combination of the two, at the discretion of BlackBerry Limited ("BlackBerry") following cessation of the reporting person's service as a director of BlackBerry.

Filing footnotes · ownership attribution and instrument terms

F1: Each Deferred Share Unit ("DSU") is the economic equivalent of one common share. The DSUs become payable, in cash or common shares or a combination of the two, at the discretion of BlackBerry Limited ("BlackBerry") following cessation of the reporting person's service as a director of BlackBerry.

Past disclosures · reporting ended (3)

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

Kinnate Biopharma Inc.

Report date April 03, 2024 · Filed April 05, 2024

Section 16 reporting ended · disclosed 2024-04-05. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.63 · Expires 2030-08-22Direct0 Reported balance After 2024-04-03 transaction · row 1 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 1 · 2024-04-03 · Disposition to issuer · Disposed 60,751 · Balance 0

F1: This option was cancelled pursuant to that certain Agreement and Plan of Merger, dated February 16, 2024, by and between the Issuer, XOMA Corporation and XRA 1 Corp. (the "Merger Agreement") in exchange for one non-transferable contingent value right ("CVR") for each share underlying such out-of-the-money option. However, please note that such CVRs will provide payment only after the amounts payable under such CVRs exceed a threshold equal to the excess of the per share exercise price of such out-of-the-money option over the Cash Amount.

Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $24.46 · Expires 2031-06-11Direct0 Reported balance After 2024-04-03 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · 2024-04-03 · Disposition to issuer · Disposed 20,250 · Balance 0

F1: This option was cancelled pursuant to that certain Agreement and Plan of Merger, dated February 16, 2024, by and between the Issuer, XOMA Corporation and XRA 1 Corp. (the "Merger Agreement") in exchange for one non-transferable contingent value right ("CVR") for each share underlying such out-of-the-money option. However, please note that such CVRs will provide payment only after the amounts payable under such CVRs exceed a threshold equal to the excess of the per share exercise price of such out-of-the-money option over the Cash Amount.

Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $8.38 · Expires 2032-06-13Direct0 Reported balance After 2024-04-03 transaction · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 3 · 2024-04-03 · Disposition to issuer · Disposed 20,250 · Balance 0

F1: This option was cancelled pursuant to that certain Agreement and Plan of Merger, dated February 16, 2024, by and between the Issuer, XOMA Corporation and XRA 1 Corp. (the "Merger Agreement") in exchange for one non-transferable contingent value right ("CVR") for each share underlying such out-of-the-money option. However, please note that such CVRs will provide payment only after the amounts payable under such CVRs exceed a threshold equal to the excess of the per share exercise price of such out-of-the-money option over the Cash Amount.

Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.48 · Expires 2033-06-12Direct0 Reported balance After 2024-04-03 transaction · row 4 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 4 · 2024-04-03 · Disposition to issuer · Disposed 25,000 · Balance 0

F1: This option was cancelled pursuant to that certain Agreement and Plan of Merger, dated February 16, 2024, by and between the Issuer, XOMA Corporation and XRA 1 Corp. (the "Merger Agreement") in exchange for one non-transferable contingent value right ("CVR") for each share underlying such out-of-the-money option. However, please note that such CVRs will provide payment only after the amounts payable under such CVRs exceed a threshold equal to the excess of the per share exercise price of such out-of-the-money option over the Cash Amount.

Filing footnotes · ownership attribution and instrument terms

F1: This option was cancelled pursuant to that certain Agreement and Plan of Merger, dated February 16, 2024, by and between the Issuer, XOMA Corporation and XRA 1 Corp. (the "Merger Agreement") in exchange for one non-transferable contingent value right ("CVR") for each share underlying such out-of-the-money option. However, please note that such CVRs will provide payment only after the amounts payable under such CVRs exceed a threshold equal to the excess of the per share exercise price of such out-of-the-money option over the Cash Amount.

PARDES BIOSCIENCES, INC.

Report date August 31, 2023 · Filed August 31, 2023

Section 16 reporting ended · disclosed 2023-08-31. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.87 · Expires 2033-05-31Direct0 Reported balance After 2023-08-31 transaction · row 1 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 1 · 2023-08-31 · Disposition to issuer · Disposed 37,500 · Balance 0

F1: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger entered into by and among the Issuer, MediPacific, Inc. (Parent) and MediPacific Sub, Inc., a wholly-owned subsidiary of Parent (Purchaser), dated as of July 16, 2023 (Merger Agreement), pursuant to which the Purchaser completed a tender offer for the shares of common stock of the Issuer and thereafter merged with and into the Issuer effective as of August 31, 2023 (Effective Time).

F2: On July 16, 2023, the Issuer's Board of Directors vested in full each option to purchase shares granted under an Issuer equity plan (each, a Company Stock Option) that was outstanding and unvested as of that date. As of the Effective Time, each in-the-money Company Stock Option that was outstanding immediately prior to the Effective Time was cancelled, and, in exchange therefor, the holder of such cancelled in-the-money Company Stock Option was entitled to receive, in consideration of the cancellation of such Company Stock Option, (i) an amount in cash (less applicable tax withholdings and without interest) equal to the product of (x) the total number of shares subject to such Company Stock Option immediately prior to the Effective Time multiplied by (y) the excess of $2.13 over the applicable exercise price per share under such Company Stock Option and (ii) one contingent value right for each share subject thereto.

Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.98 · Expires 2032-09-13Direct0 Reported balance After 2023-08-31 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · 2023-08-31 · Disposition to issuer · Disposed 75,000 · Balance 0

F3: On July 16, 2023, the Issuer's Board of Directors vested in full each unvested Company Stock Option. Pursuant to the Merger Agreement, each Company Stock Option that was not in the money as of the Effective Time was cancelled for no consideration at the Effective Time.

Filing footnotes · ownership attribution and instrument terms

F1: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger entered into by and among the Issuer, MediPacific, Inc. (Parent) and MediPacific Sub, Inc., a wholly-owned subsidiary of Parent (Purchaser), dated as of July 16, 2023 (Merger Agreement), pursuant to which the Purchaser completed a tender offer for the shares of common stock of the Issuer and thereafter merged with and into the Issuer effective as of August 31, 2023 (Effective Time).

F2: On July 16, 2023, the Issuer's Board of Directors vested in full each option to purchase shares granted under an Issuer equity plan (each, a Company Stock Option) that was outstanding and unvested as of that date. As of the Effective Time, each in-the-money Company Stock Option that was outstanding immediately prior to the Effective Time was cancelled, and, in exchange therefor, the holder of such cancelled in-the-money Company Stock Option was entitled to receive, in consideration of the cancellation of such Company Stock Option, (i) an amount in cash (less applicable tax withholdings and without interest) equal to the product of (x) the total number of shares subject to such Company Stock Option immediately prior to the Effective Time multiplied by (y) the excess of $2.13 over the applicable exercise price per share under such Company Stock Option and (ii) one contingent value right for each share subject thereto.

F3: On July 16, 2023, the Issuer's Board of Directors vested in full each unvested Company Stock Option. Pursuant to the Merger Agreement, each Company Stock Option that was not in the money as of the Effective Time was cancelled for no consideration at the Effective Time.

Theravance Biopharma, Inc.

Report date September 23, 2026 · Filed September 25, 2026

Section 16 reporting ended · disclosed 2026-09-25. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Ordinary SharesSEC Table I · non-derivativeDirect0 Ending reported balance After 2026-09-23 transaction · row 2
2 source rows · reconciled sequence

Row 1 · 2026-09-23 · Disposition to issuer · Disposed 74,980 · Balance 6,009

F1: On September 23, 2026, pursuant to that certain Agreement and Plan of Merger (the "Merger Agreement"), dated June 28, 2026, by and among the Issuer, Zymeworks Inc. ("Parent"), and Zymeworks Merger Sub 1, a wholly owned subsidiary of Parent, the Issuer became a wholly owned subsidiary of Parent (the "Merger"). At the effective time of the Merger (the "Effective Time"), pursuant to the Merger Agreement, each ordinary share, par value $0.00001 per share, of the Issuer ("Ordinary Share") held by the reporting person as of immediately prior to the Effective Time was cancelled and converted into the right to receive (i) $17.00 in cash, without interest (the "Per Share Cash Consideration") and (ii) one contingent value right (a "CVR"). Each CVR represents a non-tradeable contractual contingent right to receive cash payments based on the achievement of certain commercial milestones following the Effective Time.

Row 2 · 2026-09-23 · Disposition to issuer · Disposed 6,009 · Balance 0

F2: At the Effective Time, pursuant to the Merger Agreement, each award of restricted stock units of the Issuer (a "Company RSU Award") that was outstanding as of immediately prior to the Effective Time was cancelled and converted into the right to receive an amount in cash, without interest, equal to (i) the Per Share Cash Consideration multiplied by (ii) the number of Ordinary Shares underlying such Company RSU Award (subject to any required tax withholdings as provided in the Merger Agreement) plus (iii) one CVR for each Ordinary Share underlying such Company RSU Award.

Share Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $28.14 · Expires 2028-02-12Direct0 Reported balance After 2026-09-23 transaction · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 3 · 2026-09-23 · Disposition to issuer · Disposed 13,500 · Balance 0

F3: At the Effective Time, each option to purchase Ordinary Shares outstanding and unexercised as of immediately prior to the Effective Time, whether vested or unvested (a "Company Option"), was cancelled and converted into the right to receive an amount in cash, without interest, equal to (i) the excess, if any, of the Per Share Cash Consideration over the exercise price of such Company Option, multiplied by (ii) the number of Ordinary Shares underlying such Company Option plus (iii) one CVR for each Ordinary Share underlying such Company Option. However, any Company Option that has an exercise price per Ordinary Share that is greater than or equal to the Per Share Cash Consideration was cancelled and ceased to exist and the holder of any such Company Option was not entitled to payment of any consideration therefor.

Share Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $24.43 · Expires 2028-04-30Direct0 Reported balance After 2026-09-23 transaction · row 4 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 4 · 2026-09-23 · Disposition to issuer · Disposed 6,000 · Balance 0

F3: At the Effective Time, each option to purchase Ordinary Shares outstanding and unexercised as of immediately prior to the Effective Time, whether vested or unvested (a "Company Option"), was cancelled and converted into the right to receive an amount in cash, without interest, equal to (i) the excess, if any, of the Per Share Cash Consideration over the exercise price of such Company Option, multiplied by (ii) the number of Ordinary Shares underlying such Company Option plus (iii) one CVR for each Ordinary Share underlying such Company Option. However, any Company Option that has an exercise price per Ordinary Share that is greater than or equal to the Per Share Cash Consideration was cancelled and ceased to exist and the holder of any such Company Option was not entitled to payment of any consideration therefor.

Share Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $23.85 · Expires 2029-04-29Direct0 Reported balance After 2026-09-23 transaction · row 5 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 5 · 2026-09-23 · Disposition to issuer · Disposed 6,000 · Balance 0

F3: At the Effective Time, each option to purchase Ordinary Shares outstanding and unexercised as of immediately prior to the Effective Time, whether vested or unvested (a "Company Option"), was cancelled and converted into the right to receive an amount in cash, without interest, equal to (i) the excess, if any, of the Per Share Cash Consideration over the exercise price of such Company Option, multiplied by (ii) the number of Ordinary Shares underlying such Company Option plus (iii) one CVR for each Ordinary Share underlying such Company Option. However, any Company Option that has an exercise price per Ordinary Share that is greater than or equal to the Per Share Cash Consideration was cancelled and ceased to exist and the holder of any such Company Option was not entitled to payment of any consideration therefor.

Share Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $30.14 · Expires 2030-04-27Direct0 Reported balance After 2026-09-23 transaction · row 6 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 6 · 2026-09-23 · Disposition to issuer · Disposed 6,000 · Balance 0

F3: At the Effective Time, each option to purchase Ordinary Shares outstanding and unexercised as of immediately prior to the Effective Time, whether vested or unvested (a "Company Option"), was cancelled and converted into the right to receive an amount in cash, without interest, equal to (i) the excess, if any, of the Per Share Cash Consideration over the exercise price of such Company Option, multiplied by (ii) the number of Ordinary Shares underlying such Company Option plus (iii) one CVR for each Ordinary Share underlying such Company Option. However, any Company Option that has an exercise price per Ordinary Share that is greater than or equal to the Per Share Cash Consideration was cancelled and ceased to exist and the holder of any such Company Option was not entitled to payment of any consideration therefor.

Share Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $20.35 · Expires 2031-04-26Direct0 Reported balance After 2026-09-23 transaction · row 7 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 7 · 2026-09-23 · Disposition to issuer · Disposed 6,000 · Balance 0

F3: At the Effective Time, each option to purchase Ordinary Shares outstanding and unexercised as of immediately prior to the Effective Time, whether vested or unvested (a "Company Option"), was cancelled and converted into the right to receive an amount in cash, without interest, equal to (i) the excess, if any, of the Per Share Cash Consideration over the exercise price of such Company Option, multiplied by (ii) the number of Ordinary Shares underlying such Company Option plus (iii) one CVR for each Ordinary Share underlying such Company Option. However, any Company Option that has an exercise price per Ordinary Share that is greater than or equal to the Per Share Cash Consideration was cancelled and ceased to exist and the holder of any such Company Option was not entitled to payment of any consideration therefor.

Share Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $10.15 · Expires 2032-04-25Direct0 Reported balance After 2026-09-23 transaction · row 8 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 8 · 2026-09-23 · Disposition to issuer · Disposed 28,000 · Balance 0

F3: At the Effective Time, each option to purchase Ordinary Shares outstanding and unexercised as of immediately prior to the Effective Time, whether vested or unvested (a "Company Option"), was cancelled and converted into the right to receive an amount in cash, without interest, equal to (i) the excess, if any, of the Per Share Cash Consideration over the exercise price of such Company Option, multiplied by (ii) the number of Ordinary Shares underlying such Company Option plus (iii) one CVR for each Ordinary Share underlying such Company Option. However, any Company Option that has an exercise price per Ordinary Share that is greater than or equal to the Per Share Cash Consideration was cancelled and ceased to exist and the holder of any such Company Option was not entitled to payment of any consideration therefor.

Share Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $10.95 · Expires 2033-05-01Direct0 Reported balance After 2026-09-23 transaction · row 9 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 9 · 2026-09-23 · Disposition to issuer · Disposed 22,044 · Balance 0

F3: At the Effective Time, each option to purchase Ordinary Shares outstanding and unexercised as of immediately prior to the Effective Time, whether vested or unvested (a "Company Option"), was cancelled and converted into the right to receive an amount in cash, without interest, equal to (i) the excess, if any, of the Per Share Cash Consideration over the exercise price of such Company Option, multiplied by (ii) the number of Ordinary Shares underlying such Company Option plus (iii) one CVR for each Ordinary Share underlying such Company Option. However, any Company Option that has an exercise price per Ordinary Share that is greater than or equal to the Per Share Cash Consideration was cancelled and ceased to exist and the holder of any such Company Option was not entitled to payment of any consideration therefor.

Share Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $9.49 · Expires 2034-05-07Direct0 Reported balance After 2026-09-23 transaction · row 10 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 10 · 2026-09-23 · Disposition to issuer · Disposed 23,576 · Balance 0

F3: At the Effective Time, each option to purchase Ordinary Shares outstanding and unexercised as of immediately prior to the Effective Time, whether vested or unvested (a "Company Option"), was cancelled and converted into the right to receive an amount in cash, without interest, equal to (i) the excess, if any, of the Per Share Cash Consideration over the exercise price of such Company Option, multiplied by (ii) the number of Ordinary Shares underlying such Company Option plus (iii) one CVR for each Ordinary Share underlying such Company Option. However, any Company Option that has an exercise price per Ordinary Share that is greater than or equal to the Per Share Cash Consideration was cancelled and ceased to exist and the holder of any such Company Option was not entitled to payment of any consideration therefor.

Share Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $9.39 · Expires 2035-05-18Direct0 Reported balance After 2026-09-23 transaction · row 11 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 11 · 2026-09-23 · Disposition to issuer · Disposed 24,258 · Balance 0

F3: At the Effective Time, each option to purchase Ordinary Shares outstanding and unexercised as of immediately prior to the Effective Time, whether vested or unvested (a "Company Option"), was cancelled and converted into the right to receive an amount in cash, without interest, equal to (i) the excess, if any, of the Per Share Cash Consideration over the exercise price of such Company Option, multiplied by (ii) the number of Ordinary Shares underlying such Company Option plus (iii) one CVR for each Ordinary Share underlying such Company Option. However, any Company Option that has an exercise price per Ordinary Share that is greater than or equal to the Per Share Cash Consideration was cancelled and ceased to exist and the holder of any such Company Option was not entitled to payment of any consideration therefor.

Share Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $16.64 · Expires 2036-06-11Direct0 Reported balance After 2026-09-23 transaction · row 12 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 12 · 2026-09-23 · Disposition to issuer · Disposed 13,398 · Balance 0

F3: At the Effective Time, each option to purchase Ordinary Shares outstanding and unexercised as of immediately prior to the Effective Time, whether vested or unvested (a "Company Option"), was cancelled and converted into the right to receive an amount in cash, without interest, equal to (i) the excess, if any, of the Per Share Cash Consideration over the exercise price of such Company Option, multiplied by (ii) the number of Ordinary Shares underlying such Company Option plus (iii) one CVR for each Ordinary Share underlying such Company Option. However, any Company Option that has an exercise price per Ordinary Share that is greater than or equal to the Per Share Cash Consideration was cancelled and ceased to exist and the holder of any such Company Option was not entitled to payment of any consideration therefor.

Filing footnotes · ownership attribution and instrument terms

F1: On September 23, 2026, pursuant to that certain Agreement and Plan of Merger (the "Merger Agreement"), dated June 28, 2026, by and among the Issuer, Zymeworks Inc. ("Parent"), and Zymeworks Merger Sub 1, a wholly owned subsidiary of Parent, the Issuer became a wholly owned subsidiary of Parent (the "Merger"). At the effective time of the Merger (the "Effective Time"), pursuant to the Merger Agreement, each ordinary share, par value $0.00001 per share, of the Issuer ("Ordinary Share") held by the reporting person as of immediately prior to the Effective Time was cancelled and converted into the right to receive (i) $17.00 in cash, without interest (the "Per Share Cash Consideration") and (ii) one contingent value right (a "CVR"). Each CVR represents a non-tradeable contractual contingent right to receive cash payments based on the achievement of certain commercial milestones following the Effective Time.

F2: At the Effective Time, pursuant to the Merger Agreement, each award of restricted stock units of the Issuer (a "Company RSU Award") that was outstanding as of immediately prior to the Effective Time was cancelled and converted into the right to receive an amount in cash, without interest, equal to (i) the Per Share Cash Consideration multiplied by (ii) the number of Ordinary Shares underlying such Company RSU Award (subject to any required tax withholdings as provided in the Merger Agreement) plus (iii) one CVR for each Ordinary Share underlying such Company RSU Award.

F3: At the Effective Time, each option to purchase Ordinary Shares outstanding and unexercised as of immediately prior to the Effective Time, whether vested or unvested (a "Company Option"), was cancelled and converted into the right to receive an amount in cash, without interest, equal to (i) the excess, if any, of the Per Share Cash Consideration over the exercise price of such Company Option, multiplied by (ii) the number of Ordinary Shares underlying such Company Option plus (iii) one CVR for each Ordinary Share underlying such Company Option. However, any Company Option that has an exercise price per Ordinary Share that is greater than or equal to the Per Share Cash Consideration was cancelled and ceased to exist and the holder of any such Company Option was not entitled to payment of any consideration therefor.

Transaction history

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

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

Transaction dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
September 23, 2026 Filed Sep 25, 2026 00:29 UTC Theravance Biopharma, Inc. TBPH · Entity 5037 Disposition to issuerShare Option (Right to Buy) · Derivative 13,398 Not disclosed Strike: $16.64 Not disclosed
Disclosure

SEC source: 0001589602-26-000005 · form4-09252026_120944.xml · derivative · entry 12

Smaldone Alsup Laurie · CIK 0001589602 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Ordinary Shares · 13,398 shares

Expires 2036-06-11

F3 · price: At the Effective Time, each option to purchase Ordinary Shares outstanding and unexercised as of immediately prior to the Effective Time, whether vested or unvested (a "Company Option"), was cancelled and converted into the right to receive an amount in cash, without interest, equal to (i) the excess, if any, of the Per Share Cash Consideration over the exercise price of such Company Option, multiplied by (ii) the number of Ordinary Shares underlying such Company Option plus (iii) one CVR for each Ordinary Share underlying such Company Option. However, any Company Option that has an exercise price per Ordinary Share that is greater than or equal to the Per Share Cash Consideration was cancelled and ceased to exist and the holder of any such Company Option was not entitled to payment of any consideration therefor.

F3 · derivative.exercise_date: At the Effective Time, each option to purchase Ordinary Shares outstanding and unexercised as of immediately prior to the Effective Time, whether vested or unvested (a "Company Option"), was cancelled and converted into the right to receive an amount in cash, without interest, equal to (i) the excess, if any, of the Per Share Cash Consideration over the exercise price of such Company Option, multiplied by (ii) the number of Ordinary Shares underlying such Company Option plus (iii) one CVR for each Ordinary Share underlying such Company Option. However, any Company Option that has an exercise price per Ordinary Share that is greater than or equal to the Per Share Cash Consideration was cancelled and ceased to exist and the holder of any such Company Option was not entitled to payment of any consideration therefor.

Read SEC document
September 23, 2026 Filed Sep 25, 2026 00:29 UTC Theravance Biopharma, Inc. TBPH · Entity 5037 Disposition to issuerShare Option (Right to Buy) · Derivative 24,258 Not disclosed Strike: $9.39 Not disclosed
Disclosure

SEC source: 0001589602-26-000005 · form4-09252026_120944.xml · derivative · entry 11

Smaldone Alsup Laurie · CIK 0001589602 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Ordinary Shares · 24,258 shares

Expires 2035-05-18

F3 · price: At the Effective Time, each option to purchase Ordinary Shares outstanding and unexercised as of immediately prior to the Effective Time, whether vested or unvested (a "Company Option"), was cancelled and converted into the right to receive an amount in cash, without interest, equal to (i) the excess, if any, of the Per Share Cash Consideration over the exercise price of such Company Option, multiplied by (ii) the number of Ordinary Shares underlying such Company Option plus (iii) one CVR for each Ordinary Share underlying such Company Option. However, any Company Option that has an exercise price per Ordinary Share that is greater than or equal to the Per Share Cash Consideration was cancelled and ceased to exist and the holder of any such Company Option was not entitled to payment of any consideration therefor.

F3 · derivative.exercise_date: At the Effective Time, each option to purchase Ordinary Shares outstanding and unexercised as of immediately prior to the Effective Time, whether vested or unvested (a "Company Option"), was cancelled and converted into the right to receive an amount in cash, without interest, equal to (i) the excess, if any, of the Per Share Cash Consideration over the exercise price of such Company Option, multiplied by (ii) the number of Ordinary Shares underlying such Company Option plus (iii) one CVR for each Ordinary Share underlying such Company Option. However, any Company Option that has an exercise price per Ordinary Share that is greater than or equal to the Per Share Cash Consideration was cancelled and ceased to exist and the holder of any such Company Option was not entitled to payment of any consideration therefor.

Read SEC document
September 23, 2026 Filed Sep 25, 2026 00:29 UTC Theravance Biopharma, Inc. TBPH · Entity 5037 Disposition to issuerShare Option (Right to Buy) · Derivative 23,576 Not disclosed Strike: $9.49 Not disclosed
Disclosure

SEC source: 0001589602-26-000005 · form4-09252026_120944.xml · derivative · entry 10

Smaldone Alsup Laurie · CIK 0001589602 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Ordinary Shares · 23,576 shares

Expires 2034-05-07

F3 · price: At the Effective Time, each option to purchase Ordinary Shares outstanding and unexercised as of immediately prior to the Effective Time, whether vested or unvested (a "Company Option"), was cancelled and converted into the right to receive an amount in cash, without interest, equal to (i) the excess, if any, of the Per Share Cash Consideration over the exercise price of such Company Option, multiplied by (ii) the number of Ordinary Shares underlying such Company Option plus (iii) one CVR for each Ordinary Share underlying such Company Option. However, any Company Option that has an exercise price per Ordinary Share that is greater than or equal to the Per Share Cash Consideration was cancelled and ceased to exist and the holder of any such Company Option was not entitled to payment of any consideration therefor.

F3 · derivative.exercise_date: At the Effective Time, each option to purchase Ordinary Shares outstanding and unexercised as of immediately prior to the Effective Time, whether vested or unvested (a "Company Option"), was cancelled and converted into the right to receive an amount in cash, without interest, equal to (i) the excess, if any, of the Per Share Cash Consideration over the exercise price of such Company Option, multiplied by (ii) the number of Ordinary Shares underlying such Company Option plus (iii) one CVR for each Ordinary Share underlying such Company Option. However, any Company Option that has an exercise price per Ordinary Share that is greater than or equal to the Per Share Cash Consideration was cancelled and ceased to exist and the holder of any such Company Option was not entitled to payment of any consideration therefor.

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September 23, 2026 Filed Sep 25, 2026 00:29 UTC Theravance Biopharma, Inc. TBPH · Entity 5037 Disposition to issuerShare Option (Right to Buy) · Derivative 22,044 Not disclosed Strike: $10.95 Not disclosed
Disclosure

SEC source: 0001589602-26-000005 · form4-09252026_120944.xml · derivative · entry 9

Smaldone Alsup Laurie · CIK 0001589602 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Ordinary Shares · 22,044 shares

Expires 2033-05-01

F3 · price: At the Effective Time, each option to purchase Ordinary Shares outstanding and unexercised as of immediately prior to the Effective Time, whether vested or unvested (a "Company Option"), was cancelled and converted into the right to receive an amount in cash, without interest, equal to (i) the excess, if any, of the Per Share Cash Consideration over the exercise price of such Company Option, multiplied by (ii) the number of Ordinary Shares underlying such Company Option plus (iii) one CVR for each Ordinary Share underlying such Company Option. However, any Company Option that has an exercise price per Ordinary Share that is greater than or equal to the Per Share Cash Consideration was cancelled and ceased to exist and the holder of any such Company Option was not entitled to payment of any consideration therefor.

F3 · derivative.exercise_date: At the Effective Time, each option to purchase Ordinary Shares outstanding and unexercised as of immediately prior to the Effective Time, whether vested or unvested (a "Company Option"), was cancelled and converted into the right to receive an amount in cash, without interest, equal to (i) the excess, if any, of the Per Share Cash Consideration over the exercise price of such Company Option, multiplied by (ii) the number of Ordinary Shares underlying such Company Option plus (iii) one CVR for each Ordinary Share underlying such Company Option. However, any Company Option that has an exercise price per Ordinary Share that is greater than or equal to the Per Share Cash Consideration was cancelled and ceased to exist and the holder of any such Company Option was not entitled to payment of any consideration therefor.

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September 23, 2026 Filed Sep 25, 2026 00:29 UTC Theravance Biopharma, Inc. TBPH · Entity 5037 Disposition to issuerShare Option (Right to Buy) · Derivative 28,000 Not disclosed Strike: $10.15 Not disclosed
Disclosure

SEC source: 0001589602-26-000005 · form4-09252026_120944.xml · derivative · entry 8

Smaldone Alsup Laurie · CIK 0001589602 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Ordinary Shares · 28,000 shares

Expires 2032-04-25

F3 · price: At the Effective Time, each option to purchase Ordinary Shares outstanding and unexercised as of immediately prior to the Effective Time, whether vested or unvested (a "Company Option"), was cancelled and converted into the right to receive an amount in cash, without interest, equal to (i) the excess, if any, of the Per Share Cash Consideration over the exercise price of such Company Option, multiplied by (ii) the number of Ordinary Shares underlying such Company Option plus (iii) one CVR for each Ordinary Share underlying such Company Option. However, any Company Option that has an exercise price per Ordinary Share that is greater than or equal to the Per Share Cash Consideration was cancelled and ceased to exist and the holder of any such Company Option was not entitled to payment of any consideration therefor.

F3 · derivative.exercise_date: At the Effective Time, each option to purchase Ordinary Shares outstanding and unexercised as of immediately prior to the Effective Time, whether vested or unvested (a "Company Option"), was cancelled and converted into the right to receive an amount in cash, without interest, equal to (i) the excess, if any, of the Per Share Cash Consideration over the exercise price of such Company Option, multiplied by (ii) the number of Ordinary Shares underlying such Company Option plus (iii) one CVR for each Ordinary Share underlying such Company Option. However, any Company Option that has an exercise price per Ordinary Share that is greater than or equal to the Per Share Cash Consideration was cancelled and ceased to exist and the holder of any such Company Option was not entitled to payment of any consideration therefor.

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September 23, 2026 Filed Sep 25, 2026 00:29 UTC Theravance Biopharma, Inc. TBPH · Entity 5037 Disposition to issuerShare Option (Right to Buy) · Derivative 6,000 Not disclosed Strike: $20.35 Not disclosed
Disclosure

SEC source: 0001589602-26-000005 · form4-09252026_120944.xml · derivative · entry 7

Smaldone Alsup Laurie · CIK 0001589602 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Ordinary Shares · 6,000 shares

Expires 2031-04-26

F3 · price: At the Effective Time, each option to purchase Ordinary Shares outstanding and unexercised as of immediately prior to the Effective Time, whether vested or unvested (a "Company Option"), was cancelled and converted into the right to receive an amount in cash, without interest, equal to (i) the excess, if any, of the Per Share Cash Consideration over the exercise price of such Company Option, multiplied by (ii) the number of Ordinary Shares underlying such Company Option plus (iii) one CVR for each Ordinary Share underlying such Company Option. However, any Company Option that has an exercise price per Ordinary Share that is greater than or equal to the Per Share Cash Consideration was cancelled and ceased to exist and the holder of any such Company Option was not entitled to payment of any consideration therefor.

F3 · derivative.exercise_date: At the Effective Time, each option to purchase Ordinary Shares outstanding and unexercised as of immediately prior to the Effective Time, whether vested or unvested (a "Company Option"), was cancelled and converted into the right to receive an amount in cash, without interest, equal to (i) the excess, if any, of the Per Share Cash Consideration over the exercise price of such Company Option, multiplied by (ii) the number of Ordinary Shares underlying such Company Option plus (iii) one CVR for each Ordinary Share underlying such Company Option. However, any Company Option that has an exercise price per Ordinary Share that is greater than or equal to the Per Share Cash Consideration was cancelled and ceased to exist and the holder of any such Company Option was not entitled to payment of any consideration therefor.

Read SEC document
September 23, 2026 Filed Sep 25, 2026 00:29 UTC Theravance Biopharma, Inc. TBPH · Entity 5037 Disposition to issuerShare Option (Right to Buy) · Derivative 6,000 Not disclosed Strike: $30.14 Not disclosed
Disclosure

SEC source: 0001589602-26-000005 · form4-09252026_120944.xml · derivative · entry 6

Smaldone Alsup Laurie · CIK 0001589602 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Ordinary Shares · 6,000 shares

Expires 2030-04-27

F3 · price: At the Effective Time, each option to purchase Ordinary Shares outstanding and unexercised as of immediately prior to the Effective Time, whether vested or unvested (a "Company Option"), was cancelled and converted into the right to receive an amount in cash, without interest, equal to (i) the excess, if any, of the Per Share Cash Consideration over the exercise price of such Company Option, multiplied by (ii) the number of Ordinary Shares underlying such Company Option plus (iii) one CVR for each Ordinary Share underlying such Company Option. However, any Company Option that has an exercise price per Ordinary Share that is greater than or equal to the Per Share Cash Consideration was cancelled and ceased to exist and the holder of any such Company Option was not entitled to payment of any consideration therefor.

F3 · derivative.exercise_date: At the Effective Time, each option to purchase Ordinary Shares outstanding and unexercised as of immediately prior to the Effective Time, whether vested or unvested (a "Company Option"), was cancelled and converted into the right to receive an amount in cash, without interest, equal to (i) the excess, if any, of the Per Share Cash Consideration over the exercise price of such Company Option, multiplied by (ii) the number of Ordinary Shares underlying such Company Option plus (iii) one CVR for each Ordinary Share underlying such Company Option. However, any Company Option that has an exercise price per Ordinary Share that is greater than or equal to the Per Share Cash Consideration was cancelled and ceased to exist and the holder of any such Company Option was not entitled to payment of any consideration therefor.

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September 23, 2026 Filed Sep 25, 2026 00:29 UTC Theravance Biopharma, Inc. TBPH · Entity 5037 Disposition to issuerShare Option (Right to Buy) · Derivative 6,000 Not disclosed Strike: $23.85 Not disclosed
Disclosure

SEC source: 0001589602-26-000005 · form4-09252026_120944.xml · derivative · entry 5

Smaldone Alsup Laurie · CIK 0001589602 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Ordinary Shares · 6,000 shares

Expires 2029-04-29

F3 · price: At the Effective Time, each option to purchase Ordinary Shares outstanding and unexercised as of immediately prior to the Effective Time, whether vested or unvested (a "Company Option"), was cancelled and converted into the right to receive an amount in cash, without interest, equal to (i) the excess, if any, of the Per Share Cash Consideration over the exercise price of such Company Option, multiplied by (ii) the number of Ordinary Shares underlying such Company Option plus (iii) one CVR for each Ordinary Share underlying such Company Option. However, any Company Option that has an exercise price per Ordinary Share that is greater than or equal to the Per Share Cash Consideration was cancelled and ceased to exist and the holder of any such Company Option was not entitled to payment of any consideration therefor.

F3 · derivative.exercise_date: At the Effective Time, each option to purchase Ordinary Shares outstanding and unexercised as of immediately prior to the Effective Time, whether vested or unvested (a "Company Option"), was cancelled and converted into the right to receive an amount in cash, without interest, equal to (i) the excess, if any, of the Per Share Cash Consideration over the exercise price of such Company Option, multiplied by (ii) the number of Ordinary Shares underlying such Company Option plus (iii) one CVR for each Ordinary Share underlying such Company Option. However, any Company Option that has an exercise price per Ordinary Share that is greater than or equal to the Per Share Cash Consideration was cancelled and ceased to exist and the holder of any such Company Option was not entitled to payment of any consideration therefor.

Read SEC document
September 23, 2026 Filed Sep 25, 2026 00:29 UTC Theravance Biopharma, Inc. TBPH · Entity 5037 Disposition to issuerShare Option (Right to Buy) · Derivative 6,000 Not disclosed Strike: $24.43 Not disclosed
Disclosure

SEC source: 0001589602-26-000005 · form4-09252026_120944.xml · derivative · entry 4

Smaldone Alsup Laurie · CIK 0001589602 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Ordinary Shares · 6,000 shares

Expires 2028-04-30

F3 · price: At the Effective Time, each option to purchase Ordinary Shares outstanding and unexercised as of immediately prior to the Effective Time, whether vested or unvested (a "Company Option"), was cancelled and converted into the right to receive an amount in cash, without interest, equal to (i) the excess, if any, of the Per Share Cash Consideration over the exercise price of such Company Option, multiplied by (ii) the number of Ordinary Shares underlying such Company Option plus (iii) one CVR for each Ordinary Share underlying such Company Option. However, any Company Option that has an exercise price per Ordinary Share that is greater than or equal to the Per Share Cash Consideration was cancelled and ceased to exist and the holder of any such Company Option was not entitled to payment of any consideration therefor.

F3 · derivative.exercise_date: At the Effective Time, each option to purchase Ordinary Shares outstanding and unexercised as of immediately prior to the Effective Time, whether vested or unvested (a "Company Option"), was cancelled and converted into the right to receive an amount in cash, without interest, equal to (i) the excess, if any, of the Per Share Cash Consideration over the exercise price of such Company Option, multiplied by (ii) the number of Ordinary Shares underlying such Company Option plus (iii) one CVR for each Ordinary Share underlying such Company Option. However, any Company Option that has an exercise price per Ordinary Share that is greater than or equal to the Per Share Cash Consideration was cancelled and ceased to exist and the holder of any such Company Option was not entitled to payment of any consideration therefor.

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September 23, 2026 Filed Sep 25, 2026 00:29 UTC Theravance Biopharma, Inc. TBPH · Entity 5037 Disposition to issuerShare Option (Right to Buy) · Derivative 13,500 Not disclosed Strike: $28.14 Not disclosed
Disclosure

SEC source: 0001589602-26-000005 · form4-09252026_120944.xml · derivative · entry 3

Smaldone Alsup Laurie · CIK 0001589602 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Ordinary Shares · 13,500 shares

Expires 2028-02-12

F3 · price: At the Effective Time, each option to purchase Ordinary Shares outstanding and unexercised as of immediately prior to the Effective Time, whether vested or unvested (a "Company Option"), was cancelled and converted into the right to receive an amount in cash, without interest, equal to (i) the excess, if any, of the Per Share Cash Consideration over the exercise price of such Company Option, multiplied by (ii) the number of Ordinary Shares underlying such Company Option plus (iii) one CVR for each Ordinary Share underlying such Company Option. However, any Company Option that has an exercise price per Ordinary Share that is greater than or equal to the Per Share Cash Consideration was cancelled and ceased to exist and the holder of any such Company Option was not entitled to payment of any consideration therefor.

F3 · derivative.exercise_date: At the Effective Time, each option to purchase Ordinary Shares outstanding and unexercised as of immediately prior to the Effective Time, whether vested or unvested (a "Company Option"), was cancelled and converted into the right to receive an amount in cash, without interest, equal to (i) the excess, if any, of the Per Share Cash Consideration over the exercise price of such Company Option, multiplied by (ii) the number of Ordinary Shares underlying such Company Option plus (iii) one CVR for each Ordinary Share underlying such Company Option. However, any Company Option that has an exercise price per Ordinary Share that is greater than or equal to the Per Share Cash Consideration was cancelled and ceased to exist and the holder of any such Company Option was not entitled to payment of any consideration therefor.

Read SEC document
September 23, 2026 Filed Sep 25, 2026 00:29 UTC Theravance Biopharma, Inc. TBPH · Entity 5037 Disposition to issuerOrdinary Shares 6,009 Not disclosed Not disclosed
Disclosure

SEC source: 0001589602-26-000005 · form4-09252026_120944.xml · nonDerivative · entry 2

Smaldone Alsup Laurie · CIK 0001589602 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F2 · price: At the Effective Time, pursuant to the Merger Agreement, each award of restricted stock units of the Issuer (a "Company RSU Award") that was outstanding as of immediately prior to the Effective Time was cancelled and converted into the right to receive an amount in cash, without interest, equal to (i) the Per Share Cash Consideration multiplied by (ii) the number of Ordinary Shares underlying such Company RSU Award (subject to any required tax withholdings as provided in the Merger Agreement) plus (iii) one CVR for each Ordinary Share underlying such Company RSU Award.

Read SEC document
September 23, 2026 Filed Sep 25, 2026 00:29 UTC Theravance Biopharma, Inc. TBPH · Entity 5037 Disposition to issuerOrdinary Shares 74,980 Not disclosed Not disclosed
Disclosure

SEC source: 0001589602-26-000005 · form4-09252026_120944.xml · nonDerivative · entry 1

Smaldone Alsup Laurie · CIK 0001589602 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,009

F1 · price: On September 23, 2026, pursuant to that certain Agreement and Plan of Merger (the "Merger Agreement"), dated June 28, 2026, by and among the Issuer, Zymeworks Inc. ("Parent"), and Zymeworks Merger Sub 1, a wholly owned subsidiary of Parent, the Issuer became a wholly owned subsidiary of Parent (the "Merger"). At the effective time of the Merger (the "Effective Time"), pursuant to the Merger Agreement, each ordinary share, par value $0.00001 per share, of the Issuer ("Ordinary Share") held by the reporting person as of immediately prior to the Effective Time was cancelled and converted into the right to receive (i) $17.00 in cash, without interest (the "Per Share Cash Consideration") and (ii) one contingent value right (a "CVR"). Each CVR represents a non-tradeable contractual contingent right to receive cash payments based on the achievement of certain commercial milestones following the Effective Time.

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June 24, 2026 Filed Jun 26, 2026 20:23 UTC ARVINAS, INC. ARVN · Entity 5355 GrantStock Option (right to buy) · Derivative 22,714 $0.00 Strike: $8.05 $0.00
Disclosure

SEC source: 0001628280-26-045788 · wk-form4_1782505401.xml · derivative · entry 2

Smaldone Alsup Laurie · CIK 0001589602 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,714

Underlying: Common Stock · 22,714 shares

Expires 2036-06-23

F2 · derivative.exercise_date: This option award was granted on June 24, 2026. The shares underlying the award shall vest in full on the earlier of (i) June 24, 2027 or (ii) immediately prior to the first annual meeting of stockholders occurring after the date of grant, subject to the reporting person's continued service with the Issuer on the vesting date.

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June 24, 2026 Filed Jun 26, 2026 20:23 UTC ARVINAS, INC. ARVN · Entity 5355 GrantCommon Stock 15,527 $0.00 $0.00
Disclosure

SEC source: 0001628280-26-045788 · wk-form4_1782505401.xml · nonDerivative · entry 1

Smaldone Alsup Laurie · CIK 0001589602 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 41,572

F1 · shares: The restricted stock units (each, an "RSU") were granted by the Issuer on June 24, 2026 and each RSU represents a contingent right to receive one share of the Issuer's common stock upon settlement for no consideration. The RSUs shall vest in full on the earlier of (i) June 24, 2027 or (ii) immediately prior to the first annual meeting of stockholders occurring after the date of grant, subject to the reporting person's continued service with the Issuer on the vesting date.

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June 12, 2026 Filed Jun 17, 2026 01:40 UTC Theravance Biopharma, Inc. TBPH · Entity 5037 GrantShare Option (Right to Buy) · Derivative 13,398 $0.00 Strike: $16.64 $0.00
Disclosure

SEC source: 0001589602-26-000002 · form4-06172026_010655.xml · derivative · entry 2

Smaldone Alsup Laurie · CIK 0001589602 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 13,398

Underlying: Ordinary Shares · 13,398 shares

Expires 2036-06-11

F1 · derivative.exercise_date: This option may be exercised and shall be vested as to 1/12th of the shares subject to this option when optionee completes each continuous month of service following the grant date and any then remaining unvested shares shall vest on the date of the next annual meeting of the company's shareholders provided the optionee remains in continuous service on such date.

Read SEC document
June 12, 2026 Filed Jun 17, 2026 01:40 UTC Theravance Biopharma, Inc. TBPH · Entity 5037 GrantOrdinary Shares 6,009 $0.00 $0.00
Disclosure

SEC source: 0001589602-26-000002 · form4-06172026_010655.xml · nonDerivative · entry 1

Smaldone Alsup Laurie · CIK 0001589602 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 80,989

Read SEC document
June 25, 2025 Filed Jun 28, 2025 01:18 UTC ARVINAS, INC. ARVN · Entity 5355 GrantStock Option (right to buy) · Derivative 23,105 $0.00 Strike: $7.80 $0.00
Disclosure

SEC source: 0001655759-25-000124 · wk-form4_1751073498.xml · derivative · entry 2

Smaldone Alsup Laurie · CIK 0001589602 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,105

Underlying: Common Stock · 23,105 shares

Expires 2035-06-24

F2 · derivative.exercise_date: This option award was granted on June 25, 2025. The shares underlying the award shall vest in full on the earlier of June 25, 2026 or the first meeting of the board of directors of the Issuer held after the following annual meeting of stockholders, subject to the reporting person's continued service with the Issuer on the vesting date.

Read SEC document
June 25, 2025 Filed Jun 28, 2025 01:18 UTC ARVINAS, INC. ARVN · Entity 5355 GrantCommon Stock 16,025 $0.00 $0.00
Disclosure

SEC source: 0001655759-25-000124 · wk-form4_1751073498.xml · nonDerivative · entry 1

Smaldone Alsup Laurie · CIK 0001589602 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 26,045

F1 · shares: The restricted stock units (each, an "RSU") were granted by the Issuer on June 25, 2025 and each RSU represents a contingent right to receive one share of the Issuer's common stock upon settlement for no consideration. The RSUs shall vest in full on the earlier of June 25, 2026 or the first meeting of the board of directors of the Issuer held after the following annual meeting of stockholders, subject to the reporting person's continued service with the Issuer on the vesting date.

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May 19, 2025 Filed May 21, 2025 23:00 UTC Theravance Biopharma, Inc. TBPH · Entity 5037 GrantShare Option (Right to Buy) · Derivative 24,258 $0.00 Strike: $9.39 $0.00
Disclosure

SEC source: 0001415889-25-013997 · form4-05212025_110526.xml · derivative · entry 2

Smaldone Alsup Laurie · CIK 0001589602 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 24,258

Underlying: Ordinary Shares · 24,258 shares

Expires 2035-05-18

F1 · derivative.exercise_date: This option may be exercised and shall be vested as to 1/12th of the shares subject to this option when optionee completes each continuous month of service following the grant date and any then remaining unvested shares shall vest on the date of the next annual meeting of the company's shareholders provided the optionee remains in continuous service on such date.

Read SEC document
May 19, 2025 Filed May 21, 2025 23:00 UTC Theravance Biopharma, Inc. TBPH · Entity 5037 GrantOrdinary Shares 10,649 $0.00 $0.00
Disclosure

SEC source: 0001415889-25-013997 · form4-05212025_110526.xml · nonDerivative · entry 1

Smaldone Alsup Laurie · CIK 0001589602 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 74,980

Read SEC document
June 25, 2024 Filed Jun 26, 2024 20:42 UTC BLACKBERRY Ltd BB · Entity 3966 GrantDeferred Share Unit · Derivative 5,994 Not disclosed Not disclosed
Disclosure

SEC source: 0001070235-24-000089 · wk-form4_1719434521.xml · derivative · entry 1

Smaldone Alsup Laurie · CIK 0001589602 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 292,923

Underlying: Common Shares · 5,994 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Deferred Share Unit ("DSU") is the economic equivalent of one common share. The DSUs become payable, in cash or common shares or a combination of the two, at the discretion of BlackBerry Limited ("BlackBerry") following cessation of the reporting person's service as a director of BlackBerry.

F1 · price: Each Deferred Share Unit ("DSU") is the economic equivalent of one common share. The DSUs become payable, in cash or common shares or a combination of the two, at the discretion of BlackBerry Limited ("BlackBerry") following cessation of the reporting person's service as a director of BlackBerry.

F1 · derivative.exercise_date: Each Deferred Share Unit ("DSU") is the economic equivalent of one common share. The DSUs become payable, in cash or common shares or a combination of the two, at the discretion of BlackBerry Limited ("BlackBerry") following cessation of the reporting person's service as a director of BlackBerry.

F1 · derivative.expiration_date: Each Deferred Share Unit ("DSU") is the economic equivalent of one common share. The DSUs become payable, in cash or common shares or a combination of the two, at the discretion of BlackBerry Limited ("BlackBerry") following cessation of the reporting person's service as a director of BlackBerry.

Read SEC document
May 31, 2024 Filed Jun 4, 2024 20:29 UTC BLACKBERRY Ltd BB · Entity 3966 GrantDeferred Share Unit · Derivative 17,763 Not disclosed Not disclosed
Disclosure

SEC source: 0001070235-24-000080 · wk-form4_1717532942.xml · derivative · entry 1

Smaldone Alsup Laurie · CIK 0001589602 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 286,929

Underlying: Common Shares · 17,763 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Deferred Share Unit ("DSU") is the economic equivalent of one common share. The DSUs become payable, in cash or common shares or a combination of the two, at the discretion of BlackBerry Limited ("BlackBerry") following cessation of the reporting person's service as a director of BlackBerry.

F1 · price: Each Deferred Share Unit ("DSU") is the economic equivalent of one common share. The DSUs become payable, in cash or common shares or a combination of the two, at the discretion of BlackBerry Limited ("BlackBerry") following cessation of the reporting person's service as a director of BlackBerry.

F1 · derivative.exercise_date: Each Deferred Share Unit ("DSU") is the economic equivalent of one common share. The DSUs become payable, in cash or common shares or a combination of the two, at the discretion of BlackBerry Limited ("BlackBerry") following cessation of the reporting person's service as a director of BlackBerry.

F1 · derivative.expiration_date: Each Deferred Share Unit ("DSU") is the economic equivalent of one common share. The DSUs become payable, in cash or common shares or a combination of the two, at the discretion of BlackBerry Limited ("BlackBerry") following cessation of the reporting person's service as a director of BlackBerry.

Read SEC document
May 29, 2024 Filed May 31, 2024 21:50 UTC ARVINAS, INC. ARVN · Entity 5355 GrantStock Option (right to buy) · Derivative 9,070 $0.00 Strike: $33.90 $0.00
Disclosure

SEC source: 0001655759-24-000080 · wk-form4_1717192202.xml · derivative · entry 2

Smaldone Alsup Laurie · CIK 0001589602 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,070

Underlying: Common Stock · 9,070 shares

Expires 2034-05-28

F2 · derivative.exercise_date: This option award was granted on May 29, 2024. The shares underlying the award shall vest in full on the earlier of May 29, 2025 or the first meeting of the board of directors of the Issuer held after the following annual meeting of stockholders.

Read SEC document
May 29, 2024 Filed May 31, 2024 21:50 UTC ARVINAS, INC. ARVN · Entity 5355 GrantCommon Stock 5,899 $0.00 $0.00
Disclosure

SEC source: 0001655759-24-000080 · wk-form4_1717192202.xml · nonDerivative · entry 1

Smaldone Alsup Laurie · CIK 0001589602 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,020

F1 · shares: The restricted stock units (each, an "RSU") were granted by the Issuer on May 29, 2024 and each RSU represents a contingent right to receive one share of the Issuer's common stock upon settlement for no consideration. The RSUs shall vest in full on the earlier of May 29, 2025 or the first meeting of the board of directors of the Issuer held after the following annual meeting of stockholders.

Read SEC document
May 08, 2024 Filed May 10, 2024 22:01 UTC Theravance Biopharma, Inc. TBPH · Entity 5037 GrantShare Option (Right to Buy) · Derivative 23,576 $0.00 Strike: $9.49 $0.00
Disclosure

SEC source: 0001415889-24-012906 · form4-05102024_100555.xml · derivative · entry 2

Smaldone Alsup Laurie · CIK 0001589602 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,576

Underlying: Ordinary Shares · 23,576 shares

Expires 2034-05-07

F1 · derivative.exercise_date: This option may be exercised and shall be vested as to 1/12th of the shares subject to this option when optionee completes each continuous month of service following the grant date and any then remaining unvested shares shall vest on the date of the next annual meeting of the company's shareholders provided the optionee remains in continuous service on such date.

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May 08, 2024 Filed May 10, 2024 22:01 UTC Theravance Biopharma, Inc. TBPH · Entity 5037 GrantOrdinary Shares 10,537 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-012906 · form4-05102024_100555.xml · nonDerivative · entry 1

Smaldone Alsup Laurie · CIK 0001589602 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 64,331

Read SEC document
April 03, 2024 Filed Apr 5, 2024 16:55 UTC Kinnate Biopharma Inc. KNTE · Entity 92187 Disposition to issuerStock Option (right to buy) · Derivative 25,000 Not disclosed Strike: $3.48 Not disclosed
Disclosure

SEC source: 0001415889-24-010430 · form4-04052024_040417.xml · derivative · entry 4

Smaldone Alsup Laurie · CIK 0001589602 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 25,000 shares

Expires 2033-06-12

F1 · price: This option was cancelled pursuant to that certain Agreement and Plan of Merger, dated February 16, 2024, by and between the Issuer, XOMA Corporation and XRA 1 Corp. (the "Merger Agreement") in exchange for one non-transferable contingent value right ("CVR") for each share underlying such out-of-the-money option. However, please note that such CVRs will provide payment only after the amounts payable under such CVRs exceed a threshold equal to the excess of the per share exercise price of such out-of-the-money option over the Cash Amount.

F1 · derivative.exercise_date: This option was cancelled pursuant to that certain Agreement and Plan of Merger, dated February 16, 2024, by and between the Issuer, XOMA Corporation and XRA 1 Corp. (the "Merger Agreement") in exchange for one non-transferable contingent value right ("CVR") for each share underlying such out-of-the-money option. However, please note that such CVRs will provide payment only after the amounts payable under such CVRs exceed a threshold equal to the excess of the per share exercise price of such out-of-the-money option over the Cash Amount.

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April 03, 2024 Filed Apr 5, 2024 16:55 UTC Kinnate Biopharma Inc. KNTE · Entity 92187 Disposition to issuerStock Option (right to buy) · Derivative 20,250 Not disclosed Strike: $8.38 Not disclosed
Disclosure

SEC source: 0001415889-24-010430 · form4-04052024_040417.xml · derivative · entry 3

Smaldone Alsup Laurie · CIK 0001589602 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 20,250 shares

Expires 2032-06-13

F1 · price: This option was cancelled pursuant to that certain Agreement and Plan of Merger, dated February 16, 2024, by and between the Issuer, XOMA Corporation and XRA 1 Corp. (the "Merger Agreement") in exchange for one non-transferable contingent value right ("CVR") for each share underlying such out-of-the-money option. However, please note that such CVRs will provide payment only after the amounts payable under such CVRs exceed a threshold equal to the excess of the per share exercise price of such out-of-the-money option over the Cash Amount.

F1 · derivative.exercise_date: This option was cancelled pursuant to that certain Agreement and Plan of Merger, dated February 16, 2024, by and between the Issuer, XOMA Corporation and XRA 1 Corp. (the "Merger Agreement") in exchange for one non-transferable contingent value right ("CVR") for each share underlying such out-of-the-money option. However, please note that such CVRs will provide payment only after the amounts payable under such CVRs exceed a threshold equal to the excess of the per share exercise price of such out-of-the-money option over the Cash Amount.

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April 03, 2024 Filed Apr 5, 2024 16:55 UTC Kinnate Biopharma Inc. KNTE · Entity 92187 Disposition to issuerStock Option (right to buy) · Derivative 20,250 Not disclosed Strike: $24.46 Not disclosed
Disclosure

SEC source: 0001415889-24-010430 · form4-04052024_040417.xml · derivative · entry 2

Smaldone Alsup Laurie · CIK 0001589602 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 20,250 shares

Expires 2031-06-11

F1 · price: This option was cancelled pursuant to that certain Agreement and Plan of Merger, dated February 16, 2024, by and between the Issuer, XOMA Corporation and XRA 1 Corp. (the "Merger Agreement") in exchange for one non-transferable contingent value right ("CVR") for each share underlying such out-of-the-money option. However, please note that such CVRs will provide payment only after the amounts payable under such CVRs exceed a threshold equal to the excess of the per share exercise price of such out-of-the-money option over the Cash Amount.

F1 · derivative.exercise_date: This option was cancelled pursuant to that certain Agreement and Plan of Merger, dated February 16, 2024, by and between the Issuer, XOMA Corporation and XRA 1 Corp. (the "Merger Agreement") in exchange for one non-transferable contingent value right ("CVR") for each share underlying such out-of-the-money option. However, please note that such CVRs will provide payment only after the amounts payable under such CVRs exceed a threshold equal to the excess of the per share exercise price of such out-of-the-money option over the Cash Amount.

Read SEC document
April 03, 2024 Filed Apr 5, 2024 16:55 UTC Kinnate Biopharma Inc. KNTE · Entity 92187 Disposition to issuerStock Option (right to buy) · Derivative 60,751 Not disclosed Strike: $5.63 Not disclosed
Disclosure

SEC source: 0001415889-24-010430 · form4-04052024_040417.xml · derivative · entry 1

Smaldone Alsup Laurie · CIK 0001589602 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 60,751 shares

Expires 2030-08-22

F1 · price: This option was cancelled pursuant to that certain Agreement and Plan of Merger, dated February 16, 2024, by and between the Issuer, XOMA Corporation and XRA 1 Corp. (the "Merger Agreement") in exchange for one non-transferable contingent value right ("CVR") for each share underlying such out-of-the-money option. However, please note that such CVRs will provide payment only after the amounts payable under such CVRs exceed a threshold equal to the excess of the per share exercise price of such out-of-the-money option over the Cash Amount.

F1 · derivative.exercise_date: This option was cancelled pursuant to that certain Agreement and Plan of Merger, dated February 16, 2024, by and between the Issuer, XOMA Corporation and XRA 1 Corp. (the "Merger Agreement") in exchange for one non-transferable contingent value right ("CVR") for each share underlying such out-of-the-money option. However, please note that such CVRs will provide payment only after the amounts payable under such CVRs exceed a threshold equal to the excess of the per share exercise price of such out-of-the-money option over the Cash Amount.

Read SEC document
February 29, 2024 Filed Mar 4, 2024 23:40 UTC BLACKBERRY Ltd BB · Entity 3966 GrantDeferred Share Unit · Derivative 17,763 Not disclosed Not disclosed
Disclosure

SEC source: 0001070235-24-000050 · wk-form4_1709595620.xml · derivative · entry 1

Smaldone Alsup Laurie · CIK 0001589602 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 269,166

Underlying: Common Shares · 17,763 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Deferred Share Unit ("DSU") is the economic equivalent of one common share. The DSUs become payable, in cash or common shares or a combination of the two, at the discretion of BlackBerry Limited ("BlackBerry") following cessation of the reporting person's service as a director of BlackBerry.

F1 · price: Each Deferred Share Unit ("DSU") is the economic equivalent of one common share. The DSUs become payable, in cash or common shares or a combination of the two, at the discretion of BlackBerry Limited ("BlackBerry") following cessation of the reporting person's service as a director of BlackBerry.

F1 · derivative.exercise_date: Each Deferred Share Unit ("DSU") is the economic equivalent of one common share. The DSUs become payable, in cash or common shares or a combination of the two, at the discretion of BlackBerry Limited ("BlackBerry") following cessation of the reporting person's service as a director of BlackBerry.

F1 · derivative.expiration_date: Each Deferred Share Unit ("DSU") is the economic equivalent of one common share. The DSUs become payable, in cash or common shares or a combination of the two, at the discretion of BlackBerry Limited ("BlackBerry") following cessation of the reporting person's service as a director of BlackBerry.

Read SEC document
November 30, 2023 Filed Dec 4, 2023 21:34 UTC BLACKBERRY Ltd BB · Entity 3966 GrantDeferred Share Unit · Derivative 13,554 Not disclosed Not disclosed
Disclosure

SEC source: 0001070235-23-000156 · wk-form4_1701725654.xml · derivative · entry 1

Smaldone Alsup Laurie · CIK 0001589602 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 251,403

Underlying: Common Shares · 13,554 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Deferred Share Unit ("DSU") is the economic equivalent of one common share. The DSUs become payable, in cash or common shares or a combination of the two, at the discretion of BlackBerry Limited ("BlackBerry") following cessation of the reporting person's service as a director of BlackBerry.

F1 · price: Each Deferred Share Unit ("DSU") is the economic equivalent of one common share. The DSUs become payable, in cash or common shares or a combination of the two, at the discretion of BlackBerry Limited ("BlackBerry") following cessation of the reporting person's service as a director of BlackBerry.

F1 · derivative.exercise_date: Each Deferred Share Unit ("DSU") is the economic equivalent of one common share. The DSUs become payable, in cash or common shares or a combination of the two, at the discretion of BlackBerry Limited ("BlackBerry") following cessation of the reporting person's service as a director of BlackBerry.

F1 · derivative.expiration_date: Each Deferred Share Unit ("DSU") is the economic equivalent of one common share. The DSUs become payable, in cash or common shares or a combination of the two, at the discretion of BlackBerry Limited ("BlackBerry") following cessation of the reporting person's service as a director of BlackBerry.

Read SEC document
August 31, 2023 Filed Aug 31, 2023 18:52 UTC PARDES BIOSCIENCES, INC. PRDS · Entity 110063 Disposition to issuerStock Option (Right to Buy) · Derivative 75,000 Not disclosed Strike: $2.98 Not disclosed
Disclosure

SEC source: 0001209191-23-047832 · doc4.xml · derivative · entry 2

Smaldone Alsup Laurie · CIK 0001589602 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 75,000 shares

Expires 2032-09-13

F3 · price: On July 16, 2023, the Issuer's Board of Directors vested in full each unvested Company Stock Option. Pursuant to the Merger Agreement, each Company Stock Option that was not in the money as of the Effective Time was cancelled for no consideration at the Effective Time.

F3 · derivative.exercise_date: On July 16, 2023, the Issuer's Board of Directors vested in full each unvested Company Stock Option. Pursuant to the Merger Agreement, each Company Stock Option that was not in the money as of the Effective Time was cancelled for no consideration at the Effective Time.

F3 · derivative.expiration_date: On July 16, 2023, the Issuer's Board of Directors vested in full each unvested Company Stock Option. Pursuant to the Merger Agreement, each Company Stock Option that was not in the money as of the Effective Time was cancelled for no consideration at the Effective Time.

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August 31, 2023 Filed Aug 31, 2023 18:52 UTC PARDES BIOSCIENCES, INC. PRDS · Entity 110063 Disposition to issuerStock Option (Right to Buy) · Derivative 37,500 Not disclosed Strike: $1.87 Not disclosed
Disclosure

SEC source: 0001209191-23-047832 · doc4.xml · derivative · entry 1

Smaldone Alsup Laurie · CIK 0001589602 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 37,500 shares

Expires 2033-05-31

F1 · price: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger entered into by and among the Issuer, MediPacific, Inc. (Parent) and MediPacific Sub, Inc., a wholly-owned subsidiary of Parent (Purchaser), dated as of July 16, 2023 (Merger Agreement), pursuant to which the Purchaser completed a tender offer for the shares of common stock of the Issuer and thereafter merged with and into the Issuer effective as of August 31, 2023 (Effective Time).

F2 · price: On July 16, 2023, the Issuer's Board of Directors vested in full each option to purchase shares granted under an Issuer equity plan (each, a Company Stock Option) that was outstanding and unvested as of that date. As of the Effective Time, each in-the-money Company Stock Option that was outstanding immediately prior to the Effective Time was cancelled, and, in exchange therefor, the holder of such cancelled in-the-money Company Stock Option was entitled to receive, in consideration of the cancellation of such Company Stock Option, (i) an amount in cash (less applicable tax withholdings and without interest) equal to the product of (x) the total number of shares subject to such Company Stock Option immediately prior to the Effective Time multiplied by (y) the excess of $2.13 over the applicable exercise price per share under such Company Stock Option and (ii) one contingent value right for each share subject thereto.

F1 · derivative.exercise_date: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger entered into by and among the Issuer, MediPacific, Inc. (Parent) and MediPacific Sub, Inc., a wholly-owned subsidiary of Parent (Purchaser), dated as of July 16, 2023 (Merger Agreement), pursuant to which the Purchaser completed a tender offer for the shares of common stock of the Issuer and thereafter merged with and into the Issuer effective as of August 31, 2023 (Effective Time).

F2 · derivative.exercise_date: On July 16, 2023, the Issuer's Board of Directors vested in full each option to purchase shares granted under an Issuer equity plan (each, a Company Stock Option) that was outstanding and unvested as of that date. As of the Effective Time, each in-the-money Company Stock Option that was outstanding immediately prior to the Effective Time was cancelled, and, in exchange therefor, the holder of such cancelled in-the-money Company Stock Option was entitled to receive, in consideration of the cancellation of such Company Stock Option, (i) an amount in cash (less applicable tax withholdings and without interest) equal to the product of (x) the total number of shares subject to such Company Stock Option immediately prior to the Effective Time multiplied by (y) the excess of $2.13 over the applicable exercise price per share under such Company Stock Option and (ii) one contingent value right for each share subject thereto.

F1 · derivative.expiration_date: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger entered into by and among the Issuer, MediPacific, Inc. (Parent) and MediPacific Sub, Inc., a wholly-owned subsidiary of Parent (Purchaser), dated as of July 16, 2023 (Merger Agreement), pursuant to which the Purchaser completed a tender offer for the shares of common stock of the Issuer and thereafter merged with and into the Issuer effective as of August 31, 2023 (Effective Time).

F2 · derivative.expiration_date: On July 16, 2023, the Issuer's Board of Directors vested in full each option to purchase shares granted under an Issuer equity plan (each, a Company Stock Option) that was outstanding and unvested as of that date. As of the Effective Time, each in-the-money Company Stock Option that was outstanding immediately prior to the Effective Time was cancelled, and, in exchange therefor, the holder of such cancelled in-the-money Company Stock Option was entitled to receive, in consideration of the cancellation of such Company Stock Option, (i) an amount in cash (less applicable tax withholdings and without interest) equal to the product of (x) the total number of shares subject to such Company Stock Option immediately prior to the Effective Time multiplied by (y) the excess of $2.13 over the applicable exercise price per share under such Company Stock Option and (ii) one contingent value right for each share subject thereto.

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August 31, 2023 Filed Sep 1, 2023 20:29 UTC BLACKBERRY Ltd BB · Entity 3966 GrantDeferred Share Unit · Derivative 8,953 $0.00 $0.00
Disclosure

SEC source: 0001070235-23-000117 · wk-form4_1693600139.xml · derivative · entry 1

Smaldone Alsup Laurie · CIK 0001589602 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 237,849

Underlying: Common Shares · 8,953 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Deferred Share Unit ("DSU") is the economic equivalent of one common share. The DSUs become payable, in cash or common shares or a combination of the two, at the discretion of BlackBerry Limited ("BlackBerry") following cessation of the reporting person's service as a director of BlackBerry.

F1 · derivative.exercise_date: Each Deferred Share Unit ("DSU") is the economic equivalent of one common share. The DSUs become payable, in cash or common shares or a combination of the two, at the discretion of BlackBerry Limited ("BlackBerry") following cessation of the reporting person's service as a director of BlackBerry.

F1 · derivative.expiration_date: Each Deferred Share Unit ("DSU") is the economic equivalent of one common share. The DSUs become payable, in cash or common shares or a combination of the two, at the discretion of BlackBerry Limited ("BlackBerry") following cessation of the reporting person's service as a director of BlackBerry.

Read SEC document
June 15, 2023 Filed Jun 20, 2023 21:28 UTC ARVINAS, INC. ARVN · Entity 5355 GrantStock Option (right to buy) · Derivative 12,787 $0.00 Strike: $30.33 $0.00
Disclosure

SEC source: 0001655759-23-000067 · wk-form4_1687296513.xml · derivative · entry 2

Smaldone Alsup Laurie · CIK 0001589602 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,787

Underlying: Common Stock · 12,787 shares

Expires 2033-06-14

F2 · derivative.exercise_date: This option award was granted on June 15, 2023. The shares underlying the award shall vest in full on the earlier of June 15, 2024 or the first meeting of the board of directors of the Issuer held after the following annual meeting of stockholders.

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June 15, 2023 Filed Jun 20, 2023 21:28 UTC ARVINAS, INC. ARVN · Entity 5355 GrantCommon Stock 4,121 $0.00 $0.00
Disclosure

SEC source: 0001655759-23-000067 · wk-form4_1687296513.xml · nonDerivative · entry 1

Smaldone Alsup Laurie · CIK 0001589602 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,121

F1 · shares: The restricted stock units (each, an "RSU") were granted by the Issuer on June 15, 2023 and each RSU represents a contingent right to receive one share of the Issuer's common stock upon settlement for no consideration. The RSUs shall vest in full on the earlier of June 15, 2024 or the first meeting of the board of directors of the Issuer held after the following annual meeting of stockholders.

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June 12, 2023 Filed Jun 13, 2023 18:31 UTC Kinnate Biopharma Inc. KNTE · Entity 92187 GrantStock Option (right to buy) · Derivative 25,000 $0.00 Strike: $3.48 $0.00
Disclosure

SEC source: 0001209191-23-036866 · doc4.xml · derivative · entry 1

Smaldone Alsup Laurie · CIK 0001589602 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2033-06-12

F1 · derivative.exercise_date: 1/12th of the shares underlying the Option vest and become exercisable on a monthly basis starting July 12, 2023 (the Vest Base Date) and thereafter on the same day of the month as the Vest Base Date or if earlier, the day immediately before the date of the next Annual Meeting of Stockholders that occurs after the Vest Base Date.

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June 01, 2023 Filed Jun 2, 2023 20:13 UTC PARDES BIOSCIENCES, INC. PRDS · Entity 110063 GrantStock Option (Right to Buy) · Derivative 37,500 $0.00 Strike: $1.87 $0.00
Disclosure

SEC source: 0001209191-23-033683 · doc4.xml · derivative · entry 1

Smaldone Alsup Laurie · CIK 0001589602 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 37,500

Underlying: Common Stock · 37,500 shares

Expires 2033-05-31

F1 · derivative.exercise_date: Subject to the reporting person's continued service to the Issuer on each applicable vesting date, the option vests as to 1/12 of the total award on each monthly anniversary of the Grant Date; provided, however, that notwithstanding the monthly vesting schedule, the options shall vest in full upon the earlier of (i) the one-year anniversary of the Grant Date or (ii) the date of the next annual meeting of the stockholders.

Read SEC document
May 31, 2023 Filed Jun 1, 2023 20:36 UTC BLACKBERRY Ltd BB · Entity 3966 GrantDeferred Share Unit · Derivative 9,259 $0.00 $0.00
Disclosure

SEC source: 0001070235-23-000097 · wk-form4_1685651773.xml · derivative · entry 1

Smaldone Alsup Laurie · CIK 0001589602 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 228,896

Underlying: Common Shares · 9,259 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Deferred Share Unit ("DSU") is the economic equivalent of one common share. The DSUs become payable, in cash or common shares or a combination of the two, at the discretion of BlackBerry Limited ("BlackBerry") following cessation of the reporting person's service as a director of BlackBerry.

F1 · derivative.exercise_date: Each Deferred Share Unit ("DSU") is the economic equivalent of one common share. The DSUs become payable, in cash or common shares or a combination of the two, at the discretion of BlackBerry Limited ("BlackBerry") following cessation of the reporting person's service as a director of BlackBerry.

F1 · derivative.expiration_date: Each Deferred Share Unit ("DSU") is the economic equivalent of one common share. The DSUs become payable, in cash or common shares or a combination of the two, at the discretion of BlackBerry Limited ("BlackBerry") following cessation of the reporting person's service as a director of BlackBerry.

Read SEC document
May 02, 2023 Filed May 4, 2023 22:33 UTC Theravance Biopharma, Inc. TBPH · Entity 5037 GrantShare Option (Right to Buy) · Derivative 22,044 $0.00 Strike: $10.95 $0.00
Disclosure

SEC source: 0001415889-23-007372 · form4-05042023_100550.xml · derivative · entry 2

Smaldone Alsup Laurie · CIK 0001589602 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,044

Underlying: Ordinary Shares · 22,044 shares

Expires 2033-05-01

F1 · derivative.exercise_date: This option may be exercised and shall be vested as to 1/12th of the shares subject to this option when optionee completes each continuous month of service following the grant date and any then remaining unvested shares shall vest on the date of the next annual meeting of the company's shareholders provided the optionee remains in continuous service on such date.

Read SEC document
May 02, 2023 Filed May 4, 2023 22:33 UTC Theravance Biopharma, Inc. TBPH · Entity 5037 GrantOrdinary Shares 9,132 $0.00 $0.00
Disclosure

SEC source: 0001415889-23-007372 · form4-05042023_100550.xml · nonDerivative · entry 1

Smaldone Alsup Laurie · CIK 0001589602 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 53,794

Read SEC document
February 28, 2023 Filed Mar 1, 2023 21:33 UTC BLACKBERRY Ltd BB · Entity 3966 GrantDeferred Share Unit · Derivative 12,736 $0.00 $0.00
Disclosure

SEC source: 0001070235-23-000041 · wf-form4_167770639027562.xml · derivative · entry 1

Smaldone Alsup Laurie · CIK 0001589602 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 219,637

Underlying: Common Shares · 12,736 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Deferred Share Unit ("DSU") is the economic equivalent of one common share. The DSUs become payable, in cash or common shares or a combination of the two, at the discretion of BlackBerry Limited ("BlackBerry") following cessation of the reporting person's service as a director of BlackBerry.

F1 · derivative.exercise_date: Each Deferred Share Unit ("DSU") is the economic equivalent of one common share. The DSUs become payable, in cash or common shares or a combination of the two, at the discretion of BlackBerry Limited ("BlackBerry") following cessation of the reporting person's service as a director of BlackBerry.

F1 · derivative.expiration_date: Each Deferred Share Unit ("DSU") is the economic equivalent of one common share. The DSUs become payable, in cash or common shares or a combination of the two, at the discretion of BlackBerry Limited ("BlackBerry") following cessation of the reporting person's service as a director of BlackBerry.

Read SEC document
November 30, 2022 Filed Dec 1, 2022 21:36 UTC BLACKBERRY Ltd BB · Entity 3966 GrantDeferred Share Unit · Derivative 10,353 $0.00 $0.00
Disclosure

SEC source: 0001070235-22-000162 · wf-form4_166993059812044.xml · derivative · entry 1

Smaldone Alsup Laurie · CIK 0001589602 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 206,901

Underlying: Common Shares · 10,353 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Deferred Share Unit ("DSU") is the economic equivalent of one common share. The DSUs become payable, in cash or common shares or a combination of the two, at the discretion of BlackBerry Limited ("BlackBerry") following cessation of the reporting person's service as a director of BlackBerry.

F1 · derivative.exercise_date: Each Deferred Share Unit ("DSU") is the economic equivalent of one common share. The DSUs become payable, in cash or common shares or a combination of the two, at the discretion of BlackBerry Limited ("BlackBerry") following cessation of the reporting person's service as a director of BlackBerry.

F1 · derivative.expiration_date: Each Deferred Share Unit ("DSU") is the economic equivalent of one common share. The DSUs become payable, in cash or common shares or a combination of the two, at the discretion of BlackBerry Limited ("BlackBerry") following cessation of the reporting person's service as a director of BlackBerry.

Read SEC document
September 14, 2022 Filed Sep 16, 2022 20:06 UTC PARDES BIOSCIENCES, INC. PRDS · Entity 110063 GrantStock Option (Right to Buy) · Derivative 75,000 $0.00 Strike: $2.98 $0.00
Disclosure

SEC source: 0001209191-22-050297 · doc4.xml · derivative · entry 1

Smaldone Alsup Laurie · CIK 0001589602 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 75,000 shares

Expires 2032-09-14

F1 · derivative.exercise_date: This option shall vest in substantially equal monthly installments over three years, subject to a continued service relationship.

Read SEC document
August 31, 2022 Filed Sep 1, 2022 20:35 UTC BLACKBERRY Ltd BB · Entity 3966 GrantDeferred Share Unit · Derivative 8,653 $0.00 $0.00
Disclosure

SEC source: 0001070235-22-000126 · wf-form4_166206451390449.xml · derivative · entry 1

Smaldone Alsup Laurie · CIK 0001589602 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 196,548

Underlying: Common Shares · 8,653 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Deferred Share Unit ("DSU") is the economic equivalent of one common share. The DSUs become payable, in cash or common shares or a combination of the two, at the discretion of BlackBerry Limited ("BlackBerry") following cessation of the reporting person's service as a director of BlackBerry.

F1 · derivative.exercise_date: Each Deferred Share Unit ("DSU") is the economic equivalent of one common share. The DSUs become payable, in cash or common shares or a combination of the two, at the discretion of BlackBerry Limited ("BlackBerry") following cessation of the reporting person's service as a director of BlackBerry.

F1 · derivative.expiration_date: Each Deferred Share Unit ("DSU") is the economic equivalent of one common share. The DSUs become payable, in cash or common shares or a combination of the two, at the discretion of BlackBerry Limited ("BlackBerry") following cessation of the reporting person's service as a director of BlackBerry.

Read SEC document
June 16, 2022 Filed Jun 22, 2022 00:00 UTC ARVINAS, INC. ARVN · Entity 5355 GrantStock Option (right to buy) · Derivative 10,192 $0.00 Strike: $36.79 $0.00
Disclosure

SEC source: 0001209191-22-038556 · doc4.xml · derivative · entry 1

Smaldone Alsup Laurie · CIK 0001589602 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,192

Underlying: Common Stock · 10,192 shares

Expires 2032-06-15

F1 · derivative.exercise_date: This option award was granted on June 16, 2022. The shares underlying the award shall vest in full on the earlier of June 16, 2023 or the first meeting of the board of directors of the Issuer held after the following annual meeting of stockholders.

Read SEC document
June 13, 2022 Filed Jun 15, 2022 17:00 UTC Kinnate Biopharma Inc. KNTE · Entity 92187 GrantStock Option (right to buy) · Derivative 20,250 $0.00 Strike: $8.38 $0.00
Disclosure

SEC source: 0001209191-22-037017 · doc4.xml · derivative · entry 1

Smaldone Alsup Laurie · CIK 0001589602 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,250

Underlying: Common Stock · 20,250 shares

Expires 2032-06-13

F1 · derivative.exercise_date: 1/12th of the shares underlying the Option vest and become exercisable on a monthly basis starting July 13, 2022 (the Vest Base Date) and thereafter on the same day of the month as the Vest Base Date or if earlier, the day immediately before the date of the next Annual Meeting of Stockholders that occurs after the Vest Base Date.

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May 31, 2022 Filed Jun 1, 2022 20:41 UTC BLACKBERRY Ltd BB · Entity 3966 GrantDeferred Share Unit · Derivative 8,859 $0.00 $0.00
Disclosure

SEC source: 0001070235-22-000099 · wf-form4_165411603717066.xml · derivative · entry 1

Smaldone Alsup Laurie · CIK 0001589602 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 187,895

Underlying: Common Shares · 8,859 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Deferred Share Unit ("DSU") is the economic equivalent of one common share. The DSUs become payable, in cash or common shares or a combination of the two, at the discretion of BlackBerry Limited ("BlackBerry") following cessation of the reporting person's service as a director of BlackBerry.

F1 · derivative.exercise_date: Each Deferred Share Unit ("DSU") is the economic equivalent of one common share. The DSUs become payable, in cash or common shares or a combination of the two, at the discretion of BlackBerry Limited ("BlackBerry") following cessation of the reporting person's service as a director of BlackBerry.

F1 · derivative.expiration_date: Each Deferred Share Unit ("DSU") is the economic equivalent of one common share. The DSUs become payable, in cash or common shares or a combination of the two, at the discretion of BlackBerry Limited ("BlackBerry") following cessation of the reporting person's service as a director of BlackBerry.

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April 26, 2022 Filed Apr 29, 2022 00:50 UTC Theravance Biopharma, Inc. TBPH · Entity 5037 GrantShare Option (Right to Buy) · Derivative 28,000 $0.00 Strike: $10.15 $0.00
Disclosure

SEC source: 0001415889-22-004326 · form4-04282022_050440.xml · derivative · entry 2

Smaldone Alsup Laurie · CIK 0001589602 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,000

Underlying: Ordinary Shares · 28,000 shares

Expires 2032-04-25

F1 · derivative.exercise_date: This option may be exercised and shall be vested as to 1/12th of the shares subject to this option when optionee completes each continuous month of service following the grant date and any then remaining unvested shares shall vest on the date of the next annual meeting of the company's shareholders provided the optionee remains in continuous service on such date.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.