Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| 4D Molecular Therapeutics, Inc.FMDT · Entity 2419 | Chief Financial Officer | May 15, 2023 | May 17, 2023 |
| Assertio Therapeutics, IncDEPO · Entity 149352 | Chief Financial Officer & SVP | March 31, 2018 | April 04, 2018 |
| Cibus, Inc.CBUS · Entity 6658 | Director | June 02, 2026 | June 04, 2026 |
| Vivani Medical, Inc.VANI · Entity 6636 | Director | June 24, 2026 | June 26, 2026 |
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.
4D Molecular Therapeutics, Inc.
Report date May 15, 2023 · Filed May 17, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 11,045 |
Reported balance
After 2023-05-15 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2023-05-15 · Exercise / conversion · Acquired 3,000 · Balance 11,045 F1: Reflects 1,450 shares of the Issuer's common stock purchased under the Issuer's Employee Stock Purchase Plan in a transaction exempt from Rule 16b-3. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $9.41 · Expires 2029-03-19 | Direct | 217,060 |
Reported balance
After 2023-05-15 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2023-05-15 · Exercise / conversion · Disposed 3,000 · Balance 217,060 F2: The option is fully vested and exercisable |
Filing footnotes · ownership attribution and instrument terms
F1: Reflects 1,450 shares of the Issuer's common stock purchased under the Issuer's Employee Stock Purchase Plan in a transaction exempt from Rule 16b-3.
F2: The option is fully vested and exercisable
Assertio Therapeutics, Inc
Report date March 31, 2018 · Filed April 04, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common stockSEC Table I · non-derivative | Direct | 74,447 |
Reported balance
After 2018-03-31 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2018-03-31 · Tax withholding · Disposed 6,975 · Balance 74,447 F1: Represents shares of restricted stock forfeited to meet the tax liability triggered by the vesting of such restricted stock. F2: Amount does not include any unvested restricted stock previously reported on Form 4 by the reporting person. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents shares of restricted stock forfeited to meet the tax liability triggered by the vesting of such restricted stock.
F2: Amount does not include any unvested restricted stock previously reported on Form 4 by the reporting person.
Cibus, Inc.
Report date June 02, 2026 · Filed June 04, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right-to-Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.39 · Expires 2036-06-02 | Direct | 77,586 |
Reported balance
After 2026-06-02 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-06-02 · Grant · Acquired 77,586 · Balance 77,586 F1: The Options vest in full, subject to the Director's continued service, the earlier of (1) the first anniversary of the grant date and (2) the date of the Company's next annual meeting of shareholders. |
Filing footnotes · ownership attribution and instrument terms
F1: The Options vest in full, subject to the Director's continued service, the earlier of (1) the first anniversary of the grant date and (2) the date of the Company's next annual meeting of shareholders.
Vivani Medical, Inc.
Report date June 24, 2026 · Filed June 26, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Non-Qualified Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.22 · Expires 2036-06-23 | Direct | 36,000 |
Reported balance
After 2026-06-24 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-06-24 · Grant · Acquired 36,000 · Balance 36,000 F2: The option vests in monthly installments over the three-year period following the grant date, subject to continued service through such date. F1: Initial grant awarded pursuant to the Issuer's Non-Employee Director Compensation Policy. |
Filing footnotes · ownership attribution and instrument terms
F1: Initial grant awarded pursuant to the Issuer's Non-Employee Director Compensation Policy.
F2: The option vests in monthly installments over the three-year period following the grant date, subject to continued service through such date.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| June 24, 2026 Filed Jun 26, 2026 18:27 UTC | Vivani Medical, Inc. VANI · Entity 6636 | GrantNon-Qualified Stock Option (right to buy) · Derivative | 36,000 | $1.22 Strike: $1.22 | $43,920.00 |
DisclosureSEC source: 0001753926-26-001081 · form4.xml · derivative · entry 1 Moretti August J · CIK 0001344412 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 36,000 Underlying: Common Stock · 36,000 shares Expires 2036-06-23 F2 · price: The option vests in monthly installments over the three-year period following the grant date, subject to continued service through such date. F1 · derivative.exercise_date: Initial grant awarded pursuant to the Issuer's Non-Employee Director Compensation Policy. F2 · derivative.exercise_date: The option vests in monthly installments over the three-year period following the grant date, subject to continued service through such date. F2 · derivative.underlying_shares: The option vests in monthly installments over the three-year period following the grant date, subject to continued service through such date. F2 · balance_after: The option vests in monthly installments over the three-year period following the grant date, subject to continued service through such date. Read SEC document |
| June 02, 2026 Filed Jun 4, 2026 21:47 UTC | Cibus, Inc. CBUS · Entity 6658 | GrantStock Option (Right-to-Buy) · Derivative | 77,586 | $0.00 Strike: $1.39 | $0.00 |
DisclosureSEC source: 0001615594-26-000043 · primary_doc.xml · derivative · entry 1 Moretti August J · CIK 0001344412 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 77,586 Underlying: Class A Common Stock · 77,586 shares Expires 2036-06-02 F1 · derivative.exercise_date: The Options vest in full, subject to the Director's continued service, the earlier of (1) the first anniversary of the grant date and (2) the date of the Company's next annual meeting of shareholders. Read SEC document |
| May 22, 2025 Filed May 27, 2025 19:22 UTC | Cibus, Inc. CBUS · Entity 6658 | GrantStock Option (Right-to-Buy) · Derivative | 39,301 | $0.00 Strike: $2.77 | $0.00 |
DisclosureSEC source: 0001615594-25-000077 · primary_doc.xml · derivative · entry 1 Moretti August J · CIK 0001344412 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 39,301 Underlying: Class A Common Stock · 39,301 shares Expires 2035-05-22 F1 · derivative.exercise_date: The Options vest in full, subject to the Director's continued service, the earlier of (1) the first anniversary of the grant date and (2) the date of the Company's next annual meeting of shareholders Read SEC document |
| November 20, 2024 Filed Nov 25, 2024 21:42 UTC | Cibus, Inc. CBUS · Entity 6658 | GrantStock Option (Right-to-Buy) · Derivative | 14,733 | $0.00 Strike: $3.97 | $0.00 |
DisclosureSEC source: 0001615594-24-000059 · primary_doc.xml · derivative · entry 1 Moretti August J · CIK 0001344412 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 14,733 Underlying: Class A Common Stock · 14,733 shares Expires 2034-11-20 F1 · derivative.exercise_date: The options vest in full, subject to Director's continued service, on the earlier of (1) the first anniversary of the date of the grant and (2) the date of the Company's next annual meeting of the shareholders. Read SEC document |
| May 15, 2023 Filed May 17, 2023 00:52 UTC | 4D Molecular Therapeutics, Inc. FMDT · Entity 2419 | Exercise / conversionStock Option (Right to Buy) · Derivative | 3,000 | $0.00 Strike: $9.41 | $0.00 |
DisclosureSEC source: 0001610717-23-000044 · form4.xml · derivative · entry 2 Moretti August J · CIK 0001344412 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 217,060 Underlying: Common Stock · 3,000 shares Expires 2029-03-19 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: The option is fully vested and exercisable Read SEC document |
| May 15, 2023 Filed May 17, 2023 00:52 UTC | 4D Molecular Therapeutics, Inc. FMDT · Entity 2419 | Exercise / conversionCommon Stock | 3,000 | $9.41 | $28,230.00 |
DisclosureSEC source: 0001610717-23-000044 · form4.xml · nonDerivative · entry 1 Moretti August J · CIK 0001344412 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 11,045 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · balance_after: Reflects 1,450 shares of the Issuer's common stock purchased under the Issuer's Employee Stock Purchase Plan in a transaction exempt from Rule 16b-3. Read SEC document |
| February 10, 2023 Filed Feb 15, 2023 01:26 UTC | 4D Molecular Therapeutics, Inc. FDMT · Entity 2419 | GrantStock Option (Right to Buy) · Derivative | 50,000 | $0.00 Strike: $20.24 | $0.00 |
DisclosureSEC source: 0001567619-23-003009 · doc1.xml · derivative · entry 1 Moretti August J · CIK 0001344412 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Stock · 50,000 shares Expires 2033-02-09 F1 · derivative.exercise_date: The shares underlying the stock option award shall vest and become exercisable as to 1/48th of the underlying shares on each monthly anniversary of February 10, 2023 (the "Vesting Commencement Date"), such that 100% of the shares subject to the option will be fully vested and exercisable on the fourth anniversary of the Vesting Commencement Date, while the grantee remains a service provider to the Company Read SEC document |
| December 21, 2022 Filed Dec 22, 2022 23:51 UTC | 4D Molecular Therapeutics, Inc. FDMT · Entity 2419 | Exercise / conversionStock Option (Right to Buy) · Derivative | 3,000 | $0.00 Strike: $9.41 | $0.00 |
DisclosureSEC source: 0001567619-22-021958 · doc1.xml · derivative · entry 2 Moretti August J · CIK 0001344412 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 220,060 Underlying: Common Stock · 3,000 shares Expires 2029-03-19 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: 25% of the shares subject to the option vest on the first anniversary measured from January 7, 2019 (the "Vesting Commencement Date"), and 1/48th of the total number of shares vest in thirty-six (36) successive and equal monthly installments thereafter, such that 100% of the shares subject to the option will be fully vested and exercisable on the fourth anniversary of the Vesting Commencement Date. Read SEC document |
| December 21, 2022 Filed Dec 22, 2022 23:51 UTC | 4D Molecular Therapeutics, Inc. FDMT · Entity 2419 | Exercise / conversionCommon Stock | 3,000 | $9.41 | $28,230.00 |
DisclosureSEC source: 0001567619-22-021958 · doc1.xml · nonDerivative · entry 1 Moretti August J · CIK 0001344412 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,595 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · balance_after: Reflects 1,595 shares of the Issuer's common stock purchased under the Issuer's Employee Stock Purchase Plan in a transaction exempt from Rule 16b-3. Read SEC document |
| September 01, 2022 Filed Sep 7, 2022 00:41 UTC | 4D Molecular Therapeutics, Inc. FDMT · Entity 2419 | GrantStock Option (Right to Buy) · Derivative | 60,000 | $0.00 Strike: $8.04 | $0.00 |
DisclosureSEC source: 0001567619-22-017101 · doc1.xml · derivative · entry 2 Moretti August J · CIK 0001344412 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,000 Underlying: Common Stock · 60,000 shares Expires 2032-08-31 F1 · derivative.exercise_date: The shares underlying the stock option award shall vest and become exercisable as to 1/48th of the underlying shares on each monthly anniversary of September 1, 2022 (the "Vesting Commencement Date") such that 100% of the shares subject to the option will be fully vested and exercisable on the fourth anniversary of the Vesting Commencement Date, while the grantee remains a service provider to the Company. Read SEC document |
| February 01, 2022 Filed Feb 3, 2022 22:43 UTC | 4D Molecular Therapeutics, Inc. FDMT · Entity 2419 | GrantStock Option (Right to Buy) · Derivative | 65,000 | $0.00 Strike: $15.78 | $0.00 |
DisclosureSEC source: 0001567619-22-002468 · doc1.xml · derivative · entry 2 Moretti August J · CIK 0001344412 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,000 Underlying: Common Stock · 65,000 shares Expires 2032-01-31 F1 · derivative.exercise_date: The shares underlying the stock option award shall vest and become exercisable as to 1/48th of the underlying shares on each monthly anniversary of February 1, 2022 (the "Vesting Commencement Date") while the grantee remains a service provider to the Company. Read SEC document |
| April 12, 2021 Filed Apr 14, 2021 20:32 UTC | 4D Molecular Therapeutics, Inc. FDMT · Entity 2419 | Exercise / conversionStock Option (Right to Buy) · Derivative | 1,000 | $0.00 Strike: $9.41 | $0.00 |
DisclosureSEC source: 0001567619-21-008045 · doc1.xml · derivative · entry 2 Moretti August J · CIK 0001344412 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 223,060 Underlying: Common Stock · 1,000 shares Expires 2029-03-19 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_date: The stock option is partially vested and will vest with respect to the remaining shares in equal monthly installments until fully vested on January 7, 2023. Read SEC document |
| April 12, 2021 Filed Apr 14, 2021 20:32 UTC | 4D Molecular Therapeutics, Inc. FDMT · Entity 2419 | Exercise / conversionCommon Stock | 1,000 | $9.41 | $9,410.00 |
DisclosureSEC source: 0001567619-21-008045 · doc1.xml · nonDerivative · entry 1 Moretti August J · CIK 0001344412 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,000 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| March 08, 2021 Filed Mar 10, 2021 21:04 UTC | 4D Molecular Therapeutics, Inc. FDMT · Entity 2419 | GrantStock Option (Right to Buy) · Derivative | 70,000 | $0.00 Strike: $41.66 | $0.00 |
DisclosureSEC source: 0001567619-21-005966 · doc1.xml · derivative · entry 1 Moretti August J · CIK 0001344412 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,000 Underlying: Common Stock · 70,000 shares Expires 2031-03-07 F1 · derivative.exercise_date: The shares underlying the stock option award shall vest and become exercisable as to 1/48th of the underlying shares on each monthly anniversary of March 8, 2021 (the "Vesting Commencement Date") while the grantee remains a service provider to the Company. Read SEC document |
| March 31, 2018 Filed Apr 4, 2018 00:35 UTC | Assertio Therapeutics, Inc DEPO · Entity 149352 | Tax withholdingCommon stock | 6,975 | $6.59 | $45,965.25 |
DisclosureSEC source: 0001179110-18-005346 · edgar.xml · nonDerivative · entry 1 Moretti August J · CIK 0001344412 · Chief Financial Officer & SVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 74,447 F1 · shares: Represents shares of restricted stock forfeited to meet the tax liability triggered by the vesting of such restricted stock. F2 · balance_after: Amount does not include any unvested restricted stock previously reported on Form 4 by the reporting person. Read SEC document |
| December 18, 2017 Filed Dec 21, 2017 00:18 UTC | Assertio Therapeutics, Inc DEPO · Entity 149352 | Disposition to issuerStock Options · Derivative | 54,200 | $0.00 Strike: $17.09 | $0.00 |
DisclosureSEC source: 0001179110-17-015749 · edgar.xml · derivative · entry 3 Moretti August J · CIK 0001344412 · Chief Financial Officer & SVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 54,200 shares Expires 2027-02-08 F4 · kind: These stock options were forfeited pursuant to a Transition and Consulting Agreement with the Issuer which was effective as of December 18, 2017. F3 · derivative.exercise_date: These stock options were exercisable in 48 equal monthly installments from February 8, 2017. Read SEC document |
| December 18, 2017 Filed Dec 21, 2017 00:18 UTC | Assertio Therapeutics, Inc DEPO · Entity 149352 | Disposition to issuerStock Options · Derivative | 92,500 | $0.00 Strike: $16.07 | $0.00 |
DisclosureSEC source: 0001179110-17-015749 · edgar.xml · derivative · entry 2 Moretti August J · CIK 0001344412 · Chief Financial Officer & SVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 92,500 shares Expires 2026-02-11 F4 · kind: These stock options were forfeited pursuant to a Transition and Consulting Agreement with the Issuer which was effective as of December 18, 2017. F2 · derivative.exercise_date: These stock options were exercisable in 48 equal monthly installments from February 2, 2016. Read SEC document |
| December 18, 2017 Filed Dec 21, 2017 00:18 UTC | Assertio Therapeutics, Inc DEPO · Entity 149352 | Disposition to issuerStock Options · Derivative | 55,000 | $0.00 Strike: $17.61 | $0.00 |
DisclosureSEC source: 0001179110-17-015749 · edgar.xml · derivative · entry 1 Moretti August J · CIK 0001344412 · Chief Financial Officer & SVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 55,000 shares Expires 2025-02-04 F4 · kind: These stock options were forfeited pursuant to a Transition and Consulting Agreement with the Issuer which was effective as of December 18, 2017. F1 · derivative.exercise_date: These stock options were exercisable in 48 equal monthly installments from February 4, 2015. Read SEC document |
| December 01, 2017 Filed Dec 6, 2017 01:18 UTC | Assertio Therapeutics, Inc DEPO · Entity 149352 | Tax withholdingCommon stock | 10,336 | $7.11 | $73,488.96 |
DisclosureSEC source: 0001179110-17-014989 · edgar.xml · nonDerivative · entry 1 Moretti August J · CIK 0001344412 · Chief Financial Officer & SVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,949 F1 · shares: Represents shares of restricted stock forfeited to meet the tax liability triggered by the vesting of such restricted stock. F2 · balance_after: Amount does not include any unvested restricted stock previously reported on Form 4 by the reporting person. Read SEC document |
| April 02, 2017 Filed Apr 5, 2017 00:12 UTC | Assertio Therapeutics, Inc DEPO · Entity 149352 | Tax withholdingCommon stock | 940 | $12.55 | $11,797.00 |
DisclosureSEC source: 0001179110-17-005722 · edgar.xml · nonDerivative · entry 1 Moretti August J · CIK 0001344412 · Chief Financial Officer & SVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,785 F1 · shares: Represents shares of restricted stock forfeited to meet the tax liability triggered by the vesting of such restricted stock. F2 · balance_after: Amount does not include any unvested restricted stock previously reported on Form 4 by the reporting person. Read SEC document |
| March 31, 2017 Filed Apr 5, 2017 00:12 UTC | Assertio Therapeutics, Inc DEPO · Entity 149352 | GrantRestricted Stock Units · Derivative | 40,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-17-005722 · edgar.xml · derivative · entry 2 Moretti August J · CIK 0001344412 · Chief Financial Officer & SVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Stock · 40,000 shares Expires not disclosed F3 · derivative.exercise_price: Each restricted stock unit represents the contingent right to receive one share of common stock upon vesting of the unit. F4 · derivative.exercise_date: These restricted stock units are scheduled to vest 50% on March 31, 2018 and 50% on March 31, 2019, assuming continued employment through the applicable vesting date. F4 · derivative.expiration_date: These restricted stock units are scheduled to vest 50% on March 31, 2018 and 50% on March 31, 2019, assuming continued employment through the applicable vesting date. Read SEC document |
| February 08, 2017 Filed Feb 11, 2017 00:38 UTC | Assertio Therapeutics, Inc DEPO · Entity 149352 | GrantStock Options · Derivative | 54,200 | $0.00 Strike: $17.09 | $0.00 |
DisclosureSEC source: 0001179110-17-002202 · edgar.xml · derivative · entry 2 Moretti August J · CIK 0001344412 · Chief Financial Officer & SVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,200 Underlying: Common Stock · 54,200 shares Expires 2027-02-08 F3 · derivative.exercise_date: These stock options are exercisable in 48 equal monthly installments. Read SEC document |
| February 08, 2017 Filed Feb 11, 2017 00:38 UTC | Assertio Therapeutics, Inc DEPO · Entity 149352 | GrantRestricted Stock Units · Derivative | 23,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-17-002202 · edgar.xml · derivative · entry 1 Moretti August J · CIK 0001344412 · Chief Financial Officer & SVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,000 Underlying: Common Stock · 23,000 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents the contingent right to receive one share of common stock upon vesting of the unit. F2 · derivative.exercise_date: These restricted stock units are scheduled to vest 25% on December 1, 2017, 25% on December 1, 2018, 25% on December 1, 2019, and 25% on December 1, 2020, assuming continued employment through the applicable vesting date. F2 · derivative.expiration_date: These restricted stock units are scheduled to vest 25% on December 1, 2017, 25% on December 1, 2018, 25% on December 1, 2019, and 25% on December 1, 2020, assuming continued employment through the applicable vesting date. Read SEC document |
| December 01, 2016 Filed Dec 6, 2016 23:56 UTC | Assertio Therapeutics, Inc DEPO · Entity 149352 | Tax withholdingCommon stock | 10,853 | $18.55 | $201,323.15 |
DisclosureSEC source: 0001179110-16-032498 · edgar.xml · nonDerivative · entry 1 Moretti August J · CIK 0001344412 · Chief Financial Officer & SVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,225 F1 · shares: Represents shares of restricted stock forfeited to meet the tax liability triggered by the vesting of such restricted stock. F2 · balance_after: Amount does not include any unvested restricted stock previously reported on Form 4 by the reporting person. Read SEC document |
| November 14, 2016 Filed Nov 15, 2016 21:43 UTC | Assertio Therapeutics, Inc DEPO · Entity 149352 | Exercise / conversionCommon Stock · Derivative | 5,000 | $0.00 Strike: $12.69 | $0.00 |
DisclosureSEC source: 0001179110-16-031609 · edgar.xml · derivative · entry 3 Moretti August J · CIK 0001344412 · Chief Financial Officer & SVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,741 Underlying: Common Stock · 5,000 shares Expires 2024-02-18 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_date: 57,038 stock options were granted on February 18, 2014 and were exercisable in 48 equal monthly installments. Read SEC document |
| November 14, 2016 Filed Nov 15, 2016 21:43 UTC | Assertio Therapeutics, Inc DEPO · Entity 149352 | SaleCommon Stock | 5,000 | $20.84 | $104,200.00 |
DisclosureSEC source: 0001179110-16-031609 · edgar.xml · nonDerivative · entry 2 Moretti August J · CIK 0001344412 · Chief Financial Officer & SVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,680 F1 · shares: Represents shares sold pursuant to a 10b5-1 plan adopted on March 12, 2015. F3 · price: The price reported is a weighted average price. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the shares at each price within the range set forth in this footnote. F2 · balance_after: Amount does not include any unvested restricted stock previously reported on Form 4 by the reporting person. Read SEC document |
| November 14, 2016 Filed Nov 15, 2016 21:43 UTC | Assertio Therapeutics, Inc DEPO · Entity 149352 | Exercise / conversionCommon Stock | 5,000 | $12.69 | $63,450.00 |
DisclosureSEC source: 0001179110-16-031609 · edgar.xml · nonDerivative · entry 1 Moretti August J · CIK 0001344412 · Chief Financial Officer & SVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,680 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.