Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Aravive, Inc.VSAR · Entity 114535 | COO and CFO | October 19, 2017 | October 23, 2017 |
| CRESCENT BIOPHARMA, INC.CBIO · Entity 5255 | Director · Chief Executive Officer | September 16, 2026 | September 18, 2026 |
| Dyne Therapeutics, Inc.DYN · Entity 3948 | Director · CEO & President | March 08, 2024 | March 13, 2024 |
| Kaleido Biosciences, Inc.KLDO · Entity 129745 | See Remarks | March 04, 2019 | March 04, 2019 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Aravive, Inc.
Report date October 19, 2017 · Filed October 23, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 201,269 |
Reported balance
After 2017-10-19 transaction · row 1
1 source rowRow 1 · 2017-10-19 · Sale · Disposed 1,326 · Balance 201,269 F1: Represents the number of shares required to be sold by the reporting person to cover tax withholding obligations in connection with the vesting of certain RSUs, previously reported in Table I following the date of grant. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents the number of shares required to be sold by the reporting person to cover tax withholding obligations in connection with the vesting of certain RSUs, previously reported in Table I following the date of grant.
CRESCENT BIOPHARMA, INC.
Report date September 16, 2026 · Filed September 18, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Ordinary SharesSEC Table I · non-derivative | Direct | 271,765 |
Ending reported balance
After 2026-09-18 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2026-09-16 · Sale · Disposed 1,610 · Balance 279,602 F1: Represents shares automatically sold by the Reporting Person to satisfy tax withholding obligations in connection with the settlement of restricted stock units granted to the Reporting Person on December 15, 2025 and March 17, 2025. The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 instruction adopted by the reporting person on February 28, 2026, solely with the intent to cover taxes in connection with the vesting of the restricted stock units. F2: The prices reported in Column 4 are weighted average prices. These shares were sold in multiple transactions at prices ranging from $17.10 to $19.17 on September 16, 2026 and from $16.15 to $17.23 on September 18, 2026, inclusive. 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 number of shares sold at each separate price at which the transactions were effected. Row 2 · 2026-09-18 · Sale · Disposed 7,837 · Balance 271,765 F1: Represents shares automatically sold by the Reporting Person to satisfy tax withholding obligations in connection with the settlement of restricted stock units granted to the Reporting Person on December 15, 2025 and March 17, 2025. The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 instruction adopted by the reporting person on February 28, 2026, solely with the intent to cover taxes in connection with the vesting of the restricted stock units. F2: The prices reported in Column 4 are weighted average prices. These shares were sold in multiple transactions at prices ranging from $17.10 to $19.17 on September 16, 2026 and from $16.15 to $17.23 on September 18, 2026, inclusive. 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 number of shares sold at each separate price at which the transactions were effected. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents shares automatically sold by the Reporting Person to satisfy tax withholding obligations in connection with the settlement of restricted stock units granted to the Reporting Person on December 15, 2025 and March 17, 2025. The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 instruction adopted by the reporting person on February 28, 2026, solely with the intent to cover taxes in connection with the vesting of the restricted stock units.
F2: The prices reported in Column 4 are weighted average prices. These shares were sold in multiple transactions at prices ranging from $17.10 to $19.17 on September 16, 2026 and from $16.15 to $17.23 on September 18, 2026, inclusive. 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 number of shares sold at each separate price at which the transactions were effected.
Dyne Therapeutics, Inc.
Report date March 08, 2024 · Filed March 13, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 708,316 |
Reported balance
After 2024-03-08 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2024-03-08 · Exercise / conversion · Acquired 153,931 · Balance 708,316 |
| Common StockSEC Table I · non-derivative | Direct | 917,728 |
Reported balance
After 2024-03-08 transaction · row 2
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 2 · 2024-03-08 · Exercise / conversion · Acquired 209,412 · Balance 917,728 |
| Common StockSEC Table I · non-derivative | Direct | 715,490 |
Reported balance
After 2024-03-08 transaction · row 3
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 3 · 2024-03-08 · Sale · Disposed 202,238 · Balance 715,490 F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices within the range of $25.20 to $26.19, inclusive. 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 number of shares sold at each separate price within the ranges set forth in this footnote of this Form 4. |
| Common StockSEC Table I · non-derivative | Direct | 554,820 |
Reported balance
After 2024-03-08 transaction · row 4
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 4 · 2024-03-08 · Sale · Disposed 160,670 · Balance 554,820 F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices within the range of $26.20 to $27.18, inclusive. |
| Common StockSEC Table I · non-derivative | Direct | 554,385 |
Reported balance
After 2024-03-08 transaction · row 5
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 5 · 2024-03-08 · Sale · Disposed 435 · Balance 554,385 F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices within the range of $27.27 to $27.49, inclusive. |
| Common StockSEC Table I · non-derivative | Direct | 604,385 |
Reported balance
After 2024-03-11 transaction · row 6
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 6 · 2024-03-11 · Exercise / conversion · Acquired 50,000 · Balance 604,385 |
| Common StockSEC Table I · non-derivative | Direct | 564,313 |
Reported balance
After 2024-03-11 transaction · row 7
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 7 · 2024-03-11 · Sale · Disposed 40,072 · Balance 564,313 F4: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices within the range of $25.00 to $25.75, inclusive. |
| Common StockSEC Table I · non-derivative | Direct | 554,385 |
Reported balance
After 2024-03-11 transaction · row 8
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 8 · 2024-03-11 · Sale · Disposed 9,928 · Balance 554,385 F5: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices within the range of $26.01 to $26.10, inclusive. |
| Common StockSEC Table I · non-derivative | Direct | 546,616 |
Reported balance
After 2024-03-11 transaction · row 9
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 9 · 2024-03-11 · Sale · Disposed 7,769 · Balance 546,616 F6: Represents shares automatically sold by the Reporting Person to satisfy tax withholding obligations in connection with the vesting of restricted stock units granted to the Reporting Person on December 10, 2021 and December 9, 2022. The automatic sale of the Reporting Person's shares is provided for in a restricted stock unit agreement constituting a "binding contract" consistent with the affirmative defense to liability under Rule 10b5-1 and the sale does not represent a discretionary trade by the Reporting Person. F7: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices within the range of $25.22 to $26.18, inclusive. |
| Common StockSEC Table I · non-derivative | Direct | 537,998 |
Reported balance
After 2024-03-11 transaction · row 10
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 10 · 2024-03-11 · Sale · Disposed 8,618 · Balance 537,998 F8: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices within the range of $25.68 to $26.05, inclusive. F9: Includes 513,913 unvested RSUs. |
| Stock option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.54 · Expires 2030-07-30 | Direct | 0 |
Reported balance
After 2024-03-08 transaction · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · 2024-03-08 · Exercise / conversion · Disposed 153,931 · Balance 0 F10: The option was granted on July 31, 2020, with 100% of the option to vest upon the clearance date of an IND application submitted to the FDA by the Company with respect to one of its product candidates. On July 5, 2022, in connection with the clearance by the FDA of the Company's IND application for DYNE-251, the Compensation Committee determined that the performance condition had been achieved. |
| Stock option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.54 · Expires 2030-07-30 | Direct | 133,269 |
Reported balance
After 2024-03-08 transaction · row 12
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 12 · 2024-03-08 · Exercise / conversion · Disposed 209,412 · Balance 133,269 F11: The option was granted on July 31, 2020. The shares underlying the option vest over four years in sixteen equal installments beginning on October 31, 2020. |
| Stock option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.54 · Expires 2030-07-30 | Direct | 83,269 |
Reported balance
After 2024-03-11 transaction · row 13
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 13 · 2024-03-11 · Exercise / conversion · Disposed 50,000 · Balance 83,269 F11: The option was granted on July 31, 2020. The shares underlying the option vest over four years in sixteen equal installments beginning on October 31, 2020. |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices within the range of $25.20 to $26.19, inclusive. 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 number of shares sold at each separate price within the ranges set forth in this footnote of this Form 4.
F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices within the range of $26.20 to $27.18, inclusive.
F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices within the range of $27.27 to $27.49, inclusive.
F4: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices within the range of $25.00 to $25.75, inclusive.
F5: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices within the range of $26.01 to $26.10, inclusive.
F6: Represents shares automatically sold by the Reporting Person to satisfy tax withholding obligations in connection with the vesting of restricted stock units granted to the Reporting Person on December 10, 2021 and December 9, 2022. The automatic sale of the Reporting Person's shares is provided for in a restricted stock unit agreement constituting a "binding contract" consistent with the affirmative defense to liability under Rule 10b5-1 and the sale does not represent a discretionary trade by the Reporting Person.
F7: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices within the range of $25.22 to $26.18, inclusive.
F8: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices within the range of $25.68 to $26.05, inclusive.
F9: Includes 513,913 unvested RSUs.
F10: The option was granted on July 31, 2020, with 100% of the option to vest upon the clearance date of an IND application submitted to the FDA by the Company with respect to one of its product candidates. On July 5, 2022, in connection with the clearance by the FDA of the Company's IND application for DYNE-251, the Compensation Committee determined that the performance condition had been achieved.
F11: The option was granted on July 31, 2020. The shares underlying the option vest over four years in sixteen equal installments beginning on October 31, 2020.
Kaleido Biosciences, Inc.
Report date March 04, 2019 · Filed March 04, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $15.00 · Expires 2029-03-04 | Direct | 80,000 |
Reported balance
After 2019-03-04 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2019-03-04 · Grant · Acquired 80,000 · Balance 80,000 F1: 25% of this option shall vest on January 23, 2020, with the remainder vesting in 12 equal quarterly installments thereafter. |
Filing footnotes · ownership attribution and instrument terms
F1: 25% of this option shall vest on January 23, 2020, with the remainder vesting in 12 equal quarterly installments thereafter.
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 12, 2023 Filed Jun 13, 2023 01:22 UTC | Dyne Therapeutics, Inc. DYN · Entity 3948 | Exercise / conversionCommon Stock | 171,360 | $1.03 | $176,500.80 |
DisclosureSEC source: 0001209191-23-036544 · doc4.xml · nonDerivative · entry 8 Brumm Joshua T · CIK 0001528826 · Director · See Remarks 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 441,131 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 |
| June 09, 2023 Filed Jun 13, 2023 01:22 UTC | Dyne Therapeutics, Inc. DYN · Entity 3948 | Exercise / conversionStock Option (right to buy) · Derivative | 76,582 | $0.00 Strike: $1.03 | $0.00 |
DisclosureSEC source: 0001209191-23-036544 · doc4.xml · derivative · entry 11 Brumm Joshua T · CIK 0001528826 · Director · See Remarks 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 241,079 Underlying: Common Stock · 76,582 shares Expires 2030-01-05 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. F6 · derivative.exercise_date: The option was granted on January 6, 2020. The shares underlying the option vest over four years, with 25% of the shares vesting on October 12, 2020 and the remaining shares vesting in equal quarterly installments thereafter. Read SEC document |
| June 09, 2023 Filed Jun 13, 2023 01:22 UTC | Dyne Therapeutics, Inc. DYN · Entity 3948 | SaleCommon Stock | 76,582 | $13.34 | $1,021,603.88 |
DisclosureSEC source: 0001209191-23-036544 · doc4.xml · nonDerivative · entry 7 Brumm Joshua T · CIK 0001528826 · Director · See Remarks 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 269,771 F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices within the range of $13.00 to $13.64, inclusive. Read SEC document |
| June 09, 2023 Filed Jun 13, 2023 01:22 UTC | Dyne Therapeutics, Inc. DYN · Entity 3948 | Exercise / conversionCommon Stock | 76,582 | $1.03 | $78,879.46 |
DisclosureSEC source: 0001209191-23-036544 · doc4.xml · nonDerivative · entry 6 Brumm Joshua T · CIK 0001528826 · Director · See Remarks 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 346,353 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 |
| June 08, 2023 Filed Jun 13, 2023 01:22 UTC | Dyne Therapeutics, Inc. DYN · Entity 3948 | Exercise / conversionStock Option (right to buy) · Derivative | 30,088 | $0.00 Strike: $1.03 | $0.00 |
DisclosureSEC source: 0001209191-23-036544 · doc4.xml · derivative · entry 10 Brumm Joshua T · CIK 0001528826 · Director · See Remarks 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 317,661 Underlying: Common Stock · 30,088 shares Expires 2030-01-05 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. F6 · derivative.exercise_date: The option was granted on January 6, 2020. The shares underlying the option vest over four years, with 25% of the shares vesting on October 12, 2020 and the remaining shares vesting in equal quarterly installments thereafter. Read SEC document |
| June 08, 2023 Filed Jun 13, 2023 01:22 UTC | Dyne Therapeutics, Inc. DYN · Entity 3948 | SaleCommon Stock | 14,189 | $13.47 | $191,125.83 |
DisclosureSEC source: 0001209191-23-036544 · doc4.xml · nonDerivative · entry 5 Brumm Joshua T · CIK 0001528826 · Director · See Remarks 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 269,771 F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices within the range of $13.24 to $14.22, inclusive. Read SEC document |
| June 08, 2023 Filed Jun 13, 2023 01:22 UTC | Dyne Therapeutics, Inc. DYN · Entity 3948 | SaleCommon Stock | 46,811 | $13.15 | $615,564.65 |
DisclosureSEC source: 0001209191-23-036544 · doc4.xml · nonDerivative · entry 4 Brumm Joshua T · CIK 0001528826 · Director · See Remarks 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 283,960 F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices within the range of $13.10 to $13.23, inclusive. 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 number of shares sold at each separate price within the ranges set forth in footnotes (1) and (2) of this Form 4. Read SEC document |
| June 08, 2023 Filed Jun 13, 2023 01:22 UTC | Dyne Therapeutics, Inc. DYN · Entity 3948 | Exercise / conversionCommon Stock | 30,088 | $1.03 | $30,990.64 |
DisclosureSEC source: 0001209191-23-036544 · doc4.xml · nonDerivative · entry 3 Brumm Joshua T · CIK 0001528826 · Director · See Remarks 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 330,771 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 |
| June 08, 2023 Filed Jun 13, 2023 01:22 UTC | Dyne Therapeutics, Inc. DYN · Entity 3948 | GiftCommon Stock | 1,800 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-23-036544 · doc4.xml · nonDerivative · entry 2 Brumm Joshua T · CIK 0001528826 · Director · See Remarks 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 300,683 F1 · kind: This transaction was a charitable donation to a third party effective June 8, 2023 in which no value was received in return. Read SEC document |
| June 08, 2023 Filed Jun 13, 2023 01:22 UTC | Dyne Therapeutics, Inc. DYN · Entity 3948 | GiftCommon Stock | 20,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-23-036544 · doc4.xml · nonDerivative · entry 1 Brumm Joshua T · CIK 0001528826 · Director · See Remarks 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 302,483 F1 · kind: This transaction was a charitable donation to a third party effective June 8, 2023 in which no value was received in return. Read SEC document |
| March 14, 2023 Filed Mar 15, 2023 21:49 UTC | Dyne Therapeutics, Inc. DYN · Entity 3948 | SaleCommon Stock | 7,318 | $13.33 | $97,548.94 |
DisclosureSEC source: 0001209191-23-018978 · doc4.xml · nonDerivative · entry 1 Brumm Joshua T · CIK 0001528826 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 322,483 F1 · shares: Represents shares automatically sold by the Reporting Person to satisfy tax withholding obligations in connection with the vesting of restricted stock units granted to the Reporting Person on December 10, 2021 and December 9, 2022. The automatic sale of the Reporting Person's shares is provided for in a restricted stock unit agreement constituting a "binding contract" consistent with the affirmative defense to liability under Rule 10b5-1 and the sale does not represent a discretionary trade by the Reporting Person. F2 · balance_after: Includes 269,770 unvested RSUs. Read SEC document |
| December 12, 2022 Filed Dec 13, 2022 22:04 UTC | Dyne Therapeutics, Inc. DYN · Entity 3948 | SaleCommon Stock | 3,322 | $10.87 | $36,110.14 |
DisclosureSEC source: 0001209191-22-060966 · doc4.xml · nonDerivative · entry 2 Brumm Joshua T · CIK 0001528826 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 329,801 F3 · shares: Represents shares automatically sold by the Reporting Person to satisfy tax withholding obligations in connection with the vesting of restricted stock units granted to the Reporting Person on December 10, 2021. The automatic sale of the Reporting Person's shares is provided for in a restricted stock unit agreement constituting a "binding contract" consistent with the affirmative defense to liability under Rule 10b5-1 and the sale does not represent a discretionary trade by the Reporting Person. F4 · balance_after: Includes 286,157 unvested RSUs. Read SEC document |
| December 09, 2022 Filed Dec 13, 2022 22:04 UTC | Dyne Therapeutics, Inc. DYN · Entity 3948 | GrantStock Option (right to buy) · Derivative | 222,000 | $0.00 Strike: $10.72 | $0.00 |
DisclosureSEC source: 0001209191-22-060966 · doc4.xml · derivative · entry 3 Brumm Joshua T · CIK 0001528826 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 222,000 Underlying: Common Stock · 222,000 shares Expires 2032-12-08 F5 · derivative.exercise_date: This option was granted on December 9, 2022. The shares underlying the option are scheduled to vest over four years in equal monthly installments through December 10, 2026. Read SEC document |
| December 09, 2022 Filed Dec 13, 2022 22:04 UTC | Dyne Therapeutics, Inc. DYN · Entity 3948 | GrantCommon Stock | 144,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-060966 · doc4.xml · nonDerivative · entry 1 Brumm Joshua T · CIK 0001528826 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 333,123 F1 · shares: Consists of shares of Common Stock issuable under 144,000 restricted stock units ("RSUs"). Each RSU represents the right to receive one share of Common Stock upon vesting. These RSUs are scheduled to vest in equal quarterly installments over four years with the first installment vesting on March 10, 2023. F2 · balance_after: Includes 293,544 unvested RSUs. Read SEC document |
| October 10, 2022 Filed Oct 11, 2022 13:00 UTC | Dyne Therapeutics, Inc. DYN · Entity 3948 | Exercise / conversionStock Option (right to buy) · Derivative | 195,800 | $0.00 Strike: $1.03 | $0.00 |
DisclosureSEC source: 0001209191-22-053212 · doc4.xml · derivative · entry 8 Brumm Joshua T · CIK 0001528826 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 347,749 Underlying: Common Stock · 195,800 shares Expires 2030-01-05 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: The option was granted on January 6, 2020. The shares underlying the option vest over four years, with 25% of the shares vesting on October 12, 2020 and the remaining shares vesting in equal quarterly installments thereafter. Read SEC document |
| October 10, 2022 Filed Oct 11, 2022 13:00 UTC | Dyne Therapeutics, Inc. DYN · Entity 3948 | GiftCommon Stock | 2,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-053212 · doc4.xml · nonDerivative · entry 6 Brumm Joshua T · CIK 0001528826 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 189,123 F3 · kind: This transaction was a charitable donation to a third party effective October 10, 2022 in which no value was received in return. Read SEC document |
| October 10, 2022 Filed Oct 11, 2022 13:00 UTC | Dyne Therapeutics, Inc. DYN · Entity 3948 | GiftCommon Stock | 13,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-053212 · doc4.xml · nonDerivative · entry 5 Brumm Joshua T · CIK 0001528826 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 191,623 F3 · kind: This transaction was a charitable donation to a third party effective October 10, 2022 in which no value was received in return. Read SEC document |
| October 10, 2022 Filed Oct 11, 2022 13:00 UTC | Dyne Therapeutics, Inc. DYN · Entity 3948 | SaleCommon Stock | 195,800 | $12.46 | $2,439,668.00 |
DisclosureSEC source: 0001209191-22-053212 · doc4.xml · nonDerivative · entry 4 Brumm Joshua T · CIK 0001528826 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 204,623 F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices within the range of $12.30 to $12.91, inclusive. Read SEC document |
| October 10, 2022 Filed Oct 11, 2022 13:00 UTC | Dyne Therapeutics, Inc. DYN · Entity 3948 | Exercise / conversionCommon Stock | 195,800 | $1.03 | $201,674.00 |
DisclosureSEC source: 0001209191-22-053212 · doc4.xml · nonDerivative · entry 3 Brumm Joshua T · CIK 0001528826 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 400,423 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 |
| October 07, 2022 Filed Oct 11, 2022 13:00 UTC | Dyne Therapeutics, Inc. DYN · Entity 3948 | Exercise / conversionStock Option (right to buy) · Derivative | 14,200 | $0.00 Strike: $1.03 | $0.00 |
DisclosureSEC source: 0001209191-22-053212 · doc4.xml · derivative · entry 7 Brumm Joshua T · CIK 0001528826 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 543,549 Underlying: Common Stock · 14,200 shares Expires 2030-01-05 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: The option was granted on January 6, 2020. The shares underlying the option vest over four years, with 25% of the shares vesting on October 12, 2020 and the remaining shares vesting in equal quarterly installments thereafter. Read SEC document |
| October 07, 2022 Filed Oct 11, 2022 13:00 UTC | Dyne Therapeutics, Inc. DYN · Entity 3948 | SaleCommon Stock | 14,200 | $13.37 | $189,854.00 |
DisclosureSEC source: 0001209191-22-053212 · doc4.xml · nonDerivative · entry 2 Brumm Joshua T · CIK 0001528826 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 204,623 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices within the range of $12.70 to $13.50, inclusive. 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 number of shares sold at each separate price within the ranges set forth in footnotes (1) and (2) of this Form 4. Read SEC document |
| October 07, 2022 Filed Oct 11, 2022 13:00 UTC | Dyne Therapeutics, Inc. DYN · Entity 3948 | Exercise / conversionCommon Stock | 14,200 | $1.03 | $14,626.00 |
DisclosureSEC source: 0001209191-22-053212 · doc4.xml · nonDerivative · entry 1 Brumm Joshua T · CIK 0001528826 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 218,823 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 |
| September 20, 2022 Filed Sep 21, 2022 20:07 UTC | Dyne Therapeutics, Inc. DYN · Entity 3948 | Disposition to issuerCommon Stock | 11,836 | $13.70 | $162,153.20 |
DisclosureSEC source: 0001209191-22-050884 · doc4.xml · nonDerivative · entry 1 Brumm Joshua T · CIK 0001528826 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 204,623 F1 · shares: Represents shares automatically sold by the Reporting Person to satisfy tax withholding obligations in connection with the vesting of restricted stock units granted to the Reporting Person on September 17, 2020. The automatic sale of the Reporting Person's shares is provided for in a restricted stock unit agreement constituting a "binding contract" consistent with the affirmative defense to liability under Rule 10b5-1 and the sale does not represent a discretionary trade by the Reporting Person. F2 · price: The price reported in Column 4 is a weighted average price that represents the price of all shares sold by a broker on September 20, 2022 to satisfy tax withholding obligations. These shares were sold in multiple transactions at prices within the range of $13.70 to $13.81, inclusive. 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 number of shares sold at each separate price within the range(s) set forth in this footnote of this Form 4. F3 · balance_after: Includes 149,544 unvested RSUs. Read SEC document |
| September 15, 2022 Filed Sep 15, 2022 21:25 UTC | Dyne Therapeutics, Inc. DYN · Entity 3948 | Disposition to issuerCommon Stock | 3,480 | $14.05 | $48,894.00 |
DisclosureSEC source: 0001209191-22-050119 · doc4.xml · nonDerivative · entry 1 Brumm Joshua T · CIK 0001528826 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 216,459 F1 · shares: Represents shares automatically sold by the Reporting Person to satisfy tax withholding obligations in connection with the vesting of restricted stock units granted to the Reporting Person on December 10, 2021. The automatic sale of the Reporting Person's shares is provided for in a restricted stock unit agreement constituting a "binding contract" consistent with the affirmative defense to liability under Rule 10b5-1 and the sale does not represent a discretionary trade by the Reporting Person. F2 · price: The price reported in Column 4 is a weighted average price that represents the price of all shares sold by a broker on September 15, 2022 to satisfy tax withholding obligations. These shares were sold in multiple transactions at prices within the range of $14.05 to $14.18, inclusive. 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 number of shares sold at each separate price within the range(s) set forth in this footnote of this Form 4. F3 · balance_after: Includes 176,301 unvested RSUs. Read SEC document |
| July 06, 2022 Filed Jul 6, 2022 22:18 UTC | Dyne Therapeutics, Inc. DYN · Entity 3948 | Disposition to issuerCommon Stock | 10,963 | $8.24 | $90,335.12 |
DisclosureSEC source: 0001209191-22-041330 · doc4.xml · nonDerivative · entry 2 Brumm Joshua T · CIK 0001528826 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 219,939 F3 · shares: Represents shares automatically sold by the Reporting Person to satisfy tax withholding obligations in connection with the vesting of PRSUs granted to the Reporting Person on September 17, 2020. The automatic sale of the Reporting Person's shares is provided for in a restricted stock unit agreement constituting a "binding contract" consistent with the affirmative defense to liability under Rule 10b5-1 and the sale does not represent a discretionary trade by the Reporting Person. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices within the range of $8.24 to $8.52, inclusive. 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 number of shares sold at each separate price within the range set forth in this footnote of this Form 4. F2 · balance_after: Includes 183,688 unvested RSUs. Read SEC document |
| July 05, 2022 Filed Jul 6, 2022 22:18 UTC | Dyne Therapeutics, Inc. DYN · Entity 3948 | GrantStock Option (right to buy) · Derivative | 78,386 | $0.00 Strike: $19.00 | $0.00 |
DisclosureSEC source: 0001209191-22-041330 · doc4.xml · derivative · entry 4 Brumm Joshua T · CIK 0001528826 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 78,386 Underlying: Common Stock · 78,386 shares Expires 2030-09-15 F6 · derivative.exercise_date: The option was granted on September 16, 2020, with 100% of the option to vest upon the clearance date of an IND application submitted to the FDA by the Company with respect to one of its product candidates. On July 5, 2022, in connection with the clearance by the FDA of the Company's IND application for DYNE-251, the Compensation Committee determined that the performance condition had been achieved. Read SEC document |
| July 05, 2022 Filed Jul 6, 2022 22:18 UTC | Dyne Therapeutics, Inc. DYN · Entity 3948 | GrantStock Option (right to buy) · Derivative | 153,931 | $0.00 Strike: $5.54 | $0.00 |
DisclosureSEC source: 0001209191-22-041330 · doc4.xml · derivative · entry 3 Brumm Joshua T · CIK 0001528826 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 153,931 Underlying: Common Stock · 153,931 shares Expires 2030-07-30 F5 · derivative.exercise_date: The option was granted on July 31, 2020, with 100% of the option to vest upon the clearance date of an IND application submitted to the FDA by the Company with respect to one of its product candidates. On July 5, 2022, in connection with the clearance by the FDA of the Company's IND application for DYNE-251, the Compensation Committee determined that the performance condition had been achieved. Read SEC document |
| July 05, 2022 Filed Jul 6, 2022 22:18 UTC | Dyne Therapeutics, Inc. DYN · Entity 3948 | GrantCommon Stock | 24,118 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-041330 · doc4.xml · nonDerivative · entry 1 Brumm Joshua T · CIK 0001528826 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 230,902 F1 · shares: The Performance Restricted Stock Units (PRSUs) were granted on September 17, 2020, with 100% of the PRSUs to vest upon the clearance date of an Investigational New Drug (IND) application submitted to the U.S. Food and Drug Administration (FDA) by the Company with respect to one of its product candidates. On July 5, 2022, in connection with the clearance by the FDA of the Company's IND application for DYNE-251, the Compensation Committee determined that the performance condition had been achieved. F2 · balance_after: Includes 183,688 unvested RSUs. Read SEC document |
| June 14, 2022 Filed Jun 16, 2022 00:02 UTC | Dyne Therapeutics, Inc. DYN · Entity 3948 | Disposition to issuerCommon Stock | 3,540 | $4.95 | $17,523.00 |
DisclosureSEC source: 0001209191-22-037143 · doc4.xml · nonDerivative · entry 1 Brumm Joshua T · CIK 0001528826 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 206,784 F1 · shares: Represents shares automatically sold by the Reporting Person to satisfy tax withholding obligations in connection with the vesting of restricted stock units granted to the Reporting Person on December 10, 2021. The automatic sale of the Reporting Person's shares is provided for in a restricted stock unit agreement constituting a "binding contract" consistent with the affirmative defense to liability under Rule 10b5-1 and the sale does not represent a discretionary trade by the Reporting Person. F2 · balance_after: Includes 183,688 unvested RSUs. Read SEC document |
| March 11, 2022 Filed Mar 14, 2022 21:07 UTC | Dyne Therapeutics, Inc. DYN · Entity 3948 | SaleCommon Stock | 3,384 | $8.73 | $29,542.32 |
DisclosureSEC source: 0001209191-22-018532 · doc4.xml · nonDerivative · entry 1 Brumm Joshua T · CIK 0001528826 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 210,324 F1 · shares: Represents shares automatically sold by the Reporting Person to satisfy tax withholding obligations in connection with the vesting of restricted stock units granted to the Reporting Person on December 10, 2021. The automatic sale of the Reporting Person's shares is provided for in a restricted stock unit agreement constituting a "binding contract" consistent with the affirmative defense to liability under Rule 10b5-1 and the sale does not represent a discretionary trade by the Reporting Person. F2 · price: The price reported in Column 4 is a weighted average price that represents the price of all shares sold by a broker on March 11, 2022 to satisfy tax withholding obligations. These shares were sold in multiple transactions at prices within the range of $8.67 to $8.73, inclusive. 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 number of shares sold at each separate price within the range(s) set forth in this footnote of this Form 4. F3 · balance_after: Includes 191,074 unvested RSUs. Read SEC document |
| December 10, 2021 Filed Dec 14, 2021 21:20 UTC | Dyne Therapeutics, Inc. DYN · Entity 3948 | GrantStock Option (right to buy) · Derivative | 177,285 | $0.00 Strike: $13.12 | $0.00 |
DisclosureSEC source: 0001209191-21-069420 · doc4.xml · derivative · entry 2 Brumm Joshua T · CIK 0001528826 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 177,285 Underlying: Common Stock · 177,285 shares Expires 2031-12-09 F3 · derivative.exercise_date: This option was granted on December 10, 2021. The shares underlying the option are scheduled to vest over four years in equal monthly installments through December 10, 2025. Read SEC document |
| December 10, 2021 Filed Dec 14, 2021 21:20 UTC | Dyne Therapeutics, Inc. DYN · Entity 3948 | GrantCommon Stock | 118,190 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-069420 · doc4.xml · nonDerivative · entry 1 Brumm Joshua T · CIK 0001528826 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 213,708 F1 · shares: Consists of shares of Common Stock issuable under 118,190 restricted stock units ("RSUs"). Each RSU represents the right to receive one share of Common Stock upon vesting. These RSUs are scheduled to vest in equal quarterly installments over four years with the first installment vesting on March 10, 2022. F2 · balance_after: Includes 198,460 unvested RSUs. Each unvested RSU represents the right to receive one share of Common Stock upon vesting. Read SEC document |
| October 01, 2021 Filed Oct 4, 2021 21:03 UTC | Dyne Therapeutics, Inc. DYN · Entity 3948 | GiftCommon Stock | 3,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-059052 · doc4.xml · nonDerivative · entry 1 Brumm Joshua T · CIK 0001528826 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 95,518 F1 · kind: This transaction was a charitable donation to a third party effective October 1, 2021 in which no value was received in return. F2 · balance_after: Includes 80,270 unvested RSUs. Read SEC document |
| September 21, 2021 Filed Sep 23, 2021 00:02 UTC | Dyne Therapeutics, Inc. DYN · Entity 3948 | SaleCommon Stock | 4,584 | $16.11 | $73,848.24 |
DisclosureSEC source: 0001209191-21-057324 · doc4.xml · nonDerivative · entry 2 Brumm Joshua T · CIK 0001528826 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 99,018 F1 · shares: Represents shares automatically sold by the Reporting Person to satisfy tax withholding obligations in connection with the vesting of restricted stock units granted to the Reporting Person on September 17, 2020. The automatic sale of the Reporting Person's shares is provided for in a restricted stock unit agreement constituting a "binding contract" consistent with the affirmative defense to liability under Rule 10b5-1 and the sale does not represent a discretionary trade by the Reporting Person. F4 · price: The price reported in Column 4 is a weighted average price that represents the price of all shares sold by a broker on September 21, 2021 on behalf of a group of employees of the issuer to satisfy tax withholding obligations. These shares were sold in multiple transactions at prices within the range of $15.87 to $16.36, inclusive. F3 · balance_after: Includes 80,270 unvested RSUs. Read SEC document |
| September 20, 2021 Filed Sep 23, 2021 00:02 UTC | Dyne Therapeutics, Inc. DYN · Entity 3948 | SaleCommon Stock | 3,425 | $15.61 | $53,464.25 |
DisclosureSEC source: 0001209191-21-057324 · doc4.xml · nonDerivative · entry 1 Brumm Joshua T · CIK 0001528826 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 103,602 F1 · shares: Represents shares automatically sold by the Reporting Person to satisfy tax withholding obligations in connection with the vesting of restricted stock units granted to the Reporting Person on September 17, 2020. The automatic sale of the Reporting Person's shares is provided for in a restricted stock unit agreement constituting a "binding contract" consistent with the affirmative defense to liability under Rule 10b5-1 and the sale does not represent a discretionary trade by the Reporting Person. F2 · price: The price reported in Column 4 is a weighted average price that represents the price of all shares sold by a broker on September 20, 2021 on behalf of a group of employees of the issuer to satisfy tax withholding obligations. These shares were sold in multiple transactions at prices within the range of $15.22 to $16.01, inclusive. 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 number of shares sold at each separate price within the range(s) set forth in footnote (2) and (4) of this Form 4. F3 · balance_after: Includes 80,270 unvested RSUs. Read SEC document |
| September 17, 2020 Filed Sep 18, 2020 21:11 UTC | Dyne Therapeutics, Inc. DYN · Entity 3948 | GrantCommon Stock | 107,027 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-20-025736 · doc4.xml · nonDerivative · entry 1 Brumm Joshua T · CIK 0001528826 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 107,027 F1 · shares: Consists of shares of Common Stock issuable under 107,027 restricted stock units ("RSUs"). Each RSU represents the right to receive one share of Common Stock upon vesting. These RSUs are scheduled to vest in equal annual installments over four years with the first installment vesting on September 17, 2021. Read SEC document |
| September 16, 2020 Filed Sep 18, 2020 21:11 UTC | Dyne Therapeutics, Inc. DYN · Entity 3948 | GrantStock Option (right to buy) · Derivative | 320,781 | $0.00 Strike: $19.00 | $0.00 |
DisclosureSEC source: 0000899243-20-025736 · doc4.xml · derivative · entry 2 Brumm Joshua T · CIK 0001528826 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 320,781 Underlying: Common Stock · 320,781 shares Expires 2030-09-15 F2 · derivative.exercise_date: This option was granted on September 16, 2020. The shares underlying the option are scheduled to vest over four years in equal monthly installments through September 16, 2024. Read SEC document |
| March 04, 2019 Filed Mar 4, 2019 20:10 UTC | Kaleido Biosciences, Inc. KLDO · Entity 129745 | GrantStock Option (Right to Buy) · Derivative | 80,000 | $0.00 Strike: $15.00 | $0.00 |
DisclosureSEC source: 0000899243-19-005958 · doc4.xml · derivative · entry 1 Brumm Joshua T · CIK 0001528826 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,000 Underlying: Common Stock · 80,000 shares Expires 2029-03-04 F1 · derivative.exercise_date: 25% of this option shall vest on January 23, 2020, with the remainder vesting in 12 equal quarterly installments thereafter. Read SEC document |
| October 19, 2017 Filed Oct 23, 2017 16:58 UTC | Aravive, Inc. VSAR · Entity 114535 | SaleCommon Stock | 1,326 | $2.55 | $3,381.30 |
DisclosureSEC source: 0001209191-17-057760 · doc4.xml · nonDerivative · entry 1 Brumm Joshua T · CIK 0001528826 · COO and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 201,269 F1 · shares: Represents the number of shares required to be sold by the reporting person to cover tax withholding obligations in connection with the vesting of certain RSUs, previously reported in Table I following the date of grant. Read SEC document |
| October 06, 2017 Filed Oct 10, 2017 20:06 UTC | Aravive, Inc. VSAR · Entity 114535 | GrantCommon Stock | 97,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-056563 · doc4.xml · nonDerivative · entry 1 Brumm Joshua T · CIK 0001528826 · COO and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 202,595 F1 · shares: Represents the grant of Restricted Stock Units that vest as follows: 50% of the shares vest on each of October 6, 2018 and October 6, 2019. Read SEC document |
| June 13, 2017 Filed Jun 14, 2017 18:50 UTC | Aravive, Inc. VSAR · Entity 114535 | SaleCommon Stock | 1,421 | $16.05 | $22,807.05 |
DisclosureSEC source: 0001209191-17-039940 · doc4.xml · nonDerivative · entry 1 Brumm Joshua T · CIK 0001528826 · COO and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 105,595 F1 · shares: Represents the number of shares required to be sold by the reporting person to cover tax withholding obligations in connection with the vesting of certain RSUs, previously reported in Table I following the date of grant. Read SEC document |
| May 16, 2017 Filed May 17, 2017 18:29 UTC | Aravive, Inc. VSAR · Entity 114535 | SaleCommon Stock | 1,263 | $17.40 | $21,976.20 |
DisclosureSEC source: 0001209191-17-033381 · doc4.xml · nonDerivative · entry 1 Brumm Joshua T · CIK 0001528826 · COO and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 107,016 F1 · kind: Sale to cover taxes associated with RSU vesting. F2 · balance_after: Includes 2,500 shares purchased on 5/15/2017 pursuant to the issuer's employee stock purchase plan. Read SEC document |
| February 24, 2017 Filed Feb 28, 2017 19:33 UTC | Aravive, Inc. VSAR · Entity 114535 | Exercise / conversionStock Option (Right to Buy) · Derivative | 30,000 | $0.00 Strike: $2.53 | $0.00 |
DisclosureSEC source: 0001209191-17-015520 · doc4.xml · derivative · entry 5 Brumm Joshua T · CIK 0001528826 · COO and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 122,108 Underlying: Common Stock · 30,000 shares Expires 2023-12-04 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. F5 · derivative.exercise_date: Twenty-Five percent of the shares subject to the option became exercisable one year from 11/12/2013; the remainder become exercisable in equal monthly installments over the following three years. Read SEC document |
| February 24, 2017 Filed Feb 28, 2017 19:33 UTC | Aravive, Inc. VSAR · Entity 114535 | SaleCommon Stock | 5,653 | $22.05 | $124,648.65 |
DisclosureSEC source: 0001209191-17-015520 · doc4.xml · nonDerivative · entry 4 Brumm Joshua T · CIK 0001528826 · COO and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 105,779 F1 · kind: Shares sold pursuant to a 10b5-1 trading plan. F4 · price: The shares were sold at prices ranging from $21.90 to $22.40. The reporting person will provide upon request to the SEC, the issuer or security holder of the issuer, full information regarding the number of shares sold at each price. Read SEC document |
| February 24, 2017 Filed Feb 28, 2017 19:33 UTC | Aravive, Inc. VSAR · Entity 114535 | SaleCommon Stock | 6,008 | $21.46 | $128,931.68 |
DisclosureSEC source: 0001209191-17-015520 · doc4.xml · nonDerivative · entry 3 Brumm Joshua T · CIK 0001528826 · COO and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 111,432 F1 · kind: Shares sold pursuant to a 10b5-1 trading plan. F3 · price: The shares were sold at prices ranging from $20.90 to $21.85. The reporting person will provide upon request to the SEC, the issuer or security holder of the issuer, full information regarding the number of shares sold at each price. Read SEC document |
| February 24, 2017 Filed Feb 28, 2017 19:33 UTC | Aravive, Inc. VSAR · Entity 114535 | SaleCommon Stock | 18,339 | $20.42 | $374,482.38 |
DisclosureSEC source: 0001209191-17-015520 · doc4.xml · nonDerivative · entry 2 Brumm Joshua T · CIK 0001528826 · COO and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 117,440 F1 · kind: Shares sold pursuant to a 10b5-1 trading plan. F2 · price: The shares were sold at prices ranging from $19.90 to $20.85. The reporting person will provide upon request to the SEC, the issuer or security holder of the issuer, full information regarding the number of shares sold at each price. Read SEC document |
| February 24, 2017 Filed Feb 28, 2017 19:33 UTC | Aravive, Inc. VSAR · Entity 114535 | Exercise / conversionCommon Stock | 30,000 | $2.53 | $75,900.00 |
DisclosureSEC source: 0001209191-17-015520 · doc4.xml · nonDerivative · entry 1 Brumm Joshua T · CIK 0001528826 · COO and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 135,779 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 |
| January 30, 2017 Filed Jan 31, 2017 20:36 UTC | Aravive, Inc. VSAR · Entity 114535 | SaleCommon Stock | 2,945 | $13.85 | $40,794.14 |
DisclosureSEC source: 0001209191-17-006523 · doc4.xml · nonDerivative · entry 2 Brumm Joshua T · CIK 0001528826 · COO and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 105,779 F2 · shares: Represents the number of shares required to be sold by the reporting person to cover tax withholding obligations in connection with the vesting of certain RSUs, previously reported in Table I following the date of grant. Read SEC document |
| January 27, 2017 Filed Jan 31, 2017 20:36 UTC | Aravive, Inc. VSAR · Entity 114535 | GrantStock Option (Right to Buy) · Derivative | 65,590 | $0.00 Strike: $14.30 | $0.00 |
DisclosureSEC source: 0001209191-17-006523 · doc4.xml · derivative · entry 3 Brumm Joshua T · CIK 0001528826 · COO and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,590 Underlying: Common Stock · 65,590 shares Expires 2027-01-26 F3 · derivative.exercise_date: 1/48th of the shares subject to the option become exercisable monthly measured from the date of grant. Read SEC document |
| January 27, 2017 Filed Jan 31, 2017 20:36 UTC | Aravive, Inc. VSAR · Entity 114535 | GrantCommon Stock | 43,900 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-006523 · doc4.xml · nonDerivative · entry 1 Brumm Joshua T · CIK 0001528826 · COO and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 108,724 F1 · shares: Represents the grant of Restricted Stock Units that vest as follows: 25% of the shares subject to the award vest on each of the first, second, third and fourth anniversaries of the date of grant, respectively, subject to the officer's continuous service on each applicable vesting date. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.