person · Reporting owner
PFENNIGER RICHARD C JR
Disclosed activity across 8 companies
Sign in to followReported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| BioCardia, Inc.BCDA;BCDAW · Entity 7752 | Director | December 31, 2020 | January 06, 2021 |
| Cocrystal Pharma, Inc.COCP · Entity 7621 | Director | January 09, 2026 | January 13, 2026 |
| Fluent, Inc.FLNT · Entity 6736 | Director | June 17, 2026 | June 18, 2026 |
| GP STRATEGIES CORPGPX · Entity 134545 | Director | October 14, 2021 | October 18, 2021 |
| GeneDx Holdings Corp.WGS · Entity 1634 | Director | June 18, 2026 | June 23, 2026 |
| OPKO HEALTH, INC.OPK · Entity 4891 | Director | June 18, 2026 | June 22, 2026 |
| Wright Investors Service Holdings, Inc.WISH · Entity 8388 | Director | October 22, 2018 | October 22, 2018 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
BioCardia, Inc.
Report date December 31, 2020 · Filed January 06, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 51,970 |
Ending reported balance
After 2020-12-31 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2020-12-31 · Grant · Acquired 2,800 · Balance 48,845 F1: The award relates to vested restricted stock units ("RSUs") granted December 31, 2020, each of which represents a contingent right to receive one share of the Issuer's common stock, but for which delivery of common stock will occur the earliest of (1) the two (2) year anniversary of the grant date; (3) the Reporting Person's separation from service; (3) a change in control, as defined in the Issuer's 2016 Equity Incentive Plan; or (4) the Reporting Person's death. Row 2 · 2020-12-31 · Grant · Acquired 3,125 · Balance 51,970 F1: The award relates to vested restricted stock units ("RSUs") granted December 31, 2020, each of which represents a contingent right to receive one share of the Issuer's common stock, but for which delivery of common stock will occur the earliest of (1) the two (2) year anniversary of the grant date; (3) the Reporting Person's separation from service; (3) a change in control, as defined in the Issuer's 2016 Equity Incentive Plan; or (4) the Reporting Person's death. |
Filing footnotes · ownership attribution and instrument terms
F1: The award relates to vested restricted stock units ("RSUs") granted December 31, 2020, each of which represents a contingent right to receive one share of the Issuer's common stock, but for which delivery of common stock will occur the earliest of (1) the two (2) year anniversary of the grant date; (3) the Reporting Person's separation from service; (3) a change in control, as defined in the Issuer's 2016 Equity Incentive Plan; or (4) the Reporting Person's death.
Cocrystal Pharma, Inc.
Report date January 09, 2026 · Filed January 13, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Options (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.10 · Expires 2036-01-09 | Direct | 16,410 |
Reported balance
After 2026-01-09 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-01-09 · Grant · Acquired 16,410 · Balance 16,410 F1: The grant of the Issuer's non-qualified stock options was exempt from Section 16(b) of the Securities Exchange Act of 1934 by virtue of Rule 16b-3 promulgated thereunder, as it was approved by the Issuer's Compensation Committee of the Board of Directors. The non-qualified stock options are granted under the Issuer's 2025 Equity Incentive Plan and the exercisability shall be subject to execution of the Issuer's form of Non-Qualified Stock Option Agreement. The non-qualified stock options shall vest as follows: one-half shall vest and become exercisable on January 9, 2027 and the remaining half shall vest and become exercisable in eight equal quarterly installments commencing on March 31, 2027, subject to the Reporting Person continuing to serve as a director of the Issuer on each applicable vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: The grant of the Issuer's non-qualified stock options was exempt from Section 16(b) of the Securities Exchange Act of 1934 by virtue of Rule 16b-3 promulgated thereunder, as it was approved by the Issuer's Compensation Committee of the Board of Directors. The non-qualified stock options are granted under the Issuer's 2025 Equity Incentive Plan and the exercisability shall be subject to execution of the Issuer's form of Non-Qualified Stock Option Agreement. The non-qualified stock options shall vest as follows: one-half shall vest and become exercisable on January 9, 2027 and the remaining half shall vest and become exercisable in eight equal quarterly installments commencing on March 31, 2027, subject to the Reporting Person continuing to serve as a director of the Issuer on each applicable vesting date.
Fluent, Inc.
Report date June 17, 2026 · Filed June 18, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 120,438 |
Reported balance
After 2026-06-17 transaction · row 1
1 source rowRow 1 · 2026-06-17 · Grant · Acquired 30,096 · Balance 120,438 F1: On June 17, 2026, the Reporting Person received a grant of 30,096 restricted stock units ("RSUs") under the Issuer's 2022 Omnibus Equity Incentive Plan. The RSUs will vest in three equal annual installments, with the first installment vesting on June 17, 2027. |
Filing footnotes · ownership attribution and instrument terms
F1: On June 17, 2026, the Reporting Person received a grant of 30,096 restricted stock units ("RSUs") under the Issuer's 2022 Omnibus Equity Incentive Plan. The RSUs will vest in three equal annual installments, with the first installment vesting on June 17, 2027.
GP STRATEGIES CORP
Report date October 14, 2021 · Filed October 18, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2021-10-14 transaction · row 1
1 source rowRow 1 · 2021-10-14 · Disposition to issuer · Disposed 56,297 · Balance 0 F1: On July 15, 2021, the Issuer entered into an Agreement and Plan of Merger (the "Merger Agreement") with Learning Technologies Group plc, a public limited company incorporated in England and Wales ("LTG"), Learning Technologies Acquisition Corporation, a Delaware corporation and direct wholly owned subsidiary of LTG ("US Holdco"), and Gravity Merger Sub, Inc., a Delaware corporation and wholly owned subsidiary of US Holdco ("Merger Sub"), pursuant to which each share of common stock of the Issuer was converted into the right to receive a cash payment equal to the per share merger consideration of $20.85. |
Filing footnotes · ownership attribution and instrument terms
F1: On July 15, 2021, the Issuer entered into an Agreement and Plan of Merger (the "Merger Agreement") with Learning Technologies Group plc, a public limited company incorporated in England and Wales ("LTG"), Learning Technologies Acquisition Corporation, a Delaware corporation and direct wholly owned subsidiary of LTG ("US Holdco"), and Gravity Merger Sub, Inc., a Delaware corporation and wholly owned subsidiary of US Holdco ("Merger Sub"), pursuant to which each share of common stock of the Issuer was converted into the right to receive a cash payment equal to the per share merger consideration of $20.85.
GeneDx Holdings Corp.
Report date June 18, 2026 · Filed June 23, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | Direct | 45,082 |
Reported balance
After 2026-06-18 transaction · row 1
1 source rowRow 1 · 2026-06-18 · Exercise / conversion · Acquired 3,576 · Balance 45,082 F1: Each restricted stock unit ("RSU") represents a contingent right to receive 1 share of the Issuer's Class A Common Stock upon settlement for no consideration. |
| Restricted Stock UnitSEC Table II · derivative / convertible security | Direct | 4,248 |
Reported balance
After 2026-06-18 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2026-06-18 · Grant · Acquired 4,248 · Balance 4,248 F1: Each restricted stock unit ("RSU") represents a contingent right to receive 1 share of the Issuer's Class A Common Stock upon settlement for no consideration. F2: The entire award shall vest on the earlier of the (i) date of the 2027 annual meeting of the Issuer's stockholders, or (ii) first anniversary of the grant date, subject to the Reporting Person's continued service to the Issuer through the vesting date. These RSUs do not have an expiration date; they either vest or are cancelled prior to the vesting date. |
| Restricted Stock UnitSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2026-06-18 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2026-06-18 · Exercise / conversion · Disposed 3,576 · Balance 0 F1: Each restricted stock unit ("RSU") represents a contingent right to receive 1 share of the Issuer's Class A Common Stock upon settlement for no consideration. F3: The entire award vested or vests on the earlier of the: (i) date of the 2026 annual meeting of the Issuer's stockholders, or (ii) first anniversary of the grant date, subject to the Reporting Person's continued service to the Issuer through the vesting date. These RSUs do not have an expiration date; they either vest or are cancelled prior to the vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: Each restricted stock unit ("RSU") represents a contingent right to receive 1 share of the Issuer's Class A Common Stock upon settlement for no consideration.
F2: The entire award shall vest on the earlier of the (i) date of the 2027 annual meeting of the Issuer's stockholders, or (ii) first anniversary of the grant date, subject to the Reporting Person's continued service to the Issuer through the vesting date. These RSUs do not have an expiration date; they either vest or are cancelled prior to the vesting date.
F3: The entire award vested or vests on the earlier of the: (i) date of the 2026 annual meeting of the Issuer's stockholders, or (ii) first anniversary of the grant date, subject to the Reporting Person's continued service to the Issuer through the vesting date. These RSUs do not have an expiration date; they either vest or are cancelled prior to the vesting date.
OPKO HEALTH, INC.
Report date June 18, 2026 · Filed June 22, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.42 · Expires 2036-06-17 | Direct | 60,000 |
Reported balance
After 2026-06-18 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-06-18 · Grant · Acquired 60,000 · Balance 60,000 |
Wright Investors Service Holdings, Inc.
Report date October 22, 2018 · Filed October 22, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common stockSEC Table I · non-derivative | Direct | 458,971 |
Reported balance
After 2018-10-22 transaction · row 1
1 source rowRow 1 · 2018-10-22 · Grant · Acquired 20,313 · Balance 458,971 F1: Quarterly director's fee for the fourth fiscal quarter of 2018. F2: Closing price of Wright Investors' Service Holdings, Inc. common stock on September 30, 2018. |
Filing footnotes · ownership attribution and instrument terms
F1: Quarterly director's fee for the fourth fiscal quarter of 2018.
F2: Closing price of Wright Investors' Service Holdings, Inc. common stock on September 30, 2018.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
ASENSUS SURGICAL, INC.
Report date August 22, 2024 · Filed August 22, 2024
Section 16 reporting ended · disclosed 2024-08-22. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2024-08-22 transaction · row 1
1 source rowRow 1 · 2024-08-22 · Disposition to issuer · Disposed 189,417 · Balance 0 F1: The reported securities were disposed of pursuant to the terms of an Agreement and Plan of Merger (the "Merger Agreement"), dated as of June 6, 2024, by and among Asensus Surgical, Inc., a Delaware corporation ("Asensus"), KARL STORZ Endoscopy-America, Inc., a California corporation ("Parent"), and Karl Storz California Inc., a California corporation ("Merger Sub"), pursuant to which Merger Sub merged with and into Asensus with Asensus as the surviving corporation of the merger (the "Merger"). Upon the effective time of the Merger, the reporting person received $0.35 in cash, without interest and less applicable withholding taxes for each share of common stock. |
Filing footnotes · ownership attribution and instrument terms
F1: The reported securities were disposed of pursuant to the terms of an Agreement and Plan of Merger (the "Merger Agreement"), dated as of June 6, 2024, by and among Asensus Surgical, Inc., a Delaware corporation ("Asensus"), KARL STORZ Endoscopy-America, Inc., a California corporation ("Parent"), and Karl Storz California Inc., a California corporation ("Merger Sub"), pursuant to which Merger Sub merged with and into Asensus with Asensus as the surviving corporation of the merger (the "Merger"). Upon the effective time of the Merger, the reporting person received $0.35 in cash, without interest and less applicable withholding taxes for each share of common stock.
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 |
|---|---|---|---|---|---|---|
| August 20, 2021 Filed Aug 23, 2021 22:02 UTC | Cocrystal Pharma, Inc. COCP · Entity 7621 | PurchaseCommon Stock | 40,000 | $1.03 | $41,120.00 |
DisclosureSEC source: 0001493152-21-021048 · ownership.xml · nonDerivative · entry 1 PFENNIGER RICHARD C JR · CIK 0001200796 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 F1 · price: The price reported in Column 4 is a weighted average price. These securities were purchased in multiple transactions ranging from $1.02 to $1.03, inclusive. The reporting person undertakes to provide to Cocrystal Pharma, Inc., any security holder of Cocrystal Pharma, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares bought at each separate price within the range set forth in the preceding sentence. Read SEC document |
| July 16, 2021 Filed Jul 20, 2021 20:06 UTC | Cocrystal Pharma, Inc. COCP · Entity 7621 | GrantStock Options (Right to Buy) · Derivative | 50,000 | $0.00 Strike: $1.11 | $0.00 |
DisclosureSEC source: 0001493152-21-017325 · ownership.xml · derivative · entry 1 PFENNIGER RICHARD C JR · CIK 0001200796 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Stock · 50,000 shares Expires 2031-07-16 F1 · derivative.exercise_date: The stock options were issued pursuant to the 2015 Equity Incentive Plan and vest as follows: one-half will vest and become exercisable on July 16, 2022 and the remaining half will vest and become exercisable in eight equal quarterly installments on the last day of March, June, September, and December commencing on September 30, 2022, subject to the reporting person continuing to serve as a director of the Company on each applicable vesting date. Read SEC document |
| July 01, 2021 Filed Jul 2, 2021 19:11 UTC | ASENSUS SURGICAL, INC. ASXC · Entity 88098 | GrantCommon Stock | 13,846 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-045185 · doc4.xml · nonDerivative · entry 2 PFENNIGER RICHARD C JR · CIK 0001200796 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 99,415 F2 · shares: Represents restricted stock units ("RSUs"). Each RSU represents the right to receive one share of the Registrant's common stock. F3 · shares: Forfeiture restrictions will lapse on the RSUs on the first anniversary of the date of grant, provided that if the date of the 2022 annual meeting of stockholders is earlier, the restrictions will lapse on the date of the annual meeting F2 · price: Represents restricted stock units ("RSUs"). Each RSU represents the right to receive one share of the Registrant's common stock. Read SEC document |
| June 30, 2021 Filed Jul 1, 2021 11:41 UTC | GP STRATEGIES CORP GPX · Entity 134545 | GrantCommon Stock | 714 | $0.00 | $0.00 |
DisclosureSEC source: 0000070415-21-000097 · wf-form4_162515408378402.xml · nonDerivative · entry 1 PFENNIGER RICHARD C JR · CIK 0001200796 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,753 F1 · price: Represents a portion of the quarterly Director fees for the quarter ended June 30, 2021 paid in shares of the Registrant's Common Stock. Read SEC document |
| June 30, 2021 Filed Jul 2, 2021 19:11 UTC | ASENSUS SURGICAL, INC. ASXC · Entity 88098 | GrantCommon Stock | 5,095 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-045185 · doc4.xml · nonDerivative · entry 1 PFENNIGER RICHARD C JR · CIK 0001200796 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 85,569 F1 · security: Represents an equity award issued under the Registrant's Amended and Restated Incentive Compensation Plan in lieu of an annual cash retainer, paid quarterly in arrears for the quarter ended June 30, 2021. Read SEC document |
| June 24, 2021 Filed Jun 25, 2021 12:46 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | GrantStock Option (Right to Buy) · Derivative | 60,000 | $0.00 Strike: $3.77 | $0.00 |
DisclosureSEC source: 0001209191-21-043216 · doc4.xml · derivative · entry 1 PFENNIGER RICHARD C JR · CIK 0001200796 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,000 Underlying: Common Stock · 60,000 shares Expires 2031-06-23 Read SEC document |
| March 31, 2021 Filed Apr 2, 2021 16:37 UTC | GP STRATEGIES CORP GPX · Entity 134545 | GrantCommon Stock | 641 | $0.00 | $0.00 |
DisclosureSEC source: 0000070415-21-000052 · wf-form4_161739581060234.xml · nonDerivative · entry 1 PFENNIGER RICHARD C JR · CIK 0001200796 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,039 F1 · price: Represents a portion of the quarterly Director fees for the quarter ended March 31, 2021 paid in shares of the Registrant's Common Stock. Read SEC document |
| March 31, 2021 Filed Apr 2, 2021 18:10 UTC | ASENSUS SURGICAL, INC. ASXC · Entity 88098 | GrantCommon Stock | 4,242 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-024774 · doc4.xml · nonDerivative · entry 1 PFENNIGER RICHARD C JR · CIK 0001200796 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,474 F1 · security: Represents an equity award issued under the Registrant's Amended and Restated Incentive Compensation Plan in lieu of an annual cash retainer, paid quarterly in arrears for the quarter ended March 31, 2021. Read SEC document |
| December 31, 2020 Filed Jan 5, 2021 16:35 UTC | GP STRATEGIES CORP GPX · Entity 134545 | GrantCommon Stock | 1,744 | $0.00 | $0.00 |
DisclosureSEC source: 0000070415-21-000013 · wf-form4_160988252359332.xml · nonDerivative · entry 1 PFENNIGER RICHARD C JR · CIK 0001200796 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,398 F1 · price: Represents a portion of the quarterly Director fees for the quarter ended December 31, 2020 paid in shares of the Registrant's Common Stock. Read SEC document |
| December 31, 2020 Filed Jan 5, 2021 19:03 UTC | ASENSUS SURGICAL, INC. TRXC · Entity 88098 | GrantCommon Stock | 16,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-001607 · doc4.xml · nonDerivative · entry 1 PFENNIGER RICHARD C JR · CIK 0001200796 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 76,232 F1 · security: Represents an equity award issued under the Registrant's Amended and Restated Incentive Compensation Plan in lieu of an annual cash retainer, paid quarterly in arrears for the quarter ended December 31, 2020. Read SEC document |
| December 31, 2020 Filed Jan 6, 2021 02:52 UTC | BioCardia, Inc. BCDA;BCDAW · Entity 7752 | GrantCommon Stock | 3,125 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-21-000191 · rdgdoc.xml · nonDerivative · entry 2 PFENNIGER RICHARD C JR · CIK 0001200796 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,970 F1 · shares: The award relates to vested restricted stock units ("RSUs") granted December 31, 2020, each of which represents a contingent right to receive one share of the Issuer's common stock, but for which delivery of common stock will occur the earliest of (1) the two (2) year anniversary of the grant date; (3) the Reporting Person's separation from service; (3) a change in control, as defined in the Issuer's 2016 Equity Incentive Plan; or (4) the Reporting Person's death. Read SEC document |
| December 31, 2020 Filed Jan 6, 2021 02:52 UTC | BioCardia, Inc. BCDA;BCDAW · Entity 7752 | GrantCommon Stock | 2,800 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-21-000191 · rdgdoc.xml · nonDerivative · entry 1 PFENNIGER RICHARD C JR · CIK 0001200796 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,845 F1 · shares: The award relates to vested restricted stock units ("RSUs") granted December 31, 2020, each of which represents a contingent right to receive one share of the Issuer's common stock, but for which delivery of common stock will occur the earliest of (1) the two (2) year anniversary of the grant date; (3) the Reporting Person's separation from service; (3) a change in control, as defined in the Issuer's 2016 Equity Incentive Plan; or (4) the Reporting Person's death. Read SEC document |
| September 30, 2020 Filed Oct 2, 2020 16:33 UTC | GP STRATEGIES CORP GPX · Entity 134545 | GrantCommon Stock | 2,198 | $0.00 | $0.00 |
DisclosureSEC source: 0000070415-20-000157 · wf-form4_160167077626164.xml · nonDerivative · entry 1 PFENNIGER RICHARD C JR · CIK 0001200796 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,654 F1 · price: Represents a portion of the quarterly Director fees for the quarter ended September 30, 2020 paid in shares of the Registrant's Common Stock. Read SEC document |
| September 30, 2020 Filed Oct 2, 2020 17:41 UTC | ASENSUS SURGICAL, INC. TRXC · Entity 88098 | GrantCommon Stock | 16,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-053299 · doc4.xml · nonDerivative · entry 1 PFENNIGER RICHARD C JR · CIK 0001200796 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,732 F1 · security: Represents an equity award issued under the Registrant's Amended and Restated Incentive Compensation Plan in lieu of an annual cash retainer, paid quarterly in arrears for the quarter ended September 30, 2020. Read SEC document |
| September 30, 2020 Filed Oct 9, 2020 23:13 UTC | BioCardia, Inc. BCDA;BCDAW · Entity 7752 | GrantCommon Stock | 3,125 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-20-021022 · rdgdoc.xml · nonDerivative · entry 1 PFENNIGER RICHARD C JR · CIK 0001200796 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,045 F1 · shares: The award relates to vested restricted stock units ("RSUs") granted September 30, 2020, each of which represents a contingent right to receive one share of the Issuer's common stock, but for which delivery of common stock will occur the earliest of (1) the two (2) year anniversary of the grant date; (3) the Reporting Person's separation from service; (3) a change in control, as defined in the Issuer's 2016 Equity Incentive Plan; or (4) the Reporting Person's death. Read SEC document |
| July 24, 2020 Filed Jul 27, 2020 11:58 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | GrantStock Option (Right to Buy) · Derivative | 10,000 | $0.00 Strike: $5.30 | $0.00 |
DisclosureSEC source: 0001209191-20-043681 · doc4.xml · derivative · entry 1 PFENNIGER RICHARD C JR · CIK 0001200796 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Underlying: Common Stock · 10,000 shares Expires 2030-07-23 Read SEC document |
| June 30, 2020 Filed Jul 1, 2020 20:50 UTC | BioCardia, Inc. BCDA;BCDAW · Entity 7752 | GrantCommon Stock | 3,125 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-20-014375 · rdgdoc.xml · nonDerivative · entry 1 PFENNIGER RICHARD C JR · CIK 0001200796 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,920 F1 · shares: The award relates to vested restricted stock units ("RSUs") granted June 30, 2020, each of which represents a contingent right to receive one share of the Issuer's common stock, but for which delivery of common stock will occur the earliest of (1) the two (2) year anniversary of the grant date; (3) the Reporting Person's separation from service; (3) a change in control, as defined in the Issuer's 2016 Equity Incentive Plan; or (4) the Reporting Person's death. Read SEC document |
| June 30, 2020 Filed Jul 2, 2020 13:45 UTC | GP STRATEGIES CORP GPX · Entity 134545 | GrantCommon Stock | 2,403 | $0.00 | $0.00 |
DisclosureSEC source: 0000070415-20-000096 · wf-form4_159371190792336.xml · nonDerivative · entry 1 PFENNIGER RICHARD C JR · CIK 0001200796 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,456 F1 · price: Represents a portion of the quarterly Director fees for the quarter ended June 30, 2020 paid in shares of the Registrant's Common Stock. Read SEC document |
| June 25, 2020 Filed Jun 26, 2020 12:56 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | GrantStock Option (Right to Buy) · Derivative | 30,000 | $0.00 Strike: $2.68 | $0.00 |
DisclosureSEC source: 0001209191-20-039042 · doc4.xml · derivative · entry 1 PFENNIGER RICHARD C JR · CIK 0001200796 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 Underlying: Common Stock · 30,000 shares Expires 2030-06-24 Read SEC document |
| June 08, 2020 Filed Jun 10, 2020 20:43 UTC | ASENSUS SURGICAL, INC. TRXC · Entity 88098 | GrantStock Option · Derivative | 31,250 | $0.00 Strike: $0.82 | $0.00 |
DisclosureSEC source: 0001209191-20-035735 · doc4.xml · derivative · entry 3 PFENNIGER RICHARD C JR · CIK 0001200796 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,250 Underlying: Common Stock · 31,250 shares Expires 2027-06-08 F3 · derivative.exercise_date: The stock options will vest 25% on each of September 8, 2020, December 8, 2020, March 8, 2021 and June 8, 2021, provided that if the date of the 2021 annual meeting of stockholders is earlier, the last vesting occurs on the date of the annual meeting. Subject to acceleration of vesting in full upon consummation of a change in control of the Registrant. Read SEC document |
| June 08, 2020 Filed Jun 10, 2020 20:43 UTC | ASENSUS SURGICAL, INC. TRXC · Entity 88098 | GrantCommon Stock | 22,500 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-20-035735 · doc4.xml · nonDerivative · entry 2 PFENNIGER RICHARD C JR · CIK 0001200796 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,232 F1 · shares: Represents restricted stock units. Each restricted stock unit represents the right to receive one share of the Registrant's common stock. F2 · shares: The restricted stock units remain subject to forfeiture until the first anniversary of the date of grant or, if earlier, the date of the next annual meeting of stockholders, as long as the Reporting Person remains in continuous service during the vesting period. F1 · price: Represents restricted stock units. Each restricted stock unit represents the right to receive one share of the Registrant's common stock. Read SEC document |
| June 08, 2020 Filed Jun 10, 2020 20:43 UTC | ASENSUS SURGICAL, INC. TRXC · Entity 88098 | GrantCommon Stock | 6,213 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-20-035735 · doc4.xml · nonDerivative · entry 1 PFENNIGER RICHARD C JR · CIK 0001200796 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,732 F1 · shares: Represents restricted stock units. Each restricted stock unit represents the right to receive one share of the Registrant's common stock. F2 · shares: The restricted stock units remain subject to forfeiture until the first anniversary of the date of grant or, if earlier, the date of the next annual meeting of stockholders, as long as the Reporting Person remains in continuous service during the vesting period. F1 · price: Represents restricted stock units. Each restricted stock unit represents the right to receive one share of the Registrant's common stock. Read SEC document |
| May 08, 2020 Filed May 21, 2020 00:54 UTC | BioCardia, Inc. BCDA;BCDAW · Entity 7752 | GrantCommon Stock | 8,800 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-20-011479 · rdgdoc.xml · nonDerivative · entry 1 PFENNIGER RICHARD C JR · CIK 0001200796 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,795 F1 · shares: The award relates to vested restricted stock units ("RSUs") granted May 8, 2020, each of which represents a contingent right to receive one share of the Issuer's common stock, but for which delivery of common stock will occur the earliest of (1) the two (2) year anniversary of the grant date; (3) the Reporting Person's separation from service; (3) a change in control, as defined in the Issuer's 2016 Equity Incentive Plan; or (4) the Reporting Person's death. Read SEC document |
| April 30, 2020 Filed May 5, 2020 01:31 UTC | BioCardia, Inc. BCDA;BCDAW · Entity 7752 | GrantCommon Stock | 3,125 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-20-009335 · rdgdoc.xml · nonDerivative · entry 2 PFENNIGER RICHARD C JR · CIK 0001200796 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,995 F1 · shares: The award relates to vested restricted stock units ("RSUs") granted April 30, 2020, each of which represents a contingent right to receive one share of the Issuer's common stock, but for which delivery of common stock will occur the earliest of (i) two years from the date of grant, (ii) the date the director ceases to be a service provider, or (iii) such other date as the administrator determines under the Issuer's 2016 Equity Incentive Plan. Read SEC document |
| April 30, 2020 Filed May 5, 2020 01:31 UTC | BioCardia, Inc. BCDA;BCDAW · Entity 7752 | GrantCommon Stock | 16,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-20-009335 · rdgdoc.xml · nonDerivative · entry 1 PFENNIGER RICHARD C JR · CIK 0001200796 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,870 F1 · shares: The award relates to vested restricted stock units ("RSUs") granted April 30, 2020, each of which represents a contingent right to receive one share of the Issuer's common stock, but for which delivery of common stock will occur the earliest of (i) two years from the date of grant, (ii) the date the director ceases to be a service provider, or (iii) such other date as the administrator determines under the Issuer's 2016 Equity Incentive Plan. Read SEC document |
| March 31, 2020 Filed Apr 2, 2020 09:04 UTC | GP STRATEGIES CORP GPX · Entity 134545 | GrantCommon Stock | 1,758 | $0.00 | $0.00 |
DisclosureSEC source: 0000070415-20-000056 · wf-form4_158583265554013.xml · nonDerivative · entry 1 PFENNIGER RICHARD C JR · CIK 0001200796 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,053 F1 · price: Represents a portion of the quarterly Director fees for the quarter ended March 31, 2020 paid in shares of the Registrant's Common Stock. Read SEC document |
| January 13, 2020 Filed Feb 11, 2020 02:19 UTC | BioCardia, Inc. BCDA;BCDAW · Entity 7752 | Exercise / conversionRestricted Stock Units · Derivative | 567 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-20-002227 · rdgdoc.xml · derivative · entry 2 PFENNIGER RICHARD C JR · CIK 0001200796 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 567 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. F4 · derivative.exercise_date: On January 13, 2017, the reporting person was granted 184,000 RSUs (1,703 after the 1-for-9 reverse stock split effective May 7, 2019 and the 1-for-12 reverse split effective November 2, 2017), of which the final 567 remaining under the grant vested on January 13, 2020. The common stock into which such vested RSUs converted on January 13, 2020 is reported on Table I of this Form 4. F4 · derivative.expiration_date: On January 13, 2017, the reporting person was granted 184,000 RSUs (1,703 after the 1-for-9 reverse stock split effective May 7, 2019 and the 1-for-12 reverse split effective November 2, 2017), of which the final 567 remaining under the grant vested on January 13, 2020. The common stock into which such vested RSUs converted on January 13, 2020 is reported on Table I of this Form 4. Read SEC document |
| January 13, 2020 Filed Feb 11, 2020 02:19 UTC | BioCardia, Inc. BCDA;BCDAW · Entity 7752 | Exercise / conversionCommon Stock | 567 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001437749-20-002227 · rdgdoc.xml · nonDerivative · entry 1 PFENNIGER RICHARD C JR · CIK 0001200796 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,870 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 · kind: Represents the conversion upon vesting of restricted stock units ("RSUs") into common stock. On January 13, 2017, the reporting person was granted 184,000 RSUs (1,703 after the 1-for-9 reverse stock split effective May 7, 2019 and the 1-for-12 reverse split effective November 2, 2017) that were previously reported on Table II of Form 4, which form was filed with the Securities and Exchange Commission (the "SEC") on January 18, 2017. F2 · price: The converted RSU corresponds to a 1:1 common stock issuance. Read SEC document |
| December 30, 2019 Filed Jan 2, 2020 14:15 UTC | GP STRATEGIES CORP GPX · Entity 134545 | GrantCommon Stock | 859 | $0.00 | $0.00 |
DisclosureSEC source: 0000070415-20-000008 · wf-form4_157799249037352.xml · nonDerivative · entry 1 PFENNIGER RICHARD C JR · CIK 0001200796 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,295 F1 · price: Represents a portion of the quarterly Director fees for the quarter ended December 31, 2019 paid in shares of the Registrant's Common Stock. Read SEC document |
| October 25, 2019 Filed Oct 25, 2019 20:11 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 25,000 | $1.45 | $36,242.50 |
DisclosureSEC source: 0001209191-19-054095 · doc4.xml · nonDerivative · entry 1 PFENNIGER RICHARD C JR · CIK 0001200796 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 275,000 Read SEC document |
| September 30, 2019 Filed Oct 4, 2019 16:14 UTC | GP STRATEGIES CORP GPX · Entity 134545 | GrantCommon Stock | 847 | $0.00 | $0.00 |
DisclosureSEC source: 0000070415-19-000115 · wf-form4_157022002889194.xml · nonDerivative · entry 1 PFENNIGER RICHARD C JR · CIK 0001200796 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,436 F1 · price: Represents a portion of the quarterly Director fees for the quarter ended September 30, 2019 paid in shares of the Registrant's Common Stock. Read SEC document |
| July 26, 2019 Filed Aug 23, 2019 10:27 UTC | BioCardia, Inc. BCDA;BCDAW · Entity 7752 | Exercise / conversionRestricted Stock Units · Derivative | 3,594 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001437749-19-017330 · rdgdoc.xml · derivative · entry 4 PFENNIGER RICHARD C JR · CIK 0001200796 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 567 Underlying: Common Stock · 3,594 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. F6 · derivative.exercise_date: On July 26, 2018, the reporting person was granted 32,353 RSUs (3,594 after the 1-for-9 reverse split effective May 7, 2019), which vested on July 26, 2019. The common stock into which such vested RSUs converted on July 26, 2019 is reported on Table I of this Form 4. F6 · derivative.expiration_date: On July 26, 2018, the reporting person was granted 32,353 RSUs (3,594 after the 1-for-9 reverse split effective May 7, 2019), which vested on July 26, 2019. The common stock into which such vested RSUs converted on July 26, 2019 is reported on Table I of this Form 4. Read SEC document |
| July 26, 2019 Filed Aug 23, 2019 10:27 UTC | BioCardia, Inc. BCDA;BCDAW · Entity 7752 | Exercise / conversionCommon Stock | 3,594 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-19-017330 · rdgdoc.xml · nonDerivative · entry 2 PFENNIGER RICHARD C JR · CIK 0001200796 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,303 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 · kind: Represents the conversion upon vesting of RSUs into common stock. On July 26, 2018, the reporting person was granted 32,353 RSUs (3,594 after the 1-for-9 reverse split effective May 7, 2019) that were previously reported on Table II of Form 4, which form was filed with the SEC on September 26, 2018. F3 · price: The converted RSU corresponds to a 1:1 common stock issuance. Read SEC document |
| June 28, 2019 Filed Jul 2, 2019 16:54 UTC | GP STRATEGIES CORP GPX · Entity 134545 | GrantCommon Stock | 781 | $0.00 | $0.00 |
DisclosureSEC source: 0000070415-19-000088 · wf-form4_156210086551881.xml · nonDerivative · entry 1 PFENNIGER RICHARD C JR · CIK 0001200796 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,589 F1 · price: Represents a portion of the quarterly Director fees for the quarter ended June 30, 2019 paid in shares of the Registrant's Common Stock. Read SEC document |
| June 20, 2019 Filed Jun 21, 2019 10:45 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | GrantStock Option (Right to Buy) · Derivative | 30,000 | $0.00 Strike: $2.03 | $0.00 |
DisclosureSEC source: 0001209191-19-038354 · doc4.xml · derivative · entry 1 PFENNIGER RICHARD C JR · CIK 0001200796 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 Underlying: Common Stock · 30,000 shares Expires 2029-06-19 Read SEC document |
| May 22, 2019 Filed May 23, 2019 10:02 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 30,000 | $2.05 | $61,500.00 |
DisclosureSEC source: 0001209191-19-032192 · doc4.xml · nonDerivative · entry 1 PFENNIGER RICHARD C JR · CIK 0001200796 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 250,000 Read SEC document |
| May 13, 2019 Filed May 14, 2019 10:03 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 46,190 | $2.05 | $94,689.50 |
DisclosureSEC source: 0001209191-19-029507 · doc4.xml · nonDerivative · entry 4 PFENNIGER RICHARD C JR · CIK 0001200796 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 220,000 Read SEC document |
| May 13, 2019 Filed May 14, 2019 10:03 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 1,000 | $2.05 | $2,049.90 |
DisclosureSEC source: 0001209191-19-029507 · doc4.xml · nonDerivative · entry 3 PFENNIGER RICHARD C JR · CIK 0001200796 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 173,810 Read SEC document |
| May 13, 2019 Filed May 14, 2019 10:03 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 1,500 | $2.05 | $3,073.50 |
DisclosureSEC source: 0001209191-19-029507 · doc4.xml · nonDerivative · entry 2 PFENNIGER RICHARD C JR · CIK 0001200796 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 172,810 Read SEC document |
| May 13, 2019 Filed May 14, 2019 10:03 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 1,310 | $2.05 | $2,678.95 |
DisclosureSEC source: 0001209191-19-029507 · doc4.xml · nonDerivative · entry 1 PFENNIGER RICHARD C JR · CIK 0001200796 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 171,310 Read SEC document |
| April 25, 2019 Filed Apr 26, 2019 20:07 UTC | ASENSUS SURGICAL, INC. TRXC · Entity 88098 | GrantStock Option Award · Derivative | 29,104 | $0.00 Strike: $1.96 | $0.00 |
DisclosureSEC source: 0001209191-19-026321 · doc4.xml · derivative · entry 2 PFENNIGER RICHARD C JR · CIK 0001200796 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,104 Underlying: Common Stock · 29,104 shares Expires 2029-04-25 F3 · derivative.exercise_date: The vesting schedule is 25% of the stock option award on July 1, 2019, October 1, 2019, January 1, 2020 and April 1, 2020. Subject to acceleration of vesting in full upon consummation of a change in control of the registrant. Read SEC document |
| April 25, 2019 Filed Apr 26, 2019 20:07 UTC | ASENSUS SURGICAL, INC. TRXC · Entity 88098 | GrantCommon Stock | 20,380 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-19-026321 · doc4.xml · nonDerivative · entry 1 PFENNIGER RICHARD C JR · CIK 0001200796 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 188,742 F1 · shares: Represents restricted stock units. Each restricted stock unit represents the right to receive one share of the Registrant's common stock. F2 · shares: The restricted stock units remain subject to forfeiture until the first anniversary of the date of grant or, if earlier, the date of the next annual meeting of stockholders, as long as the reporting person remains in continuous service during the vesting period. F1 · price: Represents restricted stock units. Each restricted stock unit represents the right to receive one share of the Registrant's common stock. Read SEC document |
| March 29, 2019 Filed Apr 2, 2019 15:31 UTC | GP STRATEGIES CORP GPX · Entity 134545 | GrantCommon Stock | 931 | $0.00 | $0.00 |
DisclosureSEC source: 0000070415-19-000060 · wf-form4_155423346179060.xml · nonDerivative · entry 1 PFENNIGER RICHARD C JR · CIK 0001200796 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,808 F1 · price: Represents a portion of the quarterly Director fees for the quarter ended March 31, 2019 paid in shares of the Registrant's Common Stock. Read SEC document |
| January 13, 2019 Filed Aug 23, 2019 10:27 UTC | BioCardia, Inc. BCDA;BCDAW · Entity 7752 | Exercise / conversionRestricted Stock Units · Derivative | 567 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001437749-19-017330 · rdgdoc.xml · derivative · entry 3 PFENNIGER RICHARD C JR · CIK 0001200796 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,161 Underlying: Common Stock · 567 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. F5 · derivative.exercise_date: On January 13, 2017, the reporting person was granted 184,000 RSUs (1,703 after the 1-for-9 reverse stock split effective May 7, 2019 and the 1-for-12 reverse split effective November 2, 2017), of which 567 vested on January 13, 2019. The common stock into which such vested RSUs converted on January 13, 2019 is reported on Table I of this Form 4. The remaining RSUs will vest on the third one-year anniversary of the grant date, subject to the Reporting Person continuing as a service provider through such date. F5 · derivative.expiration_date: On January 13, 2017, the reporting person was granted 184,000 RSUs (1,703 after the 1-for-9 reverse stock split effective May 7, 2019 and the 1-for-12 reverse split effective November 2, 2017), of which 567 vested on January 13, 2019. The common stock into which such vested RSUs converted on January 13, 2019 is reported on Table I of this Form 4. The remaining RSUs will vest on the third one-year anniversary of the grant date, subject to the Reporting Person continuing as a service provider through such date. Read SEC document |
| January 13, 2019 Filed Aug 23, 2019 10:27 UTC | BioCardia, Inc. BCDA;BCDAW · Entity 7752 | Exercise / conversionCommon Stock | 567 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-19-017330 · rdgdoc.xml · nonDerivative · entry 1 PFENNIGER RICHARD C JR · CIK 0001200796 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,709 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 · kind: Represents the conversion upon vesting of restricted stock units ("RSUs") into common stock. On January 13, 2017, the reporting person was granted 184,000 RSUs (1,703 after the 1-for-9 reverse stock split effective May 7, 2019 and the 1-for-12 reverse split effective November 2, 2017) that were previously reported on Table II of Form 4, which form was filed with the Securities and Exchange Commission (the "SEC") on January 18, 2017. F3 · price: The converted RSU corresponds to a 1:1 common stock issuance. Read SEC document |
| December 31, 2018 Filed Jan 3, 2019 16:06 UTC | GP STRATEGIES CORP GPX · Entity 134545 | GrantCommon Stock | 500 | $0.00 | $0.00 |
DisclosureSEC source: 0000070415-19-000027 · wf-form4_154654957077036.xml · nonDerivative · entry 1 PFENNIGER RICHARD C JR · CIK 0001200796 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,877 F1 · price: Represents a portion of the quarterly Director fees for the quarter ended December 31, 2018 paid in shares of the Registrant's Common Stock. Read SEC document |
| October 22, 2018 Filed Oct 22, 2018 20:30 UTC | Wright Investors Service Holdings, Inc. WISH · Entity 8388 | GrantCommon stock | 20,313 | $0.40 | $8,125.20 |
DisclosureSEC source: 0001214659-18-006593 · marketforms-43070.xml · nonDerivative · entry 1 PFENNIGER RICHARD C JR · CIK 0001200796 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 458,971 F1 · shares: Quarterly director's fee for the fourth fiscal quarter of 2018. F2 · price: Closing price of Wright Investors' Service Holdings, Inc. common stock on September 30, 2018. Read SEC document |
| September 28, 2018 Filed Oct 2, 2018 11:25 UTC | GP STRATEGIES CORP GPX · Entity 134545 | GrantCommon Stock | 500 | $0.00 | $0.00 |
DisclosureSEC source: 0000070415-18-000138 · wf-form4_153849389079302.xml · nonDerivative · entry 1 PFENNIGER RICHARD C JR · CIK 0001200796 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,377 F1 · price: Represents a portion of the quarterly Director fees for the quarter ended September 30, 2018 paid in shares of the Registrant's Common Stock. Read SEC document |
| July 30, 2018 Filed Jul 30, 2018 20:30 UTC | Wright Investors Service Holdings, Inc. WISH · Entity 8388 | GrantCommon stock | 18,818 | $0.41 | $7,715.38 |
DisclosureSEC source: 0001214659-18-005038 · marketforms-42593.xml · nonDerivative · entry 2 PFENNIGER RICHARD C JR · CIK 0001200796 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 438,658 F3 · shares: Quarterly director's fee for the third fiscal quarter of 2018. F4 · price: Closing price of Wright Investors' Service Holdings, Inc. common stock on June 30, 2018 Read SEC document |
| July 30, 2018 Filed Jul 30, 2018 20:30 UTC | Wright Investors Service Holdings, Inc. WISH · Entity 8388 | GrantCommon stock | 17,664 | $0.46 | $8,125.44 |
DisclosureSEC source: 0001214659-18-005038 · marketforms-42593.xml · nonDerivative · entry 1 PFENNIGER RICHARD C JR · CIK 0001200796 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 419,840 F1 · shares: Quarterly director's fee for the second fiscal quarter of 2018. F2 · price: Closing price of Wright Investors' Service Holdings, Inc. common stock on March 31, 2018. 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.