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 |
|---|---|---|---|---|---|---|
| July 26, 2018 Filed Sep 27, 2018 01:17 UTC | BioCardia, Inc. BCDA · Entity 7752 | GrantRestricted Stock Units · Derivative | 32,353 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001437749-18-017507 · rdgdoc.xml · derivative · entry 5 PFENNIGER RICHARD C JR · CIK 0001200796 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,353 Underlying: Common Stock · 32,353 shares Expires not disclosed F5 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. F10 · derivative.exercise_date: The restricted stock units vest as to one hundred percent of the shares on July 26, 2019, subject to the Reporting Person continuing as a service provider through such date. Vested shares will be delivered to the Reporting Person on July 26, 2019. F10 · derivative.expiration_date: The restricted stock units vest as to one hundred percent of the shares on July 26, 2019, subject to the Reporting Person continuing as a service provider through such date. Vested shares will be delivered to the Reporting Person on July 26, 2019. Read SEC document |
| June 29, 2018 Filed Jul 3, 2018 13:14 UTC | GP STRATEGIES CORP GPX · Entity 134545 | GrantCommon Stock | 500 | $0.00 | $0.00 |
DisclosureSEC source: 0000070415-18-000096 · wf-form4_153063805397407.xml · nonDerivative · entry 1 PFENNIGER RICHARD C JR · CIK 0001200796 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,877 F1 · price: Represents a portion of the quarterly Director fees for the quarter ended June 30, 2018 paid in shares of the Registrant's Common Stock. Read SEC document |
| June 21, 2018 Filed Jun 22, 2018 20:16 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | GrantStock Option (Right to Buy) · Derivative | 30,000 | $0.00 Strike: $4.46 | $0.00 |
DisclosureSEC source: 0001209191-18-039182 · 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 2028-06-20 Read SEC document |
| June 15, 2018 Filed Sep 27, 2018 01:17 UTC | BioCardia, Inc. BCDA · Entity 7752 | Exercise / conversionRestricted Stock Units · Derivative | 9,166 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001437749-18-017507 · rdgdoc.xml · derivative · entry 4 PFENNIGER RICHARD C JR · CIK 0001200796 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 0 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 RSU is the economic equivalent of one share of BioCardia, Inc. common stock. The closing price of BCDA on June 15, 2018 was $1.40 per share. F9 · derivative.exercise_date: On June 15, 2017, the reporting person was granted 110,000 RSUs (9,166 after the 12-to-1 reverse split effective November 2, 2017), which vested on June 15, 2018. The common stock into which such vested RSUs converted on June 15, 2018 is reported on Table I of this Form 4. F9 · derivative.expiration_date: On June 15, 2017, the reporting person was granted 110,000 RSUs (9,166 after the 12-to-1 reverse split effective November 2, 2017), which vested on June 15, 2018. The common stock into which such vested RSUs converted on June 15, 2018 is reported on Table I of this Form 4. Read SEC document |
| June 15, 2018 Filed Sep 27, 2018 01:17 UTC | BioCardia, Inc. BCDA · Entity 7752 | Exercise / conversionCommon Stock | 9,166 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-18-017507 · rdgdoc.xml · nonDerivative · entry 2 PFENNIGER RICHARD C JR · CIK 0001200796 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,277 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 June 15, 2017, the reporting person was granted 110,000 RSUs (9,166 after the 12-to-1 reverse split effective November 2, 2017) that were previously reported on Table II of Form 4, which form was filed with the SEC on August 25, 2017. F7 · price: The converted RSU corresponds to a 1:1 common stock issuance. Read SEC document |
| May 24, 2018 Filed May 29, 2018 07:04 UTC | ASENSUS SURGICAL, INC. TRXC · Entity 88098 | GrantStock Option Award · Derivative | 35,592 | $0.00 Strike: $3.17 | $0.00 |
DisclosureSEC source: 0001209191-18-033660 · doc4.xml · derivative · entry 2 PFENNIGER RICHARD C JR · CIK 0001200796 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,592 Underlying: Common Stock · 35,592 shares Expires 2028-05-24 F3 · derivative.exercise_date: The vesting schedule is 25% of the stock option award on each of July 1, 2018, October 1, 2018, January 1, 2019 and April 1, 2019. Read SEC document |
| May 24, 2018 Filed May 29, 2018 07:04 UTC | ASENSUS SURGICAL, INC. TRXC · Entity 88098 | GrantCommon Stock | 20,362 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-033660 · doc4.xml · nonDerivative · entry 1 PFENNIGER RICHARD C JR · CIK 0001200796 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 168,362 F1 · security: Represents restricted stock units. Each restricted stock unit represents the right to receive one share of the Registrant's common stock. F1 · price: Represents restricted stock units. Each restricted stock unit represents the right to receive one share of the Registrant's common stock. F2 · price: 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. Read SEC document |
| March 30, 2018 Filed Apr 3, 2018 16:03 UTC | GP STRATEGIES CORP GPX · Entity 134545 | GrantCommon Stock | 500 | $0.00 | $0.00 |
DisclosureSEC source: 0000070415-18-000052 · wf-form4_152278579991921.xml · nonDerivative · entry 1 PFENNIGER RICHARD C JR · CIK 0001200796 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,377 F1 · price: Represents a portion of the quarterly Director fees for the quarter ended March 31, 2018 paid in shares of the Registrant's Common Stock. Read SEC document |
| February 12, 2018 Filed Feb 13, 2018 22:00 UTC | Wright Investors Service Holdings, Inc. WISH · Entity 8388 | GrantCommon stock | 15,625 | $0.52 | $8,125.00 |
DisclosureSEC source: 0001214659-18-001163 · marketforms-40996.xml · nonDerivative · entry 2 PFENNIGER RICHARD C JR · CIK 0001200796 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 402,176 F3 · shares: Quarterly director's fee for the first fiscal quarter of 2018. F4 · price: Closing price of Wright Investors' Service Holdings, Inc. common stock on December 31, 2017 Read SEC document |
| February 12, 2018 Filed Feb 13, 2018 22:00 UTC | Wright Investors Service Holdings, Inc. WISH · Entity 8388 | GrantCommon stock | 22,570 | $0.36 | $8,125.20 |
DisclosureSEC source: 0001214659-18-001163 · marketforms-40996.xml · nonDerivative · entry 1 PFENNIGER RICHARD C JR · CIK 0001200796 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 386,551 F1 · shares: Quarterly director's fee for the fourth fiscal quarter of 2017. F2 · price: Closing price of Wright Investors' Service Holdings, Inc. common stock on September 30, 2017. Read SEC document |
| January 13, 2018 Filed Sep 27, 2018 01:17 UTC | BioCardia, Inc. BCDA · Entity 7752 | Exercise / conversionRestricted Stock Units · Derivative | 5,111 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001437749-18-017507 · rdgdoc.xml · derivative · entry 3 PFENNIGER RICHARD C JR · CIK 0001200796 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,222 Underlying: Common Stock · 10,222 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 RSU is the economic equivalent of one share of BioCardia, Inc. common stock. The closing price of BCDA on January 12, 2018 was $2.95 per share. F8 · derivative.exercise_date: On January 13, 2017, the reporting person was granted 184,000 RSUs (15,333 after the 12-to-1 reverse split effective November 2, 2017), of which 5,111 vested on January 13, 2018. The common stock into which such vested RSUs converted on January 13, 2018 is reported on Table I of this Form 4. The remaining RSUs will continue to vest on the second and third one-year anniversary of the grant date, subject to the Reporting Person continuing as a service provider through each such date. F8 · derivative.expiration_date: On January 13, 2017, the reporting person was granted 184,000 RSUs (15,333 after the 12-to-1 reverse split effective November 2, 2017), of which 5,111 vested on January 13, 2018. The common stock into which such vested RSUs converted on January 13, 2018 is reported on Table I of this Form 4. The remaining RSUs will continue to vest on the second and third one-year anniversary of the grant date, subject to the Reporting Person continuing as a service provider through each such date. Read SEC document |
| January 13, 2018 Filed Sep 27, 2018 01:17 UTC | BioCardia, Inc. BCDA · Entity 7752 | Exercise / conversionCommon Stock | 5,111 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-18-017507 · rdgdoc.xml · nonDerivative · entry 1 PFENNIGER RICHARD C JR · CIK 0001200796 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,111 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 (15,333 after the 12-to-1 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. F6 · price: The converted RSU corresponds to a 1:1 common stock issuance. Read SEC document |
| December 29, 2017 Filed Jan 3, 2018 16:07 UTC | GP STRATEGIES CORP GPX · Entity 134545 | GrantCommon Stock | 500 | $0.00 | $0.00 |
DisclosureSEC source: 0000070415-18-000018 · wf-form4_151501365938743.xml · nonDerivative · entry 1 PFENNIGER RICHARD C JR · CIK 0001200796 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,877 F1 · price: Represents a portion of the quarterly Director fees for the quarter ended December 31, 2017 paid in shares of the Registrant's Common Stock. Read SEC document |
| September 29, 2017 Filed Oct 3, 2017 16:02 UTC | GP STRATEGIES CORP GPX · Entity 134545 | GrantCommon Stock | 500 | $0.00 | $0.00 |
DisclosureSEC source: 0000070415-17-000125 · wf-form4_150706094371531.xml · nonDerivative · entry 1 PFENNIGER RICHARD C JR · CIK 0001200796 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,377 F1 · price: Represents a portion of the quarterly Director fees for the quarter ended September 30, 2017 paid in shares of the Registrant's Common Stock. Read SEC document |
| July 25, 2017 Filed Jul 25, 2017 20:30 UTC | Wright Investors Service Holdings, Inc. WISH · Entity 8388 | GrantCommon stock | 13,452 | $0.60 | $8,071.20 |
DisclosureSEC source: 0001214659-17-004554 · marketforms-39265.xml · nonDerivative · entry 2 PFENNIGER RICHARD C JR · CIK 0001200796 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 363,981 F3 · shares: Quarterly director's fee for the third fiscal quarter of 2017. F4 · price: Closing price of Wright Investors' Service Holdings, Inc. common stock on June 30, 2017 Read SEC document |
| July 25, 2017 Filed Jul 25, 2017 20:30 UTC | Wright Investors Service Holdings, Inc. WISH · Entity 8388 | GrantCommon stock | 12,500 | $0.65 | $8,125.00 |
DisclosureSEC source: 0001214659-17-004554 · marketforms-39265.xml · nonDerivative · entry 1 PFENNIGER RICHARD C JR · CIK 0001200796 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 350,529 F1 · shares: Quarterly director's fee for the second fiscal quarter of 2017. F2 · price: Closing price of Wright Investors' Service Holdings, Inc. common stock on March 31, 2017. Read SEC document |
| June 30, 2017 Filed Jul 5, 2017 16:02 UTC | GP STRATEGIES CORP GPX · Entity 134545 | GrantCommon Stock | 500 | $0.00 | $0.00 |
DisclosureSEC source: 0000070415-17-000083 · wf-form4_149928495294768.xml · nonDerivative · entry 1 PFENNIGER RICHARD C JR · CIK 0001200796 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,877 F1 · price: Represents a portion of the quarterly Director fees for the quarter ended June 30, 2017 paid in shares of the Registrant's Common Stock. Read SEC document |
| June 15, 2017 Filed Jun 16, 2017 20:18 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | GrantStock Option (Right to Buy) · Derivative | 30,000 | $0.00 Strike: $6.45 | $0.00 |
DisclosureSEC source: 0001209191-17-040503 · 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 2027-06-14 Read SEC document |
| June 15, 2017 Filed Aug 25, 2017 21:50 UTC | BioCardia, Inc. BCDA · Entity 7752 | GrantRestricted Stock Units · Derivative | 110,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-17-015350 · rdgdoc.xml · derivative · entry 1 PFENNIGER RICHARD C JR · CIK 0001200796 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 110,000 Underlying: Common Stock · 110,000 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. F2 · derivative.exercise_date: The restricted stock units vest and become exercisable as to one hundred percent of the shares on June 15, 2018, subject to the Reporting Person continuing as a service provider through such date. F2 · derivative.expiration_date: The restricted stock units vest and become exercisable as to one hundred percent of the shares on June 15, 2018, subject to the Reporting Person continuing as a service provider through such date. Read SEC document |
| June 02, 2017 Filed Jun 5, 2017 13:49 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | Exercise / conversionStock Option (Right to Buy) · Derivative | 20,000 | $0.00 Strike: $3.43 | $0.00 |
DisclosureSEC source: 0001209191-17-037524 · doc4.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 · 20,000 shares Expires 2018-06-08 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 02, 2017 Filed Jun 5, 2017 13:49 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | Exercise / conversionCommon Stock | 20,000 | $3.43 | $68,600.00 |
DisclosureSEC source: 0001209191-17-037524 · doc4.xml · nonDerivative · entry 1 PFENNIGER RICHARD C JR · CIK 0001200796 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 170,000 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| May 25, 2017 Filed May 26, 2017 16:20 UTC | ASENSUS SURGICAL, INC. TRXC · Entity 88098 | GrantStock Option Award · Derivative | 25,000 | $0.00 Strike: $0.48 | $0.00 |
DisclosureSEC source: 0001209191-17-035816 · doc4.xml · derivative · entry 1 PFENNIGER RICHARD C JR · CIK 0001200796 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 Underlying: Common Stock · 25,000 shares Expires 2027-05-25 F1 · derivative.exercise_date: Vests 25% per quarter on each quarterly anniversary of the date of grant with the final vesting on the first anniversary of the date of grant. Read SEC document |
| May 16, 2017 Filed May 17, 2017 07:35 UTC | ASENSUS SURGICAL, INC. TRXC · Entity 88098 | PurchaseCommon Stock | 100,000 | $0.54 | $53,950.00 |
DisclosureSEC source: 0001209191-17-032916 · doc4.xml · nonDerivative · entry 1 PFENNIGER RICHARD C JR · CIK 0001200796 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 148,000 F1 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $0.5251 to $0.55, with a weighted average price per share of $0.5395. The reporting person undertakes to provide to TransEnterix, Inc., any security holder of TransEnterix, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote to this Form 4. Read SEC document |
| March 31, 2017 Filed Apr 4, 2017 16:12 UTC | GP STRATEGIES CORP GPX · Entity 134545 | GrantCommon Stock | 500 | $0.00 | $0.00 |
DisclosureSEC source: 0000070415-17-000048 · wf-form4_149133675509815.xml · nonDerivative · entry 1 PFENNIGER RICHARD C JR · CIK 0001200796 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,377 F1 · price: Represents a portion of the quarterly Director fees for the quarter ended March 31, 2017 paid in shares of the Registrant's Common Stock. Read SEC document |
| March 01, 2017 Filed Mar 3, 2017 21:15 UTC | Wright Investors Service Holdings, Inc. WISH · Entity 8388 | GrantCommon stock | 12,897 | $0.63 | $8,125.11 |
DisclosureSEC source: 0001214659-17-001657 · marketforms-38124.xml · nonDerivative · entry 1 PFENNIGER RICHARD C JR · CIK 0001200796 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 338,029 F1 · shares: Quarterly director's fee for the first fiscal quarter of 2017. F2 · price: Closing price of Wright Investors' Service Holdings, Inc. common stock on December 31, 2016. Read SEC document |
| January 13, 2017 Filed Jan 18, 2017 23:39 UTC | BioCardia, Inc. BCDA · Entity 7752 | GrantRestricted Stock Units · Derivative | 184,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-17-000793 · rdgdoc.xml · derivative · entry 1 PFENNIGER RICHARD C JR · CIK 0001200796 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 184,000 Underlying: Common Stock · 184,000 shares Expires 2020-01-13 F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. F2 · derivative.exercise_date: The restricted stock units vest and become exercisable as to one-third of the shares on January 13, 2018 and each one-year anniversary thereafter, subject to the Reporting Person continuing as a service provider through each such date. Read SEC document |
| December 30, 2016 Filed Jan 4, 2017 16:04 UTC | GP STRATEGIES CORP GPX · Entity 134545 | GrantCommon Stock | 500 | $0.00 | $0.00 |
DisclosureSEC source: 0000070415-17-000011 · wf-form4_148356382719760.xml · nonDerivative · entry 1 PFENNIGER RICHARD C JR · CIK 0001200796 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,877 F1 · price: Represents a portion of the quarterly Director fees for the quarter ended December 31, 2016 paid in shares of the Registrant's Common Stock. Read SEC document |
| October 24, 2016 Filed Oct 25, 2016 20:30 UTC | Wright Investors Service Holdings, Inc. WISH · Entity 8388 | GrantCommon stock | 11,608 | $0.70 | $8,125.60 |
DisclosureSEC source: 0001214659-16-014197 · marketforms-36537.xml · nonDerivative · entry 2 PFENNIGER RICHARD C JR · CIK 0001200796 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 325,132 F3 · shares: Quarterly director's fee for the fourth fiscal quarter of 2016. F4 · price: Closing price of Wright Investors' Service Holdings, Inc. common stock on September 30, 2016. Read SEC document |
| October 24, 2016 Filed Oct 25, 2016 20:30 UTC | Wright Investors Service Holdings, Inc. WISH · Entity 8388 | GrantCommon stock | 7,066 | $1.15 | $8,125.90 |
DisclosureSEC source: 0001214659-16-014197 · marketforms-36537.xml · nonDerivative · entry 1 PFENNIGER RICHARD C JR · CIK 0001200796 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 313,524 F1 · shares: Quarterly director's fee for the third fiscal quarter of 2016. F2 · price: Closing price of Wright Investors' Service Holdings, Inc. common stock on June 30, 2016. Read SEC document |
| October 06, 2016 Filed Oct 7, 2016 20:30 UTC | Wright Investors Service Holdings, Inc. WISH · Entity 8388 | GrantCommon stock | 140,417 | $0.69 | $96,887.73 |
DisclosureSEC source: 0001214659-16-014037 · marketforms-36420.xml · nonDerivative · entry 1 PFENNIGER RICHARD C JR · CIK 0001200796 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 306,458 F1 · security: The disposition of securities reported on this Form 4 is a result of a payment in kind of withdrawal proceeds to a limited partner of Bedford Oak Capital, L.P., a limited partnership managed by the Investment Manager, Bedford Oak Advisors, LLC and controlled by Harvey P. Eisen. F1 · shares: The disposition of securities reported on this Form 4 is a result of a payment in kind of withdrawal proceeds to a limited partner of Bedford Oak Capital, L.P., a limited partnership managed by the Investment Manager, Bedford Oak Advisors, LLC and controlled by Harvey P. Eisen. F2 · price: Closing price of Wright Investors' Service Holdings, Inc. common stock on October 5, 2016. Read SEC document |
| September 30, 2016 Filed Oct 4, 2016 16:06 UTC | GP STRATEGIES CORP GPX · Entity 134545 | GrantCommon Stock | 500 | $0.00 | $0.00 |
DisclosureSEC source: 0000070415-16-000251 · wf-form4_147561159542827.xml · nonDerivative · entry 1 PFENNIGER RICHARD C JR · CIK 0001200796 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,377 F1 · price: Represents a portion of the quarterly Director fees for the quarter ended September 30, 2016 paid in shares of the Registrant's Common Stock. 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.