Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Cardiff Oncology, Inc.CRDF · Entity 6917 | Chief Financial Officer | March 11, 2025 | March 13, 2025 |
| Cidara Therapeutics, Inc.CDTX · Entity 69639 | Chief Financial Officer | March 17, 2021 | March 20, 2021 |
| KAZIA THERAPEUTICS LTDKZIA · Entity 6537 | Chief Financial Officer | June 19, 2026 | June 23, 2026 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Cardiff Oncology, Inc.
Report date March 11, 2025 · Filed March 13, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $3.58 · Expires 2035-03-11 | Direct | 1,295,117 |
Reported balance
After 2025-03-11 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2025-03-11 · Grant · Acquired 332,621 · Balance 1,295,117 F1: 25% of the shares subject to the option will vest on March 11, 2026 and the remaining shares vest in 36 equal monthly installments thereafter, subject to the continued service of the reporting person. |
Filing footnotes · ownership attribution and instrument terms
F1: 25% of the shares subject to the option will vest on March 11, 2026 and the remaining shares vest in 36 equal monthly installments thereafter, subject to the continued service of the reporting person.
Cidara Therapeutics, Inc.
Report date March 17, 2021 · Filed March 20, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Employee Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.55 · Expires 2031-03-16 | Direct | 130,000 |
Reported balance
After 2021-03-17 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2021-03-17 · Grant · Acquired 130,000 · Balance 130,000 F2: The option shall vest and become exercisable in a series of thirty-six (36) successive equal monthly installments measured from the Vesting Commencement Date of March 17, 2021. |
| Common StockSEC Table I · non-derivative | Direct | 69,803 |
Reported balance
Holding disclosure · report date 2021-03-17 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 69,803 F1: Includes 3,969 shares acquired pursuant to the Issuer's Employee Stock Purchase Plan on November 20, 2020. |
| Common StockSEC Table I · non-derivative | IndirectSpouse's IRA | 50,000 |
Reported balance
Holding disclosure · report date 2021-03-17 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 50,000 |
Filing footnotes · ownership attribution and instrument terms
F1: Includes 3,969 shares acquired pursuant to the Issuer's Employee Stock Purchase Plan on November 20, 2020.
F2: The option shall vest and become exercisable in a series of thirty-six (36) successive equal monthly installments measured from the Vesting Commencement Date of March 17, 2021.
KAZIA THERAPEUTICS LTD
Report date June 19, 2026 · Filed June 23, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Employee Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $13.86 | Direct | 200,000 |
Reported balance
After 2026-06-19 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-06-19 · Grant · Acquired 200,000 · Balance 200,000 F1: Represents an award of 200,000 options over ADSs on June 19, 2026, at an exercise price of $13.86 per ADS. One-third of the options vest on June 1, 2026 (the "Commencement Date") and the remaining two-thirds vest in equal yearly tranches on the anniversary of the Commencement Date. All options held by the Reporting Person will be forfeited upon the Reporting Person's voluntary departure prior to the first anniversary of the Commencement Date. The options were granted for no consideration and expire on June 19, 2029. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents an award of 200,000 options over ADSs on June 19, 2026, at an exercise price of $13.86 per ADS. One-third of the options vest on June 1, 2026 (the "Commencement Date") and the remaining two-thirds vest in equal yearly tranches on the anniversary of the Commencement Date. All options held by the Reporting Person will be forfeited upon the Reporting Person's voluntary departure prior to the first anniversary of the Commencement Date. The options were granted for no consideration and expire on June 19, 2029.
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 19, 2026 Filed Jun 23, 2026 22:47 UTC | KAZIA THERAPEUTICS LTD KZIA · Entity 6537 | GrantEmployee Stock Option (right to buy) · Derivative | 200,000 | $0.00 Strike: $13.86 | $0.00 |
DisclosureSEC source: 0001213900-26-071231 · ownership.xml · derivative · entry 1 Levine James E. · CIK 0001463151 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 200,000 Underlying: ADSs · 200,000 shares Expires not disclosed F1 · shares: Represents an award of 200,000 options over ADSs on June 19, 2026, at an exercise price of $13.86 per ADS. One-third of the options vest on June 1, 2026 (the "Commencement Date") and the remaining two-thirds vest in equal yearly tranches on the anniversary of the Commencement Date. All options held by the Reporting Person will be forfeited upon the Reporting Person's voluntary departure prior to the first anniversary of the Commencement Date. The options were granted for no consideration and expire on June 19, 2029. F1 · derivative.exercise_date: Represents an award of 200,000 options over ADSs on June 19, 2026, at an exercise price of $13.86 per ADS. One-third of the options vest on June 1, 2026 (the "Commencement Date") and the remaining two-thirds vest in equal yearly tranches on the anniversary of the Commencement Date. All options held by the Reporting Person will be forfeited upon the Reporting Person's voluntary departure prior to the first anniversary of the Commencement Date. The options were granted for no consideration and expire on June 19, 2029. F1 · derivative.expiration_date: Represents an award of 200,000 options over ADSs on June 19, 2026, at an exercise price of $13.86 per ADS. One-third of the options vest on June 1, 2026 (the "Commencement Date") and the remaining two-thirds vest in equal yearly tranches on the anniversary of the Commencement Date. All options held by the Reporting Person will be forfeited upon the Reporting Person's voluntary departure prior to the first anniversary of the Commencement Date. The options were granted for no consideration and expire on June 19, 2029. Read SEC document |
| March 11, 2025 Filed Mar 13, 2025 20:05 UTC | Cardiff Oncology, Inc. CRDF · Entity 6917 | GrantStock Options · Derivative | 332,621 | $0.00 Strike: $3.58 | $0.00 |
DisclosureSEC source: 0000950170-25-038708 · ownership.xml · derivative · entry 1 Levine James E. · CIK 0001463151 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,295,117 Underlying: Common Stock · 332,621 shares Expires 2035-03-11 F1 · derivative.exercise_date: 25% of the shares subject to the option will vest on March 11, 2026 and the remaining shares vest in 36 equal monthly installments thereafter, subject to the continued service of the reporting person. Read SEC document |
| December 18, 2024 Filed Dec 18, 2024 21:37 UTC | Cardiff Oncology, Inc. CRDF · Entity 6917 | PurchaseCommon Stock | 2,400 | $5.00 | $12,000.00 |
DisclosureSEC source: 0000950170-24-137938 · ownership.xml · nonDerivative · entry 3 Levine James E. · CIK 0001463151 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Indirect · By Wife Disclosed balance after: 67,716 Read SEC document |
| December 17, 2024 Filed Dec 18, 2024 21:37 UTC | Cardiff Oncology, Inc. CRDF · Entity 6917 | PurchaseCommon Stock | 2,752 | $5.42 | $14,905.38 |
DisclosureSEC source: 0000950170-24-137938 · ownership.xml · nonDerivative · entry 2 Levine James E. · CIK 0001463151 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Indirect · By Wife Disclosed balance after: 65,316 Read SEC document |
| December 16, 2024 Filed Dec 18, 2024 21:37 UTC | Cardiff Oncology, Inc. CRDF · Entity 6917 | PurchaseCommon Stock | 2,564 | $3.83 | $9,820.12 |
DisclosureSEC source: 0000950170-24-137938 · ownership.xml · nonDerivative · entry 1 Levine James E. · CIK 0001463151 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Indirect · By Wife Disclosed balance after: 62,564 Read SEC document |
| March 07, 2024 Filed Mar 7, 2024 23:40 UTC | Cardiff Oncology, Inc. CRDF · Entity 6917 | GrantStock Options · Derivative | 205,008 | $0.00 Strike: $3.51 | $0.00 |
DisclosureSEC source: 0001628280-24-009748 · wk-form4_1709854805.xml · derivative · entry 1 Levine James E. · CIK 0001463151 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 962,496 Underlying: Common Stock · 205,008 shares Expires 2034-03-07 F1 · derivative.exercise_date: 25% of the shares subject to the option will vest on March 7, 2025 and the remaining shares vest in 36 equal monthly installments thereafter, subject to the continued service of the reporting person. Read SEC document |
| March 15, 2023 Filed Mar 16, 2023 21:42 UTC | Cardiff Oncology, Inc. CRDF · Entity 6917 | GrantStock Options · Derivative | 197,472 | $0.00 Strike: $1.72 | $0.00 |
DisclosureSEC source: 0001628280-23-008356 · wf-form4_167900291678685.xml · derivative · entry 1 Levine James E. · CIK 0001463151 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 757,488 Underlying: Common Stock · 197,472 shares Expires 2033-03-15 F1 · derivative.exercise_date: 25% of the shares subject to the option will vest on March 15, 2024 and the remaining shares vest in 36 equal monthly installments thereafter, subject to the continued service of the reporting person. Read SEC document |
| September 16, 2022 Filed Sep 19, 2022 12:37 UTC | Cardiff Oncology, Inc. CRDF · Entity 6917 | PurchaseCommon Stock | 30,000 | $1.56 | $46,710.00 |
DisclosureSEC source: 0001628280-22-025099 · wf-form4_166359101233703.xml · nonDerivative · entry 1 Levine James E. · CIK 0001463151 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,000 F1 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $1.555 to $1.56. Full information regarding the number of shares purcahsed at each separate price can be furnished to the SEC staff upon request. Read SEC document |
| March 09, 2022 Filed Mar 10, 2022 23:40 UTC | Cardiff Oncology, Inc. CRDF · Entity 6917 | GrantStock Options · Derivative | 170,016 | $0.00 Strike: $2.50 | $0.00 |
DisclosureSEC source: 0001628280-22-005792 · wf-form4_164695562170769.xml · derivative · entry 1 Levine James E. · CIK 0001463151 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 560,016 Underlying: Common Stock · 170,016 shares Expires 2032-03-09 F1 · derivative.exercise_date: 42,504 vest on 3/09/2023. 3,542 vest monthly for 36 months beginning on 4/09/2023 through 3/09/2026. Read SEC document |
| September 10, 2021 Filed Sep 13, 2021 12:12 UTC | Cardiff Oncology, Inc. CRDF · Entity 6917 | PurchaseCommon Stock | 5,000 | $6.32 | $31,600.00 |
DisclosureSEC source: 0001628280-21-018433 · wf-form4_163153514276157.xml · nonDerivative · entry 5 Levine James E. · CIK 0001463151 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 Read SEC document |
| September 10, 2021 Filed Sep 13, 2021 12:12 UTC | Cardiff Oncology, Inc. CRDF · Entity 6917 | PurchaseCommon Stock | 5,000 | $6.35 | $31,750.00 |
DisclosureSEC source: 0001628280-21-018433 · wf-form4_163153514276157.xml · nonDerivative · entry 4 Levine James E. · CIK 0001463151 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 Read SEC document |
| September 10, 2021 Filed Sep 13, 2021 12:12 UTC | Cardiff Oncology, Inc. CRDF · Entity 6917 | PurchaseCommon Stock | 10,000 | $6.38 | $63,800.00 |
DisclosureSEC source: 0001628280-21-018433 · wf-form4_163153514276157.xml · nonDerivative · entry 3 Levine James E. · CIK 0001463151 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Read SEC document |
| September 10, 2021 Filed Sep 13, 2021 12:12 UTC | Cardiff Oncology, Inc. CRDF · Entity 6917 | PurchaseCommon Stock | 5,000 | $6.75 | $33,750.00 |
DisclosureSEC source: 0001628280-21-018433 · wf-form4_163153514276157.xml · nonDerivative · entry 2 Levine James E. · CIK 0001463151 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Read SEC document |
| September 10, 2021 Filed Sep 13, 2021 12:12 UTC | Cardiff Oncology, Inc. CRDF · Entity 6917 | PurchaseCommon Stock | 5,000 | $6.62 | $33,100.00 |
DisclosureSEC source: 0001628280-21-018433 · wf-form4_163153514276157.xml · nonDerivative · entry 1 Levine James E. · CIK 0001463151 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,000 Read SEC document |
| July 12, 2021 Filed Jul 12, 2021 20:16 UTC | Cardiff Oncology, Inc. CRDF · Entity 6917 | GrantCommon Stock · Derivative | 390,000 | $0.00 Strike: $6.55 | $0.00 |
DisclosureSEC source: 0001628280-21-013754 · wf-form4_162612095825628.xml · derivative · entry 1 Levine James E. · CIK 0001463151 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 390,000 Underlying: Stock Options · 390,000 shares Expires 2031-07-12 F1 · derivative.exercise_date: 97,500 vest on 7/12/2022. 8,125 vest monthly for 36 months beginning on 8/12/2022 through 7/12/2025. Read SEC document |
| March 17, 2021 Filed Mar 20, 2021 01:12 UTC | Cidara Therapeutics, Inc. CDTX · Entity 69639 | GrantEmployee Stock Option (right to buy) · Derivative | 130,000 | $0.00 Strike: $2.55 | $0.00 |
DisclosureSEC source: 0001610618-21-000024 · wf-form4_161620275828794.xml · derivative · entry 3 Levine James E. · CIK 0001463151 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 130,000 Underlying: Common Stock · 130,000 shares Expires 2031-03-16 F2 · derivative.exercise_date: The option shall vest and become exercisable in a series of thirty-six (36) successive equal monthly installments measured from the Vesting Commencement Date of March 17, 2021. Read SEC document |
| November 10, 2020 Filed Nov 12, 2020 11:00 UTC | Cidara Therapeutics, Inc. CDTX · Entity 69639 | PurchaseCommon Stock | 50,000 | $2.01 | $100,720.00 |
DisclosureSEC source: 0001209191-20-057806 · doc4.xml · nonDerivative · entry 1 Levine James E. · CIK 0001463151 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Indirect · by spouse's IRA Disclosed balance after: 50,000 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.97 to $2.05, 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 purchased at each separate price within the range set forth above. Read SEC document |
| March 19, 2020 Filed Mar 23, 2020 23:16 UTC | Cidara Therapeutics, Inc. CDTX · Entity 69639 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 110,000 | $0.00 Strike: $1.98 | $0.00 |
DisclosureSEC source: 0001209191-20-020747 · doc4.xml · derivative · entry 2 Levine James E. · CIK 0001463151 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 110,000 Underlying: Common Stock · 110,000 shares Expires 2030-03-18 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: The option shall vest and become exercisable in a series of thirty-six (36) successive equal monthly installments measured from the Vesting Commencement Date of March 19, 2020. Read SEC document |
| March 19, 2020 Filed Mar 23, 2020 23:16 UTC | Cidara Therapeutics, Inc. CDTX · Entity 69639 | GrantCommon Stock | 25,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-020747 · doc4.xml · nonDerivative · entry 1 Levine James E. · CIK 0001463151 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,891 F1 · kind: On December 3, 2018, the reporting person was granted a performance-based restricted stock unit (RSU) which would vest upon the achievement of various clinical and corporate milestones. On March 19, 2020 the Board accelerated the vesting of the RSU in full. F1 · shares: On December 3, 2018, the reporting person was granted a performance-based restricted stock unit (RSU) which would vest upon the achievement of various clinical and corporate milestones. On March 19, 2020 the Board accelerated the vesting of the RSU in full. Read SEC document |
| January 28, 2020 Filed Jan 31, 2020 01:49 UTC | Cidara Therapeutics, Inc. CDTX · Entity 69639 | OtherSubscription Rights (right to buy) · Derivative | 6,891 | $0.00 Strike: $2.51 | $0.00 |
DisclosureSEC source: 0001209191-20-005704 · doc4.xml · derivative · entry 2 Levine James E. · CIK 0001463151 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 6,891 shares Expires 2020-02-10 F1 · kind: Exercise of irrevocable subscription rights to acquire shares of Common Stock after the completion of the subscription period of Issuer's rights offering, which is expected to be February 10, 2020. Read SEC document |
| January 28, 2020 Filed Jan 31, 2020 01:49 UTC | Cidara Therapeutics, Inc. CDTX · Entity 69639 | OtherCommon Stock | 6,891 | $2.51 | $17,296.41 |
DisclosureSEC source: 0001209191-20-005704 · doc4.xml · nonDerivative · entry 1 Levine James E. · CIK 0001463151 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 211,891 F1 · kind: Exercise of irrevocable subscription rights to acquire shares of Common Stock after the completion of the subscription period of Issuer's rights offering, which is expected to be February 10, 2020. Read SEC document |
| September 24, 2019 Filed Sep 27, 2019 01:17 UTC | Cidara Therapeutics, Inc. CDTX · Entity 69639 | PurchaseCommon Stock | 30,000 | $1.91 | $57,240.00 |
DisclosureSEC source: 0001209191-19-050922 · doc4.xml · nonDerivative · entry 1 Levine James E. · CIK 0001463151 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 205,000 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.90 to $1.91, 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 purchased at each separate price within the range set forth above. Read SEC document |
| September 24, 2019 Filed Mar 23, 2020 23:12 UTC Amendment | Cidara Therapeutics, Inc. CDTX · Entity 69639 | PurchaseCommon Stock | 30,000 | $1.91 | $57,240.00 |
DisclosureSEC source: 0001209191-20-020744 · doc4a.xml · nonDerivative · entry 1 Levine James E. · CIK 0001463151 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.90 to $1.91, 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 purchased at each separate price within the range set forth above. F2 · balance_after: On September 26, 2019, the reporting person filed a Form 4 which inadvertently reported that, following his open market purchase, he held 205,000 shares of the issuer's common stock. In fact, as reported in this amendment, the reporting person directly owned 30,000 shares of common stock. Read SEC document |
| December 03, 2018 Filed Dec 4, 2018 23:57 UTC | Cidara Therapeutics, Inc. CDTX · Entity 69639 | GrantStock Option (right to buy) · Derivative | 175,000 | $0.00 Strike: $3.62 | $0.00 |
DisclosureSEC source: 0001209191-18-061051 · doc4.xml · derivative · entry 1 Levine James E. · CIK 0001463151 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 175,000 Underlying: Common Stock · 175,000 shares Expires 2028-12-02 F1 · derivative.exercise_date: 25% of the shares subject to the option shall vest on the one-year anniversary of the Vesting Commencement Date of December 3, 2018; 1/48th of the shares subject to the option shall vest monthly thereafter, such that all shares will be vested on December 3, 2022. 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.