Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Aldeyra Therapeutics, Inc.ALDX · Entity 6839 | Director | June 09, 2026 | June 11, 2026 |
| MAXCYTE, INC.MXCT · Entity 6608 | Director | June 17, 2026 | June 22, 2026 |
| NOVAVAX INCNVAX · Entity 4632 | Director | June 18, 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.
Aldeyra Therapeutics, Inc.
Report date June 09, 2026 · Filed June 11, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.72 · Expires 2036-06-08 | Direct | 70,000 |
Reported balance
After 2026-06-09 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-06-09 · Grant · Acquired 70,000 · Balance 70,000 F1: Exercisable with respect to 100% of the shares on the one-year anniversary of the grant date, provided that the Reporting Person provides continuous service as a member of the Board of Directors of the Issuer through the applicable vesting date. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.72 · Expires 2036-06-08 | Direct | 19,909 |
Reported balance
After 2026-06-09 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2026-06-09 · Grant · Acquired 19,909 · Balance 19,909 F2: Exercisable with respect to 100% of the shares on the one-year anniversary of the grant date, provided that the Reporting Person provides continuous service as the Chairperson of the Board of Directors of the Issuer through the applicable vesting date. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.72 · Expires 2036-06-08 | Direct | 2,323 |
Reported balance
After 2026-06-09 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2026-06-09 · Grant · Acquired 2,323 · Balance 2,323 F3: Exercisable with respect to 100% of the shares on the one-year anniversary of the grant date, provided that the Reporting Person provides continuous service as a member of the Nominating/Corporate Governance Committee of the Board of Directors of the Issuer through the applicable vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: Exercisable with respect to 100% of the shares on the one-year anniversary of the grant date, provided that the Reporting Person provides continuous service as a member of the Board of Directors of the Issuer through the applicable vesting date.
F2: Exercisable with respect to 100% of the shares on the one-year anniversary of the grant date, provided that the Reporting Person provides continuous service as the Chairperson of the Board of Directors of the Issuer through the applicable vesting date.
F3: Exercisable with respect to 100% of the shares on the one-year anniversary of the grant date, provided that the Reporting Person provides continuous service as a member of the Nominating/Corporate Governance Committee of the Board of Directors of the Issuer through the applicable vesting date.
MAXCYTE, INC.
Report date June 17, 2026 · Filed June 22, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 260,998 |
Reported balance
After 2026-06-17 transaction · row 1
1 source rowRow 1 · 2026-06-17 · Grant · Acquired 30,421 · Balance 260,998 F1: These shares represent restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock. F2: This annual grant was made pursuant to the Issuer's Equity Grant Policy for non-employee directors. The shares underlying this grant vest on June 17, 2027, subject to the reporting person's continuous service as of such vesting date. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.13 · Expires 2036-06-16 | Direct | 49,579 |
Reported balance
After 2026-06-17 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2026-06-17 · Grant · Acquired 49,579 · Balance 49,579 F2: This annual grant was made pursuant to the Issuer's Equity Grant Policy for non-employee directors. The shares underlying this grant vest on June 17, 2027, subject to the reporting person's continuous service as of such vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: These shares represent restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock.
F2: This annual grant was made pursuant to the Issuer's Equity Grant Policy for non-employee directors. The shares underlying this grant vest on June 17, 2027, subject to the reporting person's continuous service as of such vesting date.
NOVAVAX INC
Report date June 18, 2026 · Filed June 23, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 73,220 |
Reported balance
After 2026-06-20 transaction · row 1
1 source rowRow 1 · 2026-06-20 · Exercise / conversion · Acquired 18,880 · Balance 73,220 F1: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Novavax, Inc. (the "Company") common stock. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $9.13 · Expires 2036-06-18 | Direct | 21,270 |
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 21,270 · Balance 21,270 F2: One hundred percent (100%) of the shares subject to this option grant under the Amended and Restated 2015 Stock Incentive Plan, as amended, will vest on the first anniversary of the June 18, 2026 grant date subject to continued service on the Company's Board of Directors through the vesting date. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 14,180 |
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 · Grant · Acquired 14,180 · Balance 14,180 F1: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Novavax, Inc. (the "Company") common stock. F3: One hundred percent (100%) of the RSUs subject to this grant under the Company's Amended and Restated 2015 Stock Incentive Plan, as amended, will vest on the first anniversary of the June 18, 2026 grant date subject to continued service on the Company's Board of Directors through the vesting date. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2026-06-20 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2026-06-20 · Exercise / conversion · Disposed 18,880 · Balance 0 F1: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Novavax, Inc. (the "Company") common stock. F4: One hundred percent (100%) of the RSUs subject to this grant under the Company's Amended and Restated 2015 Stock Incentive Plan, as amended, vested on the first anniversary of the June 20, 2025 grant date subject to continued service on the Company's Board of Directors through the vesting date |
Filing footnotes · ownership attribution and instrument terms
F1: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Novavax, Inc. (the "Company") common stock.
F2: One hundred percent (100%) of the shares subject to this option grant under the Amended and Restated 2015 Stock Incentive Plan, as amended, will vest on the first anniversary of the June 18, 2026 grant date subject to continued service on the Company's Board of Directors through the vesting date.
F3: One hundred percent (100%) of the RSUs subject to this grant under the Company's Amended and Restated 2015 Stock Incentive Plan, as amended, will vest on the first anniversary of the June 18, 2026 grant date subject to continued service on the Company's Board of Directors through the vesting date.
F4: One hundred percent (100%) of the RSUs subject to this grant under the Company's Amended and Restated 2015 Stock Incentive Plan, as amended, vested on the first anniversary of the June 20, 2025 grant date subject to continued service on the Company's Board of Directors through the vesting date
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| June 25, 2021 Filed Jun 29, 2021 21:13 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionRestricted Stock Units · Derivative | 3,450 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-043700 · doc4.xml · derivative · entry 2 DOUGLAS RICHARD · CIK 0001021015 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,450 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. F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Novavax, Inc. (the "Company") common stock. F2 · derivative.exercise_date: One hundred percent (100%) of the RSUs subject to this grant under the Company's Amended and Restated 2015 Stock Incentive Plan, as amended, vested on the first anniversary of the June 25, 2020 grant date subject to continued service on the Company's Board of Directors through the vesting date. F2 · derivative.expiration_date: One hundred percent (100%) of the RSUs subject to this grant under the Company's Amended and Restated 2015 Stock Incentive Plan, as amended, vested on the first anniversary of the June 25, 2020 grant date subject to continued service on the Company's Board of Directors through the vesting date. Read SEC document |
| June 25, 2021 Filed Jun 29, 2021 21:13 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionCommon Stock | 3,450 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-21-043700 · doc4.xml · nonDerivative · entry 1 DOUGLAS RICHARD · CIK 0001021015 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,950 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 · price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Novavax, Inc. (the "Company") common stock. Read SEC document |
| June 17, 2021 Filed Jun 22, 2021 21:16 UTC | NOVAVAX INC NVAX · Entity 4632 | GrantRestricted Stock Units · Derivative | 700 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-042451 · doc4.xml · derivative · entry 2 DOUGLAS RICHARD · CIK 0001021015 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 700 Underlying: Common Stock · 700 shares Expires not disclosed F2 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Company common stock. F3 · derivative.exercise_date: One hundred percent (100%) of the RSUs subject to this grant under the Plan will vest one (1) year from the Grant Date subject to continued service on the Company's Board of Directors through the vesting date. F3 · derivative.expiration_date: One hundred percent (100%) of the RSUs subject to this grant under the Plan will vest one (1) year from the Grant Date subject to continued service on the Company's Board of Directors through the vesting date. Read SEC document |
| June 17, 2021 Filed Jun 22, 2021 21:16 UTC | NOVAVAX INC NVAX · Entity 4632 | GrantStock Option (Right to Buy) · Derivative | 1,300 | $0.00 Strike: $179.89 | $0.00 |
DisclosureSEC source: 0001209191-21-042451 · doc4.xml · derivative · entry 1 DOUGLAS RICHARD · CIK 0001021015 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,300 Underlying: Common Stock · 1,300 shares Expires 2031-06-17 F1 · derivative.exercise_date: One hundred percent (100%) of the shares subject to this option grant under the Novavax, Inc. (the "Company") Amended and Restated 2015 Stock Incentive Plan, as amended (the "Plan") will vest one (1) year from the June 17, 2021 grant date (the "Grant Date") subject to continued service on the Company's Board of Directors through the vesting date. Read SEC document |
| June 08, 2021 Filed Jun 10, 2021 21:46 UTC | Aldeyra Therapeutics, Inc. ALDX · Entity 6839 | GrantStock Option (Right to Buy) · Derivative | 408 | $0.00 Strike: $12.97 | $0.00 |
DisclosureSEC source: 0000899243-21-023013 · doc4.xml · derivative · entry 3 DOUGLAS RICHARD · CIK 0001021015 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 408 Underlying: Common Stock · 408 shares Expires 2031-06-07 F3 · derivative.exercise_date: Exercisable with respect to 100% of the shares on the one-year anniversary of the grant date, provided that the Reporting Person provides continuous service as a member of the Nominating/Corporate Governance Committee of the Board of Directors of the Issuer through the applicable vesting date. Read SEC document |
| June 08, 2021 Filed Jun 10, 2021 21:46 UTC | Aldeyra Therapeutics, Inc. ALDX · Entity 6839 | GrantStock Option (Right to Buy) · Derivative | 3,500 | $0.00 Strike: $12.97 | $0.00 |
DisclosureSEC source: 0000899243-21-023013 · doc4.xml · derivative · entry 2 DOUGLAS RICHARD · CIK 0001021015 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,500 Underlying: Common Stock · 3,500 shares Expires 2031-06-07 F2 · derivative.exercise_date: Exercisable with respect to 100% of the shares on the one-year anniversary of the grant date, provided that the Reporting Person provides continuous service as the Chairperson of the Board of Directors of the Issuer through the applicable vesting date. Read SEC document |
| June 08, 2021 Filed Jun 10, 2021 21:46 UTC | Aldeyra Therapeutics, Inc. ALDX · Entity 6839 | GrantStock Option (Right to Buy) · Derivative | 13,534 | $0.00 Strike: $12.97 | $0.00 |
DisclosureSEC source: 0000899243-21-023013 · doc4.xml · derivative · entry 1 DOUGLAS RICHARD · CIK 0001021015 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,534 Underlying: Common Stock · 13,534 shares Expires 2031-06-07 F1 · derivative.exercise_date: Exercisable with respect to 100% of the shares on the one-year anniversary of the grant date, provided that the Reporting Person provides continuous service as a member of the Board of Directors of the Issuer through the applicable vesting date. Read SEC document |
| December 31, 2020 Filed Jan 5, 2021 22:42 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionStock Option (Right to Buy) · Derivative | 1,000 | $0.00 Strike: $50.00 | $0.00 |
DisclosureSEC source: 0001209191-21-001404 · doc4.xml · derivative · entry 2 DOUGLAS RICHARD · CIK 0001021015 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,000 shares Expires 2021-03-10 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 |
| December 31, 2020 Filed Jan 5, 2021 22:42 UTC | NOVAVAX INC NVAX · Entity 4632 | Exercise / conversionCommon Stock | 1,000 | $50.00 | $50,000.00 |
DisclosureSEC source: 0001209191-21-001404 · doc4.xml · nonDerivative · entry 1 DOUGLAS RICHARD · CIK 0001021015 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,500 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 25, 2020 Filed Jun 27, 2020 01:16 UTC | NOVAVAX INC NVAX · Entity 4632 | GrantRestricted Stock Units · Derivative | 3,450 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-039191 · doc4.xml · derivative · entry 2 DOUGLAS RICHARD · CIK 0001021015 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,450 Underlying: Common Stock · 3,450 shares Expires not disclosed F2 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Company common stock. F3 · derivative.exercise_date: One hundred percent (100%) of the RSUs subject to this grant under the Plan, will vest one (1) year from the Grant Date, subject to continued service on the Company's Board of Directors through the vesting date. F3 · derivative.expiration_date: One hundred percent (100%) of the RSUs subject to this grant under the Plan, will vest one (1) year from the Grant Date, subject to continued service on the Company's Board of Directors through the vesting date. Read SEC document |
| June 25, 2020 Filed Jun 27, 2020 01:16 UTC | NOVAVAX INC NVAX · Entity 4632 | GrantStock Option (Right to buy) · Derivative | 6,900 | $0.00 Strike: $83.54 | $0.00 |
DisclosureSEC source: 0001209191-20-039191 · doc4.xml · derivative · entry 1 DOUGLAS RICHARD · CIK 0001021015 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,900 Underlying: Common Stock · 6,900 shares Expires 2030-06-25 F1 · derivative.exercise_date: One hundred percent (100%) of the shares subject to this option grant under the Novavax, Inc. (the "Company") Amended and Restated 2015 Stock Incentive Plan, as amended (the "Plan"), will vest one (1) year from the June 25, 2020 grant date (the "Grant Date"), subject to continued service on the Company's Board of Directors through the vesting date. Read SEC document |
| June 09, 2020 Filed Jun 11, 2020 21:48 UTC | Aldeyra Therapeutics, Inc. ALDX · Entity 6839 | GrantStock Option (Right to Buy) · Derivative | 1,079 | $0.00 Strike: $5.02 | $0.00 |
DisclosureSEC source: 0000899243-20-016182 · doc4.xml · derivative · entry 3 DOUGLAS RICHARD · CIK 0001021015 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,079 Underlying: Common Stock · 1,079 shares Expires 2030-06-08 F3 · derivative.exercise_date: Exercisable with respect to 100% of the shares on the one-year anniversary of the grant date, provided that the Reporting Person provides continuous service as a member of the Nominating/Corporate Governance Committee of the Board of Directors of the Issuer through the applicable vesting date. Read SEC document |
| June 09, 2020 Filed Jun 11, 2020 21:48 UTC | Aldeyra Therapeutics, Inc. ALDX · Entity 6839 | GrantStock Option (Right to Buy) · Derivative | 9,245 | $0.00 Strike: $5.02 | $0.00 |
DisclosureSEC source: 0000899243-20-016182 · doc4.xml · derivative · entry 2 DOUGLAS RICHARD · CIK 0001021015 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,245 Underlying: Common Stock · 9,245 shares Expires 2030-06-08 F2 · derivative.exercise_date: Exercisable with respect to 100% of the shares on the one-year anniversary of the grant date, provided that the Reporting Person provides continuous service as the Chairperson of the Board of Directors of the Issuer through the applicable vesting date. Read SEC document |
| June 09, 2020 Filed Jun 11, 2020 21:48 UTC | Aldeyra Therapeutics, Inc. ALDX · Entity 6839 | GrantStock Option (Right to Buy) · Derivative | 26,503 | $0.00 Strike: $5.02 | $0.00 |
DisclosureSEC source: 0000899243-20-016182 · doc4.xml · derivative · entry 1 DOUGLAS RICHARD · CIK 0001021015 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,503 Underlying: Common Stock · 26,503 shares Expires 2030-06-08 F1 · derivative.exercise_date: Exercisable with respect to 100% of the shares on the one-year anniversary of the grant date, provided that the Reporting Person provides continuous service as a member of the Board of Directors of the Issuer through the applicable vesting date. Read SEC document |
| March 16, 2020 Filed Mar 17, 2020 20:38 UTC | Aldeyra Therapeutics, Inc. ALDX · Entity 6839 | PurchaseCommon Stock | 40,000 | $2.75 | $110,000.00 |
DisclosureSEC source: 0000899243-20-008616 · doc4.xml · nonDerivative · entry 1 DOUGLAS RICHARD · CIK 0001021015 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 125,000 Read SEC document |
| December 12, 2019 Filed Dec 16, 2019 21:58 UTC | NOVAVAX INC NVAX · Entity 4632 | GrantStock Option (Right to buy) · Derivative | 18,000 | $0.00 Strike: $3.99 | $0.00 |
DisclosureSEC source: 0001209191-19-060685 · doc4.xml · derivative · entry 1 DOUGLAS RICHARD · CIK 0001021015 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,000 Underlying: Common Stock · 18,000 shares Expires 2029-12-12 F1 · derivative.exercise_date: One hundred percent (100%) of the shares subject to this option grant under the Novavax, Inc. (the "Company") Amended and Restated 2015 Stock Incentive Plan, as amended, will vest one (1) year from the December 12, 2019 grant date subject to continued service on the Company's Board of Directors through the vesting date. Read SEC document |
| September 13, 2019 Filed Sep 17, 2019 11:36 UTC | Aldeyra Therapeutics, Inc. ALDX · Entity 6839 | PurchaseCommon Stock | 5,000 | $6.00 | $30,000.00 |
DisclosureSEC source: 0000899243-19-023719 · doc4.xml · nonDerivative · entry 1 DOUGLAS RICHARD · CIK 0001021015 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 85,000 Read SEC document |
| September 12, 2019 Filed Sep 13, 2019 11:54 UTC | Aldeyra Therapeutics, Inc. ALDX · Entity 6839 | PurchaseCommon Stock | 10,000 | $6.03 | $60,276.00 |
DisclosureSEC source: 0000899243-19-023539 · doc4.xml · nonDerivative · entry 2 DOUGLAS RICHARD · CIK 0001021015 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,000 F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $5.93 to $6.04, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (2) to this Form 4. Read SEC document |
| September 11, 2019 Filed Sep 13, 2019 11:54 UTC | Aldeyra Therapeutics, Inc. ALDX · Entity 6839 | PurchaseCommon Stock | 10,000 | $5.75 | $57,529.00 |
DisclosureSEC source: 0000899243-19-023539 · doc4.xml · nonDerivative · entry 1 DOUGLAS RICHARD · CIK 0001021015 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,000 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $5.65 to $5.79, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (1) to this Form 4. Read SEC document |
| September 10, 2019 Filed Sep 11, 2019 20:05 UTC | Aldeyra Therapeutics, Inc. ALDX · Entity 6839 | PurchaseCommon Stock | 10,000 | $5.09 | $50,857.00 |
DisclosureSEC source: 0000899243-19-023315 · doc4.xml · nonDerivative · entry 2 DOUGLAS RICHARD · CIK 0001021015 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,000 F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $5.03 to $5.11, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (2) to this Form 4. Read SEC document |
| September 09, 2019 Filed Sep 11, 2019 20:05 UTC | Aldeyra Therapeutics, Inc. ALDX · Entity 6839 | PurchaseCommon Stock | 10,000 | $4.91 | $49,106.00 |
DisclosureSEC source: 0000899243-19-023315 · doc4.xml · nonDerivative · entry 1 DOUGLAS RICHARD · CIK 0001021015 · Director 10b5-1 filing: Not disclosed Ownership: Direct 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 $4.82 to $4.92, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (1) to this Form 4. Read SEC document |
| June 04, 2019 Filed Jun 6, 2019 21:36 UTC | Aldeyra Therapeutics, Inc. ALDX · Entity 6839 | GrantEmployee Stock Option (Right to Buy) · Derivative | 771 | $0.00 Strike: $7.06 | $0.00 |
DisclosureSEC source: 0000899243-19-015821 · doc4.xml · derivative · entry 3 DOUGLAS RICHARD · CIK 0001021015 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 771 Underlying: Common Stock · 771 shares Expires 2029-06-03 F3 · derivative.exercise_date: Exercisable with respect to 100% of the shares on the one-year anniversary of the grant date, provided that the Reporting Person provides continuous service as a member of the Nominating/Corporate Governance Committee of the Board of Directors of the Issuer through the applicable vesting date. Read SEC document |
| June 04, 2019 Filed Jun 6, 2019 21:36 UTC | Aldeyra Therapeutics, Inc. ALDX · Entity 6839 | GrantEmployee Stock Option (Right to Buy) · Derivative | 6,611 | $0.00 Strike: $7.06 | $0.00 |
DisclosureSEC source: 0000899243-19-015821 · doc4.xml · derivative · entry 2 DOUGLAS RICHARD · CIK 0001021015 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,611 Underlying: Common Stock · 6,611 shares Expires 2029-06-03 F2 · derivative.exercise_date: Exercisable with respect to 100% of the shares on the one-year anniversary of the grant date, provided that the Reporting Person provides continuous service as the Chairperson of the Board of Directors of the Issuer through the applicable vesting date. Read SEC document |
| June 04, 2019 Filed Jun 6, 2019 21:36 UTC | Aldeyra Therapeutics, Inc. ALDX · Entity 6839 | GrantEmployee Stock Option (Right to Buy) · Derivative | 18,951 | $0.00 Strike: $7.06 | $0.00 |
DisclosureSEC source: 0000899243-19-015821 · doc4.xml · derivative · entry 1 DOUGLAS RICHARD · CIK 0001021015 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,951 Underlying: Common Stock · 18,951 shares Expires 2029-06-03 F1 · derivative.exercise_date: Exercisable with respect to 100% of the shares on the one-year anniversary of the grant date, provided that the Reporting Person provides continuous service as a member of the Board of Directors of the Issuer through the applicable vesting date. Read SEC document |
| December 13, 2018 Filed Dec 14, 2018 21:48 UTC | NOVAVAX INC NVAX · Entity 4632 | GrantStock Option (Right to buy) · Derivative | 90,000 | $0.00 Strike: $2.30 | $0.00 |
DisclosureSEC source: 0001209191-18-062750 · doc4.xml · derivative · entry 1 DOUGLAS RICHARD · CIK 0001021015 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 90,000 Underlying: Common Stock · 90,000 shares Expires 2028-12-13 F1 · derivative.exercise_date: One hundred percent (100%) of the shares subject to this option grant under the Novavax, Inc. (the "Company") Amended and Restated 2015 Stock Incentive Plan, as amended, will vest one (1) year from the December 13, 2018 grant date subject to continued service on the Company's Board of Directors through the vesting date. Read SEC document |
| June 07, 2018 Filed Jun 8, 2018 20:37 UTC | Aldeyra Therapeutics, Inc. ALDX · Entity 6839 | GrantEmployee Stock Option (Right to Buy) · Derivative | 632 | $0.00 Strike: $8.35 | $0.00 |
DisclosureSEC source: 0000899243-18-015770 · doc4.xml · derivative · entry 3 DOUGLAS RICHARD · CIK 0001021015 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 632 Underlying: Common Stock · 632 shares Expires 2028-06-06 F3 · derivative.exercise_date: Exercisable with respect to 100% of the shares on the one-year anniversary of the grant date, provided that the Reporting Person provides continuous service as a member of the Nominating/Corporate Governance Committee of the Board of Directors of the Issuer through the applicable vesting date. Read SEC document |
| June 07, 2018 Filed Jun 8, 2018 20:37 UTC | Aldeyra Therapeutics, Inc. ALDX · Entity 6839 | GrantEmployee Stock Option (Right to Buy) · Derivative | 5,416 | $0.00 Strike: $8.35 | $0.00 |
DisclosureSEC source: 0000899243-18-015770 · doc4.xml · derivative · entry 2 DOUGLAS RICHARD · CIK 0001021015 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,416 Underlying: Common Stock · 5,416 shares Expires 2028-06-06 F2 · derivative.exercise_date: Exercisable with respect to 100% of the shares on the one-year anniversary of the grant date, provided that the Reporting Person provides continuous service as the Chairperson of the Board of Directors of the Issuer through the applicable vesting date. Read SEC document |
| June 07, 2018 Filed Jun 8, 2018 20:37 UTC | Aldeyra Therapeutics, Inc. ALDX · Entity 6839 | GrantEmployee Stock Option (Right to Buy) · Derivative | 15,526 | $0.00 Strike: $8.35 | $0.00 |
DisclosureSEC source: 0000899243-18-015770 · doc4.xml · derivative · entry 1 DOUGLAS RICHARD · CIK 0001021015 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,526 Underlying: Common Stock · 15,526 shares Expires 2028-06-06 F1 · derivative.exercise_date: Exercisable with respect to 100% of the shares on the one-year anniversary of the grant date, provided that the Reporting Person provides continuous service as a member of the Board of Directors of the Issuer through the applicable vesting date. Read SEC document |
| December 15, 2017 Filed Dec 19, 2017 21:11 UTC | NOVAVAX INC NVAX · Entity 4632 | GrantStock Option (Right to buy) · Derivative | 80,000 | $0.00 Strike: $1.38 | $0.00 |
DisclosureSEC source: 0001209191-17-066314 · doc4.xml · derivative · entry 1 DOUGLAS RICHARD · CIK 0001021015 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,000 Underlying: Common Stock · 80,000 shares Expires 2027-12-15 F1 · derivative.exercise_date: One hundred percent (100%) of the shares subject to this option grant under the Novavax, Inc. (the "Company") Amended and Restated 2015 Stock Incentive Plan, as amended, will vest one (1) year from the December 15, 2017 grant date subject to continued service on the Company's Board of Directors through the vesting date. Read SEC document |
| June 08, 2017 Filed Jun 12, 2017 21:05 UTC | Aldeyra Therapeutics, Inc. ALDX · Entity 6839 | GrantStock Option (Right to Buy) · Derivative | 1,037 | $0.00 Strike: $5.15 | $0.00 |
DisclosureSEC source: 0000899243-17-016102 · doc4.xml · derivative · entry 3 DOUGLAS RICHARD · CIK 0001021015 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,037 Underlying: Common Stock · 1,037 shares Expires 2027-06-07 F3 · derivative.exercise_date: Exercisable with respect to 100% of the shares on the one-year anniversary of the grant date, provided that the Reporting Person provides continuous service as a member of the Nominating/Corporate Governance Committee of the Board of Directors of the Issuer through the applicable vesting date. Read SEC document |
| June 08, 2017 Filed Jun 12, 2017 21:05 UTC | Aldeyra Therapeutics, Inc. ALDX · Entity 6839 | GrantStock Option (Right to Buy) · Derivative | 8,888 | $0.00 Strike: $5.15 | $0.00 |
DisclosureSEC source: 0000899243-17-016102 · doc4.xml · derivative · entry 2 DOUGLAS RICHARD · CIK 0001021015 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,888 Underlying: Common Stock · 8,888 shares Expires 2027-06-07 F2 · derivative.exercise_date: Exercisable with respect to 100% of the shares on the one-year anniversary of the grant date, provided that the Reporting Person provides continuous service as the Chairperson of the Board of Directors of the Issuer through the applicable vesting date. Read SEC document |
| June 08, 2017 Filed Jun 12, 2017 21:05 UTC | Aldeyra Therapeutics, Inc. ALDX · Entity 6839 | GrantStock Option (Right to Buy) · Derivative | 17,776 | $0.00 Strike: $5.15 | $0.00 |
DisclosureSEC source: 0000899243-17-016102 · doc4.xml · derivative · entry 1 DOUGLAS RICHARD · CIK 0001021015 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,776 Underlying: Common Stock · 17,776 shares Expires 2027-06-07 F1 · derivative.exercise_date: Exercisable with respect to 100% of the shares on the one-year anniversary of the grant date, provided that the Reporting Person provides continuous service as a member of the Board of Directors of the Issuer through the applicable vesting date. Read SEC document |
| May 11, 2017 Filed May 12, 2017 13:59 UTC | NOVAVAX INC NVAX · Entity 4632 | PurchaseCommon Stock | 200,000 | $0.93 | $185,780.00 |
DisclosureSEC source: 0001209191-17-031713 · doc4.xml · nonDerivative · entry 1 DOUGLAS RICHARD · CIK 0001021015 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 550,000 F1 · price: The reported price is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.9049 to $0.94, inclusive. The reporting person undertakes to provide to Novavax, Inc., any security holder of Novavax, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each price within the range set forth in this footnote. Read SEC document |
| March 16, 2017 Filed Mar 20, 2017 20:17 UTC | NOVAVAX INC NVAX · Entity 4632 | GrantStock Option (Right to buy) · Derivative | 80,000 | $0.00 Strike: $1.38 | $0.00 |
DisclosureSEC source: 0001209191-17-021709 · doc4.xml · derivative · entry 1 DOUGLAS RICHARD · CIK 0001021015 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,000 Underlying: Common Stock · 80,000 shares Expires 2027-03-16 F1 · derivative.exercise_date: One hundred percent (100%) of the shares subject to this option grant under the Novavax, Inc. (the "Company") Amended and Restated 2015 Stock Incentive Plan will vest one (1) year from the March 16, 2017 grant date subject to continued service on the Company's Board of Directors through the vesting date. Read SEC document |
| February 17, 2017 Filed Feb 21, 2017 21:33 UTC | Aldeyra Therapeutics, Inc. ALDX · Entity 6839 | PurchaseCommon Stock | 40,000 | $4.50 | $180,000.00 |
DisclosureSEC source: 0000899243-17-004755 · doc4.xml · nonDerivative · entry 1 DOUGLAS RICHARD · CIK 0001021015 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 F1 · price: Represents shares of common stock purchased by the Reporting Person in the Issuer's follow-on offering, which closed on February 17, 2017. Read SEC document |
| September 21, 2016 Filed Sep 22, 2016 20:26 UTC | NOVAVAX INC NVAX · Entity 4632 | PurchaseCommon Stock | 100,000 | $1.72 | $172,010.00 |
DisclosureSEC source: 0001209191-16-142465 · doc4.xml · nonDerivative · entry 1 DOUGLAS RICHARD · CIK 0001021015 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 350,000 F1 · price: The reported price is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.715 to $1.73, inclusive. The reporting person undertakes to provide Novavax, Inc., any security holder of Novavax, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each price within the range set forth in this footnote. Read SEC document |
| September 13, 2016 Filed Sep 14, 2016 20:45 UTC | Aldeyra Therapeutics, Inc. ALDX · Entity 6839 | GrantEmployee Stock Option (Right to Buy) · Derivative | 12,166 | $0.00 Strike: $5.62 | $0.00 |
DisclosureSEC source: 0000899243-16-028966 · doc4.xml · derivative · entry 1 DOUGLAS RICHARD · CIK 0001021015 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,166 Underlying: Common Stock · 12,166 shares Expires 2026-09-12 F1 · derivative.exercise_date: Exercisable in equal annual installments over three years of continuous service to the Issuer after September 13, 2016. 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.