Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| AEON Biopharma, Inc.AEON · Entity 7859 | Director | June 17, 2026 | June 22, 2026 |
| ALDER BIOPHARMACEUTICALS INCALDR · Entity 154258 | Interim Chief Medical Officer | April 23, 2018 | April 25, 2018 |
| Adverum Biotechnologies, Inc.ADVM · Entity 71889 | Director | June 23, 2020 | June 25, 2020 |
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.
AEON Biopharma, Inc.
Report date June 17, 2026 · Filed June 22, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | Direct | 258,705 |
Reported balance
After 2026-06-17 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2026-06-17 · Grant · Acquired 222,684 · Balance 258,705 F1: Represents an award of restricted stock units ("RSUs") granted on June 17, 2026 (the "Grant Date"). The RSUs vest in full on the earlier to occur of (i) the one (1) year anniversary of the Grant Date and (ii) the date of the 2027 annual meeting of the Company's stockholders, subject to continued service through the applicable vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents an award of restricted stock units ("RSUs") granted on June 17, 2026 (the "Grant Date"). The RSUs vest in full on the earlier to occur of (i) the one (1) year anniversary of the Grant Date and (ii) the date of the 2027 annual meeting of the Company's stockholders, subject to continued service through the applicable vesting date.
ALDER BIOPHARMACEUTICALS INC
Report date April 23, 2018 · Filed April 25, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $13.65 · Expires 2028-04-22 | Direct | 75,000 |
Reported balance
After 2018-04-23 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2018-04-23 · Grant · Acquired 75,000 · Balance 75,000 F1: If the Reporting person remains continuously employed with the Issuer in good standing through the earlier to occur of (i) the twelve (12)-month anniversary of April 23, 2018 and (ii) the date that a new Chief Medical Officer begins employment with the Issuer (such earlier date, the "End Date"), 100% of the shares subject to the option will immediately vest on the End Date. |
Filing footnotes · ownership attribution and instrument terms
F1: If the Reporting person remains continuously employed with the Issuer in good standing through the earlier to occur of (i) the twelve (12)-month anniversary of April 23, 2018 and (ii) the date that a new Chief Medical Officer begins employment with the Issuer (such earlier date, the "End Date"), 100% of the shares subject to the option will immediately vest on the End Date.
Adverum Biotechnologies, Inc.
Report date June 23, 2020 · Filed June 25, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $25.64 · Expires 2030-06-22 | Direct | 30,000 |
Reported balance
After 2020-06-23 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2020-06-23 · Grant · Acquired 30,000 · Balance 30,000 F1: The shares subject to the option will vest on the earlier of June 23, 2021 or the 2021 annual meeting of stockholders, subject to (1) accelerated vesting upon a change of control and (2) the Reporting Person's continued service with the Issuer on the vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares subject to the option will vest on the earlier of June 23, 2021 or the 2021 annual meeting of stockholders, subject to (1) accelerated vesting upon a change of control and (2) the Reporting Person's continued service with the Issuer on 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 17, 2026 Filed Jun 22, 2026 22:16 UTC | AEON Biopharma, Inc. AEON · Entity 7859 | GrantClass A Common Stock | 222,684 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-26-076509 · tm2618486-1_4seq1.xml · nonDerivative · entry 1 Carter Eric G · CIK 0001387660 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 258,705 F1 · security: Represents an award of restricted stock units ("RSUs") granted on June 17, 2026 (the "Grant Date"). The RSUs vest in full on the earlier to occur of (i) the one (1) year anniversary of the Grant Date and (ii) the date of the 2027 annual meeting of the Company's stockholders, subject to continued service through the applicable vesting date. F1 · price: Represents an award of restricted stock units ("RSUs") granted on June 17, 2026 (the "Grant Date"). The RSUs vest in full on the earlier to occur of (i) the one (1) year anniversary of the Grant Date and (ii) the date of the 2027 annual meeting of the Company's stockholders, subject to continued service through the applicable vesting date. Read SEC document |
| May 21, 2025 Filed May 23, 2025 20:50 UTC | AEON Biopharma, Inc. AEON · Entity 7859 | GrantRestricted Stock Units · Derivative | 308,641 | $0.00 | $0.00 |
DisclosureSEC source: 0001610717-25-000131 · form4.xml · derivative · entry 1 Carter Eric G · CIK 0001387660 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 308,641 Underlying: Class A Common Stock · 308,641 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit ("RSU") will be settled in cash based on the fair market value of the Issuer's Class A Common Stock on the applicable vesting date. F2 · derivative.exercise_date: 100% of the RSUs shall vest in full on the one year anniversary of May 21, 2025. F2 · derivative.expiration_date: 100% of the RSUs shall vest in full on the one year anniversary of May 21, 2025. Read SEC document |
| August 31, 2024 Filed Sep 5, 2024 01:52 UTC | AEON Biopharma, Inc. AEON · Entity 7859 | GrantStock Option · Derivative | 96,210 | $0.00 Strike: $0.83 | $0.00 |
DisclosureSEC source: 0001104659-24-097061 · tm2423415-1_4seq1.xml · derivative · entry 2 Carter Eric G · CIK 0001387660 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 96,210 Underlying: Class A Common Stock · 96,210 shares Expires 2034-08-30 F2 · shares: Represents an award of stock options granted on August 31, 2024 (the "Grant Date"), which vest and become exercisable in substantially equal monthly installments over the eighteen months following the Grant Date, subject to the reporting person's continued service through the applicable vesting date. F2 · derivative.exercise_date: Represents an award of stock options granted on August 31, 2024 (the "Grant Date"), which vest and become exercisable in substantially equal monthly installments over the eighteen months following the Grant Date, subject to the reporting person's continued service through the applicable vesting date. Read SEC document |
| August 31, 2024 Filed Sep 5, 2024 01:52 UTC | AEON Biopharma, Inc. AEON · Entity 7859 | GrantClass A Common Stock | 36,021 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-24-097061 · tm2423415-1_4seq1.xml · nonDerivative · entry 1 Carter Eric G · CIK 0001387660 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 36,021 F1 · price: Represents an award of restricted stock units granted on August 31, 2024 (the "Grant Date"), which vests in full on the second anniversary of the Grant Date, subject to the reporting person's continued service through the applicable vesting date. Read SEC document |
| March 19, 2024 Filed Mar 21, 2024 23:45 UTC | AEON Biopharma, Inc. AEON · Entity 7859 | GrantStock Option · Derivative | 8,130 | $0.00 Strike: $14.40 | $0.00 |
DisclosureSEC source: 0001104659-24-037434 · tm249503-2_4seq1.xml · derivative · entry 2 Carter Eric G · CIK 0001387660 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 8,130 Underlying: Common Stock · 8,130 shares Expires 2034-03-18 F1 · shares: Represents an award of stock options granted on March 19, 2024 (the "Grant Date"), which vests in substantially equal monthly installments over the one year following the Grant Date, subject to the reporting person's continued service through the applicable vesting date. Option will vest in full upon a Change in Control (as defined in the AEON Biopharma Inc. 2023 Incentive Award Plan) of the Company. F2 · derivative.exercise_date: Represents an award of stock options granted on March 19, 2024 (the "Grant Date"), which vests in substantially equal installments on each of the first, second, third and fourth anniversary of the Grant Date, subject to the reporting person's continued service through the applicable vesting date. Read SEC document |
| March 19, 2024 Filed Mar 21, 2024 23:45 UTC | AEON Biopharma, Inc. AEON · Entity 7859 | GrantStock Option · Derivative | 16,260 | $0.00 Strike: $14.40 | $0.00 |
DisclosureSEC source: 0001104659-24-037434 · tm249503-2_4seq1.xml · derivative · entry 1 Carter Eric G · CIK 0001387660 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 16,260 Underlying: Common Stock · 16,260 shares Expires 2034-03-18 F1 · shares: Represents an award of stock options granted on March 19, 2024 (the "Grant Date"), which vests in substantially equal monthly installments over the one year following the Grant Date, subject to the reporting person's continued service through the applicable vesting date. Option will vest in full upon a Change in Control (as defined in the AEON Biopharma Inc. 2023 Incentive Award Plan) of the Company. F1 · derivative.exercise_date: Represents an award of stock options granted on March 19, 2024 (the "Grant Date"), which vests in substantially equal monthly installments over the one year following the Grant Date, subject to the reporting person's continued service through the applicable vesting date. Option will vest in full upon a Change in Control (as defined in the AEON Biopharma Inc. 2023 Incentive Award Plan) of the Company. Read SEC document |
| August 14, 2023 Filed Aug 16, 2023 20:05 UTC | AEON Biopharma, Inc. AEON · Entity 7859 | GrantStock Option · Derivative | 58,851 | $0.00 Strike: $5.47 | $0.00 |
DisclosureSEC source: 0001104659-23-092542 · tm2323956-1_4seq1.xml · derivative · entry 1 Carter Eric G · CIK 0001387660 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 58,851 Underlying: Common Stock · 58,851 shares Expires 2033-08-13 F1 · shares: Represents an award of stock options on August 14, 2023, which vests in three yearly installments from August 14, 2023, subject to the reporting person's continued service through the applicable vesting date. F1 · derivative.exercise_date: Represents an award of stock options on August 14, 2023, which vests in three yearly installments from August 14, 2023, subject to the reporting person's continued service through the applicable vesting date. Read SEC document |
| July 21, 2023 Filed Jul 25, 2023 01:09 UTC | AEON Biopharma, Inc. AEON · Entity 7859 | GrantStock Option · Derivative | 11,802 | $0.00 Strike: $10.00 | $0.00 |
DisclosureSEC source: 0001104659-23-083568 · tm2321918-11_4seq1.xml · derivative · entry 2 Carter Eric G · CIK 0001387660 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 11,802 Underlying: Common Stock · 11,802 shares Expires 2032-10-05 F1 · shares: On July 21, 2023, pursuant to that certain Business Combination Agreement, dated as of December 12, 2022, as amended April 27, 2023, by and among the Issuer, Priveterra Merger Sub, Inc. ("Merger Sub") and AEON Biopharma, Inc. ("AEON"), upon consummation of the transactions contemplated thereby (the "Effective Time"), each issued and outstanding share of common stock of AEON ("AEON common stock") was automatically cancelled and converted into approximately 2.328 (the "Exchange Ratio") shares of Class A common stock of the Issuer. F2 · shares: At the Effective Time, each outstanding option to purchase shares of AEON common stock (each an "AEON Option") was automatically cancelled and converted into an option to purchase a number of shares of common stock of the Issuer equal to (i) the number of shares of AEON common stock subject to the applicable AEON Option multipled by (ii) the Exchange Ratio, rounded down to the nearest whole share. F4 · shares: Represents an award of stock options on October 5, 2022, which vests in two yearly installments from October 5, 2022, subject to the reporting person's continued service through the applicable vesting date. F1 · price: On July 21, 2023, pursuant to that certain Business Combination Agreement, dated as of December 12, 2022, as amended April 27, 2023, by and among the Issuer, Priveterra Merger Sub, Inc. ("Merger Sub") and AEON Biopharma, Inc. ("AEON"), upon consummation of the transactions contemplated thereby (the "Effective Time"), each issued and outstanding share of common stock of AEON ("AEON common stock") was automatically cancelled and converted into approximately 2.328 (the "Exchange Ratio") shares of Class A common stock of the Issuer. F4 · derivative.exercise_date: Represents an award of stock options on October 5, 2022, which vests in two yearly installments from October 5, 2022, subject to the reporting person's continued service through the applicable vesting date. Read SEC document |
| July 21, 2023 Filed Jul 25, 2023 01:09 UTC | AEON Biopharma, Inc. AEON · Entity 7859 | GrantStock Option · Derivative | 9,007 | $0.00 Strike: $10.00 | $0.00 |
DisclosureSEC source: 0001104659-23-083568 · tm2321918-11_4seq1.xml · derivative · entry 1 Carter Eric G · CIK 0001387660 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 9,007 Underlying: Common Stock · 9,007 shares Expires 2031-09-09 F1 · shares: On July 21, 2023, pursuant to that certain Business Combination Agreement, dated as of December 12, 2022, as amended April 27, 2023, by and among the Issuer, Priveterra Merger Sub, Inc. ("Merger Sub") and AEON Biopharma, Inc. ("AEON"), upon consummation of the transactions contemplated thereby (the "Effective Time"), each issued and outstanding share of common stock of AEON ("AEON common stock") was automatically cancelled and converted into approximately 2.328 (the "Exchange Ratio") shares of Class A common stock of the Issuer. F2 · shares: At the Effective Time, each outstanding option to purchase shares of AEON common stock (each an "AEON Option") was automatically cancelled and converted into an option to purchase a number of shares of common stock of the Issuer equal to (i) the number of shares of AEON common stock subject to the applicable AEON Option multipled by (ii) the Exchange Ratio, rounded down to the nearest whole share. F3 · shares: Represents an award of stock options on September 9, 2021, which vests in four yearly installments from March 9, 2021, subject to the reporting person's continued service through the applicable vesting date. F1 · price: On July 21, 2023, pursuant to that certain Business Combination Agreement, dated as of December 12, 2022, as amended April 27, 2023, by and among the Issuer, Priveterra Merger Sub, Inc. ("Merger Sub") and AEON Biopharma, Inc. ("AEON"), upon consummation of the transactions contemplated thereby (the "Effective Time"), each issued and outstanding share of common stock of AEON ("AEON common stock") was automatically cancelled and converted into approximately 2.328 (the "Exchange Ratio") shares of Class A common stock of the Issuer. F3 · derivative.exercise_date: Represents an award of stock options on September 9, 2021, which vests in four yearly installments from March 9, 2021, subject to the reporting person's continued service through the applicable vesting date. Read SEC document |
| June 23, 2020 Filed Jun 25, 2020 21:44 UTC | Adverum Biotechnologies, Inc. ADVM · Entity 71889 | GrantStock Option (Right to Buy) · Derivative | 30,000 | $0.00 Strike: $25.64 | $0.00 |
DisclosureSEC source: 0001209191-20-038958 · doc4.xml · derivative · entry 1 Carter Eric G · CIK 0001387660 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 Underlying: Common Stock · 30,000 shares Expires 2030-06-22 F1 · derivative.exercise_date: The shares subject to the option will vest on the earlier of June 23, 2021 or the 2021 annual meeting of stockholders, subject to (1) accelerated vesting upon a change of control and (2) the Reporting Person's continued service with the Issuer on the vesting date. Read SEC document |
| July 31, 2019 Filed Aug 2, 2019 20:26 UTC | Adverum Biotechnologies, Inc. ADVM · Entity 71889 | GrantStock Option (Right to Buy) · Derivative | 45,000 | $0.00 Strike: $13.41 | $0.00 |
DisclosureSEC source: 0001209191-19-044256 · doc4.xml · derivative · entry 1 Carter Eric G · CIK 0001387660 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,000 Underlying: Common Stock · 45,000 shares Expires 2029-07-30 F1 · derivative.exercise_date: The shares subject to the option will vest on the earlier of (a) the 2020 annual meeting of stockholders and (b) July 31, 2020. Read SEC document |
| May 31, 2018 Filed Jun 15, 2018 20:28 UTC | Adverum Biotechnologies, Inc. ADVM · Entity 71889 | GrantStock Option (Right to Buy) · Derivative | 35,000 | $0.00 Strike: $6.25 | $0.00 |
DisclosureSEC source: 0001209191-18-038058 · doc4.xml · derivative · entry 1 Carter Eric G · CIK 0001387660 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,000 Underlying: Common Stock · 35,000 shares Expires 2028-05-30 F1 · derivative.exercise_date: The shares subject to the option will vest on the one-year anniversary of May 31, 2018. Read SEC document |
| April 23, 2018 Filed Apr 25, 2018 17:27 UTC | ALDER BIOPHARMACEUTICALS INC ALDR · Entity 154258 | GrantStock Option (Right to Buy) · Derivative | 75,000 | $0.00 Strike: $13.65 | $0.00 |
DisclosureSEC source: 0001209191-18-026121 · doc4.xml · derivative · entry 1 Carter Eric G · CIK 0001387660 · Interim Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,000 Underlying: Common Stock · 75,000 shares Expires 2028-04-22 F1 · derivative.exercise_date: If the Reporting person remains continuously employed with the Issuer in good standing through the earlier to occur of (i) the twelve (12)-month anniversary of April 23, 2018 and (ii) the date that a new Chief Medical Officer begins employment with the Issuer (such earlier date, the "End Date"), 100% of the shares subject to the option will immediately vest on the End Date. Read SEC document |
| September 07, 2017 Filed Sep 8, 2017 22:40 UTC | Adverum Biotechnologies, Inc. ADVM · Entity 71889 | GrantStock Option (Right to Buy) · Derivative | 69,000 | $0.00 Strike: $2.70 | $0.00 |
DisclosureSEC source: 0001209191-17-052148 · doc4.xml · derivative · entry 2 Carter Eric G · CIK 0001387660 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,000 Underlying: Common Stock · 69,000 shares Expires 2027-09-06 F2 · derivative.exercise_date: 1/3 of the total number of shares subject to the option vest and become exercisable on each anniversary of September 7, 2017 (the "Vesting Commencement Date"), such that all of the shares subject to the option shall become vested and exercisable as of the third anniversary of the Vesting Commencement Date, subject to the Reporting Person's continued service with the Issuer on each such vesting date. Read SEC document |
| September 07, 2017 Filed Sep 8, 2017 22:40 UTC | Adverum Biotechnologies, Inc. ADVM · Entity 71889 | GrantCommon Stock | 48,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-052148 · doc4.xml · nonDerivative · entry 1 Carter Eric G · CIK 0001387660 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,000 F1 · shares: Restricted Stock Units ("RSUs"). The Reporting Person is entitled to receive one (1) share of Common Stock of the Issuer for each one (1) RSU upon the vesting thereof. Such RSUs vest with respect to 1/3 of the shares subject thereto on each anniversary of September 7, 2017 (the "Vesting Commencement Date"), such that all of the shares subject to the RSUs shall be vested as of the third anniversary of the Vesting Commencement Date, subject to the Reporting Person's continued service with the Issuer on each such vesting date. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.