Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| EXAGEN INC.XGN · Entity 935 | Director | June 09, 2026 | June 22, 2026 |
| Envoy Medical, Inc.COCH · Entity 7161 | Director | April 15, 2026 | April 17, 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.
EXAGEN INC.
Report date June 09, 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 $4.31 · Expires 2036-06-08 | Direct | 45,000 |
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 37,500 · Balance 45,000 F1: The entire number of shares subject to this option becomes fully vested and exercisable on the first to occur of (a) the first anniversary of the grant date or (b) the next occurring annual meeting of the Issuer's stockholders, subject to the Reporting Person's continued service on the board of directors of the Issuer through such vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: The entire number of shares subject to this option becomes fully vested and exercisable on the first to occur of (a) the first anniversary of the grant date or (b) the next occurring annual meeting of the Issuer's stockholders, subject to the Reporting Person's continued service on the board of directors of the Issuer through such vesting date.
Envoy Medical, Inc.
Report date April 15, 2026 · Filed April 17, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.72 · Expires 2036-04-15 | Direct | 100,000 |
Reported balance
After 2026-04-15 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-04-15 · Grant · Acquired 100,000 · Balance 100,000 F1: Beginning on 5/15/2026, options to purchase Class A Common Stock will vest pro rata on the 15th of each month for 36 consecutive months. |
Filing footnotes · ownership attribution and instrument terms
F1: Beginning on 5/15/2026, options to purchase Class A Common Stock will vest pro rata on the 15th of each month for 36 consecutive months.
Past disclosures · reporting ended (2)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Apollo Endosurgery, Inc.
Report date April 04, 2023 · Filed April 04, 2023
Section 16 reporting ended · disclosed 2023-04-04. 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 2023-04-04 transaction · row 1
1 source rowRow 1 · 2023-04-04 · Disposition to issuer · Disposed 689,880 · Balance 0 F1: Reflects the disposition of the reporting person's 223,635 shares of Issuer common stock, par value $0.001 per share ("Issuer Common Stock"), upon the consummation of the transactions contemplated by the Agreement and Plan of Merger (the "Merger Agreement"), dated as of November 29, 2022, among the Issuer, Boston Scientific Corporation ("Parent") and Textile Merger Sub, Inc., an indirect wholly owned subsidiary of Parent ("Merger Sub"), including the consummation of the merger between Issuer and Merger Sub on April 4, 2023 (the "Merger"). Pursuant to the Merger Agreement, at the effective time of the Merger (the "Effective Time"), each outstanding share of Issuer Common Stock, was canceled and converted automatically into the right to receive $10.00 in cash, without interest (the "Merger Consideration"), less applicable taxes and authorized deductions. F2: Reflects the disposition of the reporting person's 112,607 shares of Issuer RSUs upon the consummation of the Merger. Pursuant to the Merger Agreement, at the Effective Time, each outstanding restricted stock unit award granted under any Issuer Stock Plan (each, an "Issuer RSU"), whether vested but unsettled or unvested, was canceled and converted into the right to receive an amount in cash, without interest, equal to the product of (1) the Merger Consideration and (2) the aggregate number of shares of Issuer Common Stock underlying such Issuer RSU, less applicable taxes and authorized deductions. F3: Reflects the disposition of the reporting person's 353,638 shares of Issuer PSUs upon the consummation of the Merger. Pursuant to the Merger Agreement, at the Effective Time, each outstanding performance restricted stock unit award granted under any Issuer Stock Plan that vests based on achievement of any performance condition and the passage of time (each, an "Issuer PSU"), whether vested but unsettled or unvested, was canceled and converted into the right to receive an amount in cash, without interest, equal to the product of (1) the Merger Consideration and (2) the aggregate number of shares of Issuer Common Stock underlying such Issuer PSU (determined as if all performance conditions in the applicable award agreements relating to such Issuer PSU have been satisfied as of immediately prior to the Effective Time), less applicable taxes and authorized deductions. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.95 · Expires 2031-03-10 | Direct | 0 |
Reported balance
After 2023-04-04 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2023-04-04 · Disposition to issuer · Disposed 848,733 · Balance 0 F4: Pursuant to the Merger Agreement, at the Effective Time, each outstanding and unexercised option to purchase shares of Issuer Common Stock granted under the Issuer's 2006 Stock Option Plan, 2016 Equity Incentive Plan or 2017 Equity Incentive Plan or pursuant to the "inducement" grant exception under Rule 5635(c)(4) of the Nasdaq Listing Rules (collectively, the "Issuer Stock Plans", and each such option, an "Issuer Option"), whether vested or unvested, was canceled and converted into the right to receive an amount in cash, without interest, equal to the product of (1) the amount by which the Merger Consideration exceeds the exercise price per share applicable to such Issuer Option and (2) the aggregate number of shares of Issuer Common Stock issuable upon exercise of such Issuer Option, less applicable taxes and authorized deductions. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.95 · Expires 2032-06-14 | Direct | 0 |
Reported balance
After 2023-04-04 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2023-04-04 · Disposition to issuer · Disposed 459,170 · Balance 0 F4: Pursuant to the Merger Agreement, at the Effective Time, each outstanding and unexercised option to purchase shares of Issuer Common Stock granted under the Issuer's 2006 Stock Option Plan, 2016 Equity Incentive Plan or 2017 Equity Incentive Plan or pursuant to the "inducement" grant exception under Rule 5635(c)(4) of the Nasdaq Listing Rules (collectively, the "Issuer Stock Plans", and each such option, an "Issuer Option"), whether vested or unvested, was canceled and converted into the right to receive an amount in cash, without interest, equal to the product of (1) the amount by which the Merger Consideration exceeds the exercise price per share applicable to such Issuer Option and (2) the aggregate number of shares of Issuer Common Stock issuable upon exercise of such Issuer Option, less applicable taxes and authorized deductions. |
Filing footnotes · ownership attribution and instrument terms
F1: Reflects the disposition of the reporting person's 223,635 shares of Issuer common stock, par value $0.001 per share ("Issuer Common Stock"), upon the consummation of the transactions contemplated by the Agreement and Plan of Merger (the "Merger Agreement"), dated as of November 29, 2022, among the Issuer, Boston Scientific Corporation ("Parent") and Textile Merger Sub, Inc., an indirect wholly owned subsidiary of Parent ("Merger Sub"), including the consummation of the merger between Issuer and Merger Sub on April 4, 2023 (the "Merger"). Pursuant to the Merger Agreement, at the effective time of the Merger (the "Effective Time"), each outstanding share of Issuer Common Stock, was canceled and converted automatically into the right to receive $10.00 in cash, without interest (the "Merger Consideration"), less applicable taxes and authorized deductions.
F2: Reflects the disposition of the reporting person's 112,607 shares of Issuer RSUs upon the consummation of the Merger. Pursuant to the Merger Agreement, at the Effective Time, each outstanding restricted stock unit award granted under any Issuer Stock Plan (each, an "Issuer RSU"), whether vested but unsettled or unvested, was canceled and converted into the right to receive an amount in cash, without interest, equal to the product of (1) the Merger Consideration and (2) the aggregate number of shares of Issuer Common Stock underlying such Issuer RSU, less applicable taxes and authorized deductions.
F3: Reflects the disposition of the reporting person's 353,638 shares of Issuer PSUs upon the consummation of the Merger. Pursuant to the Merger Agreement, at the Effective Time, each outstanding performance restricted stock unit award granted under any Issuer Stock Plan that vests based on achievement of any performance condition and the passage of time (each, an "Issuer PSU"), whether vested but unsettled or unvested, was canceled and converted into the right to receive an amount in cash, without interest, equal to the product of (1) the Merger Consideration and (2) the aggregate number of shares of Issuer Common Stock underlying such Issuer PSU (determined as if all performance conditions in the applicable award agreements relating to such Issuer PSU have been satisfied as of immediately prior to the Effective Time), less applicable taxes and authorized deductions.
F4: Pursuant to the Merger Agreement, at the Effective Time, each outstanding and unexercised option to purchase shares of Issuer Common Stock granted under the Issuer's 2006 Stock Option Plan, 2016 Equity Incentive Plan or 2017 Equity Incentive Plan or pursuant to the "inducement" grant exception under Rule 5635(c)(4) of the Nasdaq Listing Rules (collectively, the "Issuer Stock Plans", and each such option, an "Issuer Option"), whether vested or unvested, was canceled and converted into the right to receive an amount in cash, without interest, equal to the product of (1) the amount by which the Merger Consideration exceeds the exercise price per share applicable to such Issuer Option and (2) the aggregate number of shares of Issuer Common Stock issuable upon exercise of such Issuer Option, less applicable taxes and authorized deductions.
Silk Road Medical Inc
Report date September 17, 2024 · Filed September 18, 2024
Section 16 reporting ended · disclosed 2024-09-18. 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 |
Ending reported balance
After 2024-09-17 transaction · row 3
3 source rows · reconciled sequenceRow 1 · 2024-09-17 · Disposition to issuer · Disposed 722,396 · Balance 0 F1: The reported shares are represented by restricted stock units, or RSUs, each of which represents a contingent right to receive one share of Issuer common stock. F2: Pursuant to the Agreement and Plan of Merger dated June 17, 2024, between the Issuer, Boston Scientific Corporation and Seminole Merger Sub, Inc, (the "Merger Agreement"), each RSU was canceled and converted into the right to receive an amount in cash, without interest, equal to the product of (i) $27.50 per unit in cash (the "Merger Consideration") and (ii) the aggregate number of shares underlying the RSUs, less applicable taxes and authorized deductions. Row 2 · 2024-09-17 · Grant · Acquired 1,299,042 · Balance 1,299,042 F3: Immediately prior to the effective time of the merger, certain RSUs subject to the achievement of performance-based criteria, or PSUs, were deemed achieved and certified by the Issuer's compensation committee. Row 3 · 2024-09-17 · Disposition to issuer · Disposed 1,299,042 · Balance 0 F4: Pursuant to the Merger Agreement, each PSU was canceled and converted into the right to receive an amount in cash, without interest, equal to the product of (i) the Merger Consideration and (ii) the aggregate number of shares underlying the PSUs, less applicable taxes and authorized deductions. |
Filing footnotes · ownership attribution and instrument terms
F1: The reported shares are represented by restricted stock units, or RSUs, each of which represents a contingent right to receive one share of Issuer common stock.
F2: Pursuant to the Agreement and Plan of Merger dated June 17, 2024, between the Issuer, Boston Scientific Corporation and Seminole Merger Sub, Inc, (the "Merger Agreement"), each RSU was canceled and converted into the right to receive an amount in cash, without interest, equal to the product of (i) $27.50 per unit in cash (the "Merger Consideration") and (ii) the aggregate number of shares underlying the RSUs, less applicable taxes and authorized deductions.
F3: Immediately prior to the effective time of the merger, certain RSUs subject to the achievement of performance-based criteria, or PSUs, were deemed achieved and certified by the Issuer's compensation committee.
F4: Pursuant to the Merger Agreement, each PSU was canceled and converted into the right to receive an amount in cash, without interest, equal to the product of (i) the Merger Consideration and (ii) the aggregate number of shares underlying the PSUs, less applicable taxes and authorized deductions.
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 09, 2026 Filed Jun 22, 2026 17:11 UTC | EXAGEN INC. XGN · Entity 935 | GrantStock Option(right to buy) · Derivative | 37,500 | $0.00 Strike: $4.31 | $0.00 |
DisclosureSEC source: 0001274737-26-000038 · wk-form4_1782148287.xml · derivative · entry 1 McKhann Chas · CIK 0001631746 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 45,000 Underlying: Common Stock · 37,500 shares Expires 2036-06-08 F1 · derivative.expiration_date: The entire number of shares subject to this option becomes fully vested and exercisable on the first to occur of (a) the first anniversary of the grant date or (b) the next occurring annual meeting of the Issuer's stockholders, subject to the Reporting Person's continued service on the board of directors of the Issuer through such vesting date. Read SEC document |
| April 15, 2026 Filed Apr 17, 2026 20:32 UTC | Envoy Medical, Inc. COCH · Entity 7161 | GrantStock Option (Right to Buy) · Derivative | 100,000 | $0.00 Strike: $0.72 | $0.00 |
DisclosureSEC source: 0000914190-26-000077 · form4.xml · derivative · entry 1 McKhann Chas · CIK 0001631746 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 100,000 Underlying: Class A Common Stock · 100,000 shares Expires 2036-04-15 F1 · derivative.exercise_date: Beginning on 5/15/2026, options to purchase Class A Common Stock will vest pro rata on the 15th of each month for 36 consecutive months. Read SEC document |
| September 17, 2024 Filed Sep 18, 2024 20:19 UTC | Silk Road Medical Inc SILK · Entity 87417 | Disposition to issuerCommon Stock | 1,299,042 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-24-041406 · form4.xml · nonDerivative · entry 3 McKhann Chas · CIK 0001631746 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 F4 · price: Pursuant to the Merger Agreement, each PSU was canceled and converted into the right to receive an amount in cash, without interest, equal to the product of (i) the Merger Consideration and (ii) the aggregate number of shares underlying the PSUs, less applicable taxes and authorized deductions. Read SEC document |
| September 17, 2024 Filed Sep 18, 2024 20:19 UTC | Silk Road Medical Inc SILK · Entity 87417 | GrantCommon Stock | 1,299,042 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-24-041406 · form4.xml · nonDerivative · entry 2 McKhann Chas · CIK 0001631746 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,299,042 F3 · shares: Immediately prior to the effective time of the merger, certain RSUs subject to the achievement of performance-based criteria, or PSUs, were deemed achieved and certified by the Issuer's compensation committee. Read SEC document |
| September 17, 2024 Filed Sep 18, 2024 20:19 UTC | Silk Road Medical Inc SILK · Entity 87417 | Disposition to issuerCommon Stock | 722,396 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-24-041406 · form4.xml · nonDerivative · entry 1 McKhann Chas · CIK 0001631746 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 F1 · shares: The reported shares are represented by restricted stock units, or RSUs, each of which represents a contingent right to receive one share of Issuer common stock. F2 · price: Pursuant to the Agreement and Plan of Merger dated June 17, 2024, between the Issuer, Boston Scientific Corporation and Seminole Merger Sub, Inc, (the "Merger Agreement"), each RSU was canceled and converted into the right to receive an amount in cash, without interest, equal to the product of (i) $27.50 per unit in cash (the "Merger Consideration") and (ii) the aggregate number of shares underlying the RSUs, less applicable taxes and authorized deductions. Read SEC document |
| March 01, 2024 Filed Mar 5, 2024 18:17 UTC | Silk Road Medical Inc SILK · Entity 87417 | GrantCommon Stock | 110,313 | $0.00 | $0.00 |
DisclosureSEC source: 0001593968-24-000432 · primary_01.xml · nonDerivative · entry 1 McKhann Chas · CIK 0001631746 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 722,396 F1 · shares: The reported securities are represented by restricted stock units ("RSUs"), each of which represents a contingent right to receive one share of SILK common stock. 25% of the shares shall vest on March 1, 2025 and each one-year anniversary thereafter, subject to the Reporting Person continuing as a service provider through each such date. Read SEC document |
| November 02, 2023 Filed Nov 3, 2023 18:50 UTC | Silk Road Medical Inc SILK · Entity 87417 | GrantCommon Stock | 612,083 | $0.00 | $0.00 |
DisclosureSEC source: 0001593968-23-001398 · primary_01.xml · nonDerivative · entry 1 McKhann Chas · CIK 0001631746 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 612,083 F1 · shares: The reported securities are represented by restricted stock units ("RSUs"), each of which represents a contingent right to receive one share of SILK common stock. 25% of the shares shall vest on November 2, 2024 and each one-year anniversary thereafter, subject to the Reporting Person continuing as a service provider through each such date. Read SEC document |
| April 04, 2023 Filed Apr 4, 2023 19:55 UTC | Apollo Endosurgery, Inc. APEN · Entity 114713 | Disposition to issuerStock Option (Right to Buy) · Derivative | 459,170 | Not disclosed Strike: $3.95 | Not disclosed |
DisclosureSEC source: 0001251769-23-000027 · wf-form4_168065254258996.xml · derivative · entry 3 McKhann Chas · CIK 0001631746 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 459,170 shares Expires 2032-06-14 F4 · price: Pursuant to the Merger Agreement, at the Effective Time, each outstanding and unexercised option to purchase shares of Issuer Common Stock granted under the Issuer's 2006 Stock Option Plan, 2016 Equity Incentive Plan or 2017 Equity Incentive Plan or pursuant to the "inducement" grant exception under Rule 5635(c)(4) of the Nasdaq Listing Rules (collectively, the "Issuer Stock Plans", and each such option, an "Issuer Option"), whether vested or unvested, was canceled and converted into the right to receive an amount in cash, without interest, equal to the product of (1) the amount by which the Merger Consideration exceeds the exercise price per share applicable to such Issuer Option and (2) the aggregate number of shares of Issuer Common Stock issuable upon exercise of such Issuer Option, less applicable taxes and authorized deductions. F4 · derivative.exercise_date: Pursuant to the Merger Agreement, at the Effective Time, each outstanding and unexercised option to purchase shares of Issuer Common Stock granted under the Issuer's 2006 Stock Option Plan, 2016 Equity Incentive Plan or 2017 Equity Incentive Plan or pursuant to the "inducement" grant exception under Rule 5635(c)(4) of the Nasdaq Listing Rules (collectively, the "Issuer Stock Plans", and each such option, an "Issuer Option"), whether vested or unvested, was canceled and converted into the right to receive an amount in cash, without interest, equal to the product of (1) the amount by which the Merger Consideration exceeds the exercise price per share applicable to such Issuer Option and (2) the aggregate number of shares of Issuer Common Stock issuable upon exercise of such Issuer Option, less applicable taxes and authorized deductions. Read SEC document |
| April 04, 2023 Filed Apr 4, 2023 19:55 UTC | Apollo Endosurgery, Inc. APEN · Entity 114713 | Disposition to issuerStock Option (Right to Buy) · Derivative | 848,733 | Not disclosed Strike: $5.95 | Not disclosed |
DisclosureSEC source: 0001251769-23-000027 · wf-form4_168065254258996.xml · derivative · entry 2 McKhann Chas · CIK 0001631746 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 848,733 shares Expires 2031-03-10 F4 · price: Pursuant to the Merger Agreement, at the Effective Time, each outstanding and unexercised option to purchase shares of Issuer Common Stock granted under the Issuer's 2006 Stock Option Plan, 2016 Equity Incentive Plan or 2017 Equity Incentive Plan or pursuant to the "inducement" grant exception under Rule 5635(c)(4) of the Nasdaq Listing Rules (collectively, the "Issuer Stock Plans", and each such option, an "Issuer Option"), whether vested or unvested, was canceled and converted into the right to receive an amount in cash, without interest, equal to the product of (1) the amount by which the Merger Consideration exceeds the exercise price per share applicable to such Issuer Option and (2) the aggregate number of shares of Issuer Common Stock issuable upon exercise of such Issuer Option, less applicable taxes and authorized deductions. F4 · derivative.exercise_date: Pursuant to the Merger Agreement, at the Effective Time, each outstanding and unexercised option to purchase shares of Issuer Common Stock granted under the Issuer's 2006 Stock Option Plan, 2016 Equity Incentive Plan or 2017 Equity Incentive Plan or pursuant to the "inducement" grant exception under Rule 5635(c)(4) of the Nasdaq Listing Rules (collectively, the "Issuer Stock Plans", and each such option, an "Issuer Option"), whether vested or unvested, was canceled and converted into the right to receive an amount in cash, without interest, equal to the product of (1) the amount by which the Merger Consideration exceeds the exercise price per share applicable to such Issuer Option and (2) the aggregate number of shares of Issuer Common Stock issuable upon exercise of such Issuer Option, less applicable taxes and authorized deductions. Read SEC document |
| April 04, 2023 Filed Apr 4, 2023 19:55 UTC | Apollo Endosurgery, Inc. APEN · Entity 114713 | Disposition to issuerCommon Stock | 689,880 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001251769-23-000027 · wf-form4_168065254258996.xml · nonDerivative · entry 1 McKhann Chas · CIK 0001631746 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 F1 · shares: Reflects the disposition of the reporting person's 223,635 shares of Issuer common stock, par value $0.001 per share ("Issuer Common Stock"), upon the consummation of the transactions contemplated by the Agreement and Plan of Merger (the "Merger Agreement"), dated as of November 29, 2022, among the Issuer, Boston Scientific Corporation ("Parent") and Textile Merger Sub, Inc., an indirect wholly owned subsidiary of Parent ("Merger Sub"), including the consummation of the merger between Issuer and Merger Sub on April 4, 2023 (the "Merger"). Pursuant to the Merger Agreement, at the effective time of the Merger (the "Effective Time"), each outstanding share of Issuer Common Stock, was canceled and converted automatically into the right to receive $10.00 in cash, without interest (the "Merger Consideration"), less applicable taxes and authorized deductions. F2 · shares: Reflects the disposition of the reporting person's 112,607 shares of Issuer RSUs upon the consummation of the Merger. Pursuant to the Merger Agreement, at the Effective Time, each outstanding restricted stock unit award granted under any Issuer Stock Plan (each, an "Issuer RSU"), whether vested but unsettled or unvested, was canceled and converted into the right to receive an amount in cash, without interest, equal to the product of (1) the Merger Consideration and (2) the aggregate number of shares of Issuer Common Stock underlying such Issuer RSU, less applicable taxes and authorized deductions. F3 · shares: Reflects the disposition of the reporting person's 353,638 shares of Issuer PSUs upon the consummation of the Merger. Pursuant to the Merger Agreement, at the Effective Time, each outstanding performance restricted stock unit award granted under any Issuer Stock Plan that vests based on achievement of any performance condition and the passage of time (each, an "Issuer PSU"), whether vested but unsettled or unvested, was canceled and converted into the right to receive an amount in cash, without interest, equal to the product of (1) the Merger Consideration and (2) the aggregate number of shares of Issuer Common Stock underlying such Issuer PSU (determined as if all performance conditions in the applicable award agreements relating to such Issuer PSU have been satisfied as of immediately prior to the Effective Time), less applicable taxes and authorized deductions. F1 · price: Reflects the disposition of the reporting person's 223,635 shares of Issuer common stock, par value $0.001 per share ("Issuer Common Stock"), upon the consummation of the transactions contemplated by the Agreement and Plan of Merger (the "Merger Agreement"), dated as of November 29, 2022, among the Issuer, Boston Scientific Corporation ("Parent") and Textile Merger Sub, Inc., an indirect wholly owned subsidiary of Parent ("Merger Sub"), including the consummation of the merger between Issuer and Merger Sub on April 4, 2023 (the "Merger"). Pursuant to the Merger Agreement, at the effective time of the Merger (the "Effective Time"), each outstanding share of Issuer Common Stock, was canceled and converted automatically into the right to receive $10.00 in cash, without interest (the "Merger Consideration"), less applicable taxes and authorized deductions. F2 · price: Reflects the disposition of the reporting person's 112,607 shares of Issuer RSUs upon the consummation of the Merger. Pursuant to the Merger Agreement, at the Effective Time, each outstanding restricted stock unit award granted under any Issuer Stock Plan (each, an "Issuer RSU"), whether vested but unsettled or unvested, was canceled and converted into the right to receive an amount in cash, without interest, equal to the product of (1) the Merger Consideration and (2) the aggregate number of shares of Issuer Common Stock underlying such Issuer RSU, less applicable taxes and authorized deductions. F3 · price: Reflects the disposition of the reporting person's 353,638 shares of Issuer PSUs upon the consummation of the Merger. Pursuant to the Merger Agreement, at the Effective Time, each outstanding performance restricted stock unit award granted under any Issuer Stock Plan that vests based on achievement of any performance condition and the passage of time (each, an "Issuer PSU"), whether vested but unsettled or unvested, was canceled and converted into the right to receive an amount in cash, without interest, equal to the product of (1) the Merger Consideration and (2) the aggregate number of shares of Issuer Common Stock underlying such Issuer PSU (determined as if all performance conditions in the applicable award agreements relating to such Issuer PSU have been satisfied as of immediately prior to the Effective Time), less applicable taxes and authorized deductions. Read SEC document |
| June 14, 2022 Filed Jun 16, 2022 21:17 UTC | Apollo Endosurgery, Inc. APEN · Entity 114713 | GrantStock Option (Right to Buy) · Derivative | 459,170 | $0.00 Strike: $3.95 | $0.00 |
DisclosureSEC source: 0001251769-22-000053 · wf-form4_165542864144500.xml · derivative · entry 2 McKhann Chas · CIK 0001631746 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 459,170 Underlying: Common Stock · 459,170 shares Expires 2032-06-14 F2 · derivative.exercise_date: The shares underlying the option shall vest as to 25% on the first anniversary of the grant date and the remainder will vest in equal monthly installments over the following three years, subject to the Reporting Person providing continuous service to the Issuer through each such date. Accelerated vesting may occur in the event of a Change in Control, as that term is defined in the Apollo Endosurgery, Inc. 2017 Equity Incentive Plan. Read SEC document |
| June 14, 2022 Filed Jun 16, 2022 21:17 UTC | Apollo Endosurgery, Inc. APEN · Entity 114713 | GrantCommon Stock | 112,607 | $0.00 | $0.00 |
DisclosureSEC source: 0001251769-22-000053 · wf-form4_165542864144500.xml · nonDerivative · entry 1 McKhann Chas · CIK 0001631746 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 689,880 F1 · shares: Represents the grant of Restricted Stock Units ("RSUs"). Each RSU provides the Reporting Person with a contingent right to receive one share of the Issuer's common stock pursuant to the Issuer's 2017 Equity Incentive Plan (the "Plan"). The RSUs vest in equal annual installments over four years commencing on the grant date, subject to the Reporting Person providing continuous service to the Issuer through each such date. Accelerated vesting may occur in the event of a Change in Control, as that term is defined in the Plan. Read SEC document |
| May 05, 2022 Filed May 9, 2022 16:31 UTC | Apollo Endosurgery, Inc. APEN · Entity 114713 | Tax withholdingCommon Stock | 66,553 | $5.42 | $360,717.26 |
DisclosureSEC source: 0001251769-22-000036 · wf-form4_165212829075036.xml · nonDerivative · entry 1 McKhann Chas · CIK 0001631746 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 577,273 F1 · kind: This transaction is not a sale of shares by the Reporting Person in the open market. Instead, this represents shares that have been withheld by the Issuer to satisfy the Reporting Person's income tax and withholding obligation in connection with the vesting of the second tranche of previously reported performance-based vesting restricted stock units reported on the Form 4 dated March 12, 2021. This net settlement was approved by the Issuer's compensation committee. Read SEC document |
| August 20, 2021 Filed Aug 20, 2021 20:55 UTC Amendment | Apollo Endosurgery, Inc. APEN · Entity 114713 | SaleCommon Stock | 21,148 | $7.74 | $163,685.52 |
DisclosureSEC source: 0001251769-21-000107 · wf-form4a_162950729073044.xml · nonDerivative · entry 3 McKhann Chas · CIK 0001631746 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 643,826 F1 · security: On March 10, 2021, the holder was granted 707,278 performance-based restricted stock units ("RSUs"), as previously reported on a Form 4 filed on March 12, 2021. One-quarter (25%) of these RSUs vested upon the Company's achievement of at least $50 million of revenue for the trailing four quarters ended June 30, 2021. Amounts reported represent shares sold by the holder solely to satisfy the holder's tax withholding obligation due in connection with the vesting and settlement of this tranche of the RSUs. F4 · price: Represents weighted average price of shares sold. Prices ranged between $7.59 - $8.09, inclusive. The holder undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| August 20, 2021 Filed Aug 20, 2021 17:42 UTC | Apollo Endosurgery, Inc. APEN · Entity 114713 | SaleCommon Stock | 21,148 | $7.74 | $163,685.52 |
DisclosureSEC source: 0001251769-21-000105 · wf-form4_162949574640442.xml · nonDerivative · entry 3 McKhann Chas · CIK 0001631746 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 643,826 F3 · price: Represents weighted average price of shares sold. Prices ranged between $7.59 - $8.09, inclusive. The holder undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| August 19, 2021 Filed Aug 20, 2021 20:55 UTC Amendment | Apollo Endosurgery, Inc. APEN · Entity 114713 | SaleCommon Stock | 21,148 | $7.89 | $166,857.72 |
DisclosureSEC source: 0001251769-21-000107 · wf-form4a_162950729073044.xml · nonDerivative · entry 2 McKhann Chas · CIK 0001631746 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 664,974 F1 · security: On March 10, 2021, the holder was granted 707,278 performance-based restricted stock units ("RSUs"), as previously reported on a Form 4 filed on March 12, 2021. One-quarter (25%) of these RSUs vested upon the Company's achievement of at least $50 million of revenue for the trailing four quarters ended June 30, 2021. Amounts reported represent shares sold by the holder solely to satisfy the holder's tax withholding obligation due in connection with the vesting and settlement of this tranche of the RSUs. F3 · price: Represents weighted average price of shares sold. Prices ranged between $7.68 - $8.15, inclusive. The holder undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| August 19, 2021 Filed Aug 20, 2021 17:42 UTC | Apollo Endosurgery, Inc. APEN · Entity 114713 | SaleCommon Stock | 21,148 | $7.89 | $166,857.72 |
DisclosureSEC source: 0001251769-21-000105 · wf-form4_162949574640442.xml · nonDerivative · entry 2 McKhann Chas · CIK 0001631746 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 664,974 F2 · price: Represents weighted average price of shares sold. Prices ranged between $7.68 - $8.15, inclusive. The holder undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| August 18, 2021 Filed Aug 20, 2021 20:55 UTC Amendment | Apollo Endosurgery, Inc. APEN · Entity 114713 | SaleCommon Stock | 21,156 | $8.21 | $173,690.76 |
DisclosureSEC source: 0001251769-21-000107 · wf-form4a_162950729073044.xml · nonDerivative · entry 1 McKhann Chas · CIK 0001631746 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 686,122 F1 · security: On March 10, 2021, the holder was granted 707,278 performance-based restricted stock units ("RSUs"), as previously reported on a Form 4 filed on March 12, 2021. One-quarter (25%) of these RSUs vested upon the Company's achievement of at least $50 million of revenue for the trailing four quarters ended June 30, 2021. Amounts reported represent shares sold by the holder solely to satisfy the holder's tax withholding obligation due in connection with the vesting and settlement of this tranche of the RSUs. F2 · price: Represents weighted average price of shares sold. Prices ranged between $8.02 - $8.55, inclusive. The holder undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| August 18, 2021 Filed Aug 20, 2021 17:42 UTC | Apollo Endosurgery, Inc. APEN · Entity 114713 | SaleCommon Stock | 21,156 | $8.21 | $173,690.76 |
DisclosureSEC source: 0001251769-21-000105 · wf-form4_162949574640442.xml · nonDerivative · entry 1 McKhann Chas · CIK 0001631746 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 686,122 F1 · price: Represents weighted average price of shares sold. Prices ranged between $8.02 - $8.55, inclusive. The holder undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| March 10, 2021 Filed Mar 12, 2021 17:44 UTC | Apollo Endosurgery, Inc. APEN · Entity 114713 | GrantStock Option (Right to Buy) · Derivative | 848,733 | $5.95 Strike: $5.95 | $5,049,961.35 |
DisclosureSEC source: 0001251769-21-000032 · wf-form4_161558903063463.xml · derivative · entry 2 McKhann Chas · CIK 0001631746 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 848,733 Underlying: Common Stock · 848,733 shares Expires 2031-03-10 F2 · date: The shares underlying the option will vest over a period of four years, with 25% of the shares vesting on the first anniversary of the grant date and the remainder will vest in equal monthly installments over the following three years, subject to the Reporting Person providing continuous service to the Issuer through each such date. Accelerated vesting may occur in the event of a Change in Control, as that term is defined in the Apollo Endosurgery, Inc. 2017 Equity Incentive Plan. The option, which was granted outside of the 2017 Equity Incentive Plan, was approved by the Issuer's Board of Directors and issued pursuant to the "inducement" grant exception under Listing Rule 5635(c)(4) of the Nasdaq Stock Market LLC. The option will be governed by the terms of the 2017 Equity Incentive Plan. F2 · derivative.exercise_date: The shares underlying the option will vest over a period of four years, with 25% of the shares vesting on the first anniversary of the grant date and the remainder will vest in equal monthly installments over the following three years, subject to the Reporting Person providing continuous service to the Issuer through each such date. Accelerated vesting may occur in the event of a Change in Control, as that term is defined in the Apollo Endosurgery, Inc. 2017 Equity Incentive Plan. The option, which was granted outside of the 2017 Equity Incentive Plan, was approved by the Issuer's Board of Directors and issued pursuant to the "inducement" grant exception under Listing Rule 5635(c)(4) of the Nasdaq Stock Market LLC. The option will be governed by the terms of the 2017 Equity Incentive Plan. Read SEC document |
| March 10, 2021 Filed Mar 12, 2021 17:44 UTC | Apollo Endosurgery, Inc. APEN · Entity 114713 | GrantCommon Stock | 707,278 | $0.00 | $0.00 |
DisclosureSEC source: 0001251769-21-000032 · wf-form4_161558903063463.xml · nonDerivative · entry 1 McKhann Chas · CIK 0001631746 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 707,278 F1 · date: Represents the grant of Restricted Stock Units ("RSU"). Each RSU provides the Reporting Person with a contingent right to receive one share of the Issuer's common stock. One quarter of the RSU grant will vest upon the achievement of revenue for the trailing for the trailing four quarters equal to each of $50 million, $65 million, $80 million and $95 million, subject to the Reporting Person providing continuous service to the Issuer through each such date. Accelerated vesting may occur in the event of a Change in Control, as that term is defined in the Apollo Endosurgery, Inc. 2017 Equity Incentive Plan. The RSU grant, which was granted outside of the 2017 Equity Incentive Plan, was approved by the Issuer's Board of Directors and issued pursuant to the "inducement" grant exception under Listing Rule 5635(c)(4) of the Nasdaq Stock Market LLC. The RSU grant will be governed by the terms of the 2017 Equity Incentive Plan. 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.