Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CAPRICOR THERAPEUTICS, INC.CAPR · Entity 5337 | Director | January 05, 2026 | January 07, 2026 |
| OmniAb, Inc.OABI · Entity 5294 | Director | June 17, 2026 | June 18, 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.
CAPRICOR THERAPEUTICS, INC.
Report date January 05, 2026 · Filed January 07, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $24.81 · Expires 2036-01-05 | Direct | 15,500 |
Reported balance
After 2026-01-05 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-01-05 · Grant · Acquired 15,500 · Balance 15,500 F1: The shares vest 1/12th of the first day of each month, commencing February 1, 2026, with the last month vesting on December 31, 2026, until the stock option becomes fully vested and exercisable. The award pertains to annual board service. The option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Issuer if the reporting person's service to the Issuer terminates prior to vesting. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares vest 1/12th of the first day of each month, commencing February 1, 2026, with the last month vesting on December 31, 2026, until the stock option becomes fully vested and exercisable. The award pertains to annual board service. The option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Issuer if the reporting person's service to the Issuer terminates prior to vesting.
OmniAb, Inc.
Report date June 17, 2026 · Filed June 18, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 33,333 |
Reported balance
After 2026-06-17 transaction · row 1
1 source rowRow 1 · 2026-06-17 · Exercise / conversion · Acquired 20,000 · Balance 33,333 F1: Represents the vesting of an RSU granted on June 17, 2025, which occurs on the earlier of (A) the date of the next annual meeting of the Company's stockholders following the grant date and (B) the first anniversary of the grant date. F2: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 26,667 |
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 · Exercise / conversion · Disposed 20,000 · Balance 26,667 F2: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock. F1: Represents the vesting of an RSU granted on June 17, 2025, which occurs on the earlier of (A) the date of the next annual meeting of the Company's stockholders following the grant date and (B) the first anniversary of the grant date. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 46,667 |
Reported balance
After 2026-06-17 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2026-06-17 · Grant · Acquired 20,000 · Balance 46,667 F2: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock. F3: The RSUs shall vest in full on the earlier of (A) the date of the next annual meeting of the Company's stockholders following the grant date and (B) the first anniversary of the grant date. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.03 · Expires 2036-06-17 | Direct | 40,000 |
Reported balance
After 2026-06-17 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2026-06-17 · Grant · Acquired 40,000 · Balance 40,000 F4: Each Stock Option shall vest and become exercisable in full on the earlier of (A) the date of the next annual meeting of the Company's stockholders following the grant date and (B) the first anniversary of the date of grant. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents the vesting of an RSU granted on June 17, 2025, which occurs on the earlier of (A) the date of the next annual meeting of the Company's stockholders following the grant date and (B) the first anniversary of the grant date.
F2: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.
F3: The RSUs shall vest in full on the earlier of (A) the date of the next annual meeting of the Company's stockholders following the grant date and (B) the first anniversary of the grant date.
F4: Each Stock Option shall vest and become exercisable in full on the earlier of (A) the date of the next annual meeting of the Company's stockholders following the grant date and (B) the first anniversary of the date of grant.
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 18, 2026 20:31 UTC | OmniAb, Inc. OABI · Entity 5294 | GrantStock Option (right to buy) · Derivative | 40,000 | $0.00 Strike: $2.03 | $0.00 |
DisclosureSEC source: 0001982655-26-000007 · wk-form4_1781814686.xml · derivative · entry 4 Gotwals Philip J · CIK 0001982655 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Stock · 40,000 shares Expires 2036-06-17 F4 · derivative.exercise_date: Each Stock Option shall vest and become exercisable in full on the earlier of (A) the date of the next annual meeting of the Company's stockholders following the grant date and (B) the first anniversary of the date of grant. Read SEC document |
| June 17, 2026 Filed Jun 18, 2026 20:31 UTC | OmniAb, Inc. OABI · Entity 5294 | GrantRestricted Stock Units · Derivative | 20,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001982655-26-000007 · wk-form4_1781814686.xml · derivative · entry 3 Gotwals Philip J · CIK 0001982655 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 46,667 Underlying: Common Stock · 20,000 shares Expires not disclosed F2 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock. F3 · derivative.exercise_date: The RSUs shall vest in full on the earlier of (A) the date of the next annual meeting of the Company's stockholders following the grant date and (B) the first anniversary of the grant date. F3 · derivative.expiration_date: The RSUs shall vest in full on the earlier of (A) the date of the next annual meeting of the Company's stockholders following the grant date and (B) the first anniversary of the grant date. Read SEC document |
| June 17, 2026 Filed Jun 18, 2026 20:31 UTC | OmniAb, Inc. OABI · Entity 5294 | Exercise / conversionRestricted Stock Units · Derivative | 20,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001982655-26-000007 · wk-form4_1781814686.xml · derivative · entry 2 Gotwals Philip J · CIK 0001982655 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 26,667 Underlying: Common Stock · 20,000 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. F2 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock. F1 · derivative.exercise_date: Represents the vesting of an RSU granted on June 17, 2025, which occurs on the earlier of (A) the date of the next annual meeting of the Company's stockholders following the grant date and (B) the first anniversary of the grant date. F1 · derivative.expiration_date: Represents the vesting of an RSU granted on June 17, 2025, which occurs on the earlier of (A) the date of the next annual meeting of the Company's stockholders following the grant date and (B) the first anniversary of the grant date. Read SEC document |
| June 17, 2026 Filed Jun 18, 2026 20:31 UTC | OmniAb, Inc. OABI · Entity 5294 | Exercise / conversionCommon Stock | 20,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001982655-26-000007 · wk-form4_1781814686.xml · nonDerivative · entry 1 Gotwals Philip J · CIK 0001982655 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 33,333 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 · shares: Represents the vesting of an RSU granted on June 17, 2025, which occurs on the earlier of (A) the date of the next annual meeting of the Company's stockholders following the grant date and (B) the first anniversary of the grant date. F2 · price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock. Read SEC document |
| April 21, 2026 Filed Apr 21, 2026 20:06 UTC | OmniAb, Inc. OABI · Entity 5294 | Exercise / conversionRestricted Stock Units · Derivative | 13,333 | $0.00 | $0.00 |
DisclosureSEC source: 0001982655-26-000005 · wk-form4_1776802003.xml · derivative · entry 2 Gotwals Philip J · CIK 0001982655 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 46,667 Underlying: Common Stock · 13,333 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. F2 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock. F1 · derivative.exercise_date: Represents the vesting of an RSU which occurs in three substantially equal annual installments, beginning April 21, 2026, subject to the Reporting Person's continued service to the Issuer through each such vesting date. F1 · derivative.expiration_date: Represents the vesting of an RSU which occurs in three substantially equal annual installments, beginning April 21, 2026, subject to the Reporting Person's continued service to the Issuer through each such vesting date. Read SEC document |
| April 21, 2026 Filed Apr 21, 2026 20:06 UTC | OmniAb, Inc. OABI · Entity 5294 | Exercise / conversionCommon Stock | 13,333 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001982655-26-000005 · wk-form4_1776802003.xml · nonDerivative · entry 1 Gotwals Philip J · CIK 0001982655 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 13,333 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 · shares: Represents the vesting of an RSU which occurs in three substantially equal annual installments, beginning April 21, 2026, subject to the Reporting Person's continued service to the Issuer through each such vesting date. F2 · price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock. Read SEC document |
| January 05, 2026 Filed Jan 7, 2026 21:45 UTC | CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 | GrantStock Option (Right to Buy) · Derivative | 15,500 | $0.00 Strike: $24.81 | $0.00 |
DisclosureSEC source: 0001982655-26-000002 · form4-01072026_040115.xml · derivative · entry 1 Gotwals Philip J · CIK 0001982655 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 15,500 Underlying: Common Stock · 15,500 shares Expires 2036-01-05 F1 · derivative.exercise_date: The shares vest 1/12th of the first day of each month, commencing February 1, 2026, with the last month vesting on December 31, 2026, until the stock option becomes fully vested and exercisable. The award pertains to annual board service. The option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Issuer if the reporting person's service to the Issuer terminates prior to vesting. Read SEC document |
| June 17, 2025 Filed Jun 18, 2025 20:14 UTC | OmniAb, Inc. OABI · Entity 5294 | GrantStock Option (right to buy) · Derivative | 40,000 | $0.00 Strike: $1.70 | $0.00 |
DisclosureSEC source: 0001982655-25-000005 · wk-form4_1750277638.xml · derivative · entry 2 Gotwals Philip J · CIK 0001982655 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Stock · 40,000 shares Expires 2035-06-17 F3 · derivative.exercise_date: Each Stock Option shall vest and become exercisable in full on the earlier of (A) the date of the next annual meeting of the Company's stockholders following the grant date and (B) the first anniversary of the date of grant. Read SEC document |
| June 17, 2025 Filed Jun 18, 2025 20:14 UTC | OmniAb, Inc. OABI · Entity 5294 | GrantRestricted Stock Units · Derivative | 20,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001982655-25-000005 · wk-form4_1750277638.xml · derivative · entry 1 Gotwals Philip J · CIK 0001982655 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 60,000 Underlying: Common Stock · 20,000 shares Expires not disclosed F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock. F2 · derivative.exercise_date: The RSUs shall vest in full on the earlier of (A) the date of the next annual meeting of the Company's stockholders following the grant date and (B) the first anniversary of the grant date. F2 · derivative.expiration_date: The RSUs shall vest in full on the earlier of (A) the date of the next annual meeting of the Company's stockholders following the grant date and (B) the first anniversary of the grant date. Read SEC document |
| April 21, 2025 Filed Apr 21, 2025 23:51 UTC | OmniAb, Inc. OABI · Entity 5294 | GrantStock Option (right to buy) · Derivative | 80,000 | $0.00 Strike: $1.83 | $0.00 |
DisclosureSEC source: 0001628280-25-018695 · wk-form4_1745279456.xml · derivative · entry 2 Gotwals Philip J · CIK 0001982655 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 80,000 Underlying: Common Stock · 80,000 shares Expires 2035-04-21 F3 · derivative.exercise_date: The Stock Option grant vests and becomes exercisable in three substantially equal annual installments beginning on April 21, 2026, subject to the Reporting Person's continued service to the Issuer through each such vesting date. Read SEC document |
| April 21, 2025 Filed Apr 21, 2025 23:51 UTC | OmniAb, Inc. OABI · Entity 5294 | GrantRestricted Stock Units · Derivative | 40,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-25-018695 · wk-form4_1745279456.xml · derivative · entry 1 Gotwals Philip J · CIK 0001982655 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Stock · 40,000 shares Expires not disclosed F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock. F2 · derivative.exercise_date: The RSU grant vests in three substantially equal annual installments beginning on April 21, 2026, subject to the Reporting Person's continued service to the Issuer through each such vesting date. F2 · derivative.expiration_date: The RSU grant vests in three substantially equal annual installments beginning on April 21, 2026, subject to the Reporting Person's continued service to the Issuer through each such vesting date. Read SEC document |
| January 02, 2025 Filed Jan 7, 2025 00:00 UTC | CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 | GrantStock Option (Right to Buy) · Derivative | 5,750 | $0.00 Strike: $14.96 | $0.00 |
DisclosureSEC source: 0001415889-25-000867 · form4-01062025_070102.xml · derivative · entry 3 Gotwals Philip J · CIK 0001982655 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 5,750 Underlying: Common Stock · 5,750 shares Expires 2035-01-02 F3 · derivative.exercise_date: The shares of the award are fully vested and exercisable as of January 2, 2025, the date of the grant. The award pertains to annual board service. Read SEC document |
| January 02, 2025 Filed Jan 7, 2025 00:00 UTC | CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 | GrantStock Option (Right to Buy) · Derivative | 2,160 | $0.00 Strike: $14.96 | $0.00 |
DisclosureSEC source: 0001415889-25-000867 · form4-01062025_070102.xml · derivative · entry 2 Gotwals Philip J · CIK 0001982655 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,160 Underlying: Common Stock · 2,160 shares Expires 2035-01-02 F2 · derivative.exercise_date: The shares of the award are fully vested and exercisable as of January 2, 2025, the date of the grant. The award pertains to annual board committee service. Read SEC document |
| January 02, 2025 Filed Jan 7, 2025 00:00 UTC | CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 | GrantStock Option (Right to Buy) · Derivative | 11,940 | $0.00 Strike: $14.96 | $0.00 |
DisclosureSEC source: 0001415889-25-000867 · form4-01062025_070102.xml · derivative · entry 1 Gotwals Philip J · CIK 0001982655 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 11,940 Underlying: Common Stock · 11,940 shares Expires 2035-01-02 F1 · derivative.exercise_date: The shares vest 1/12th of the first day of each month, commencing February 1, 2025, with the last month vesting on December 31, 2025, until the stock option becomes fully vested and exercisable. The award pertains to annual board service. The option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Issuer if the reporting person's service to the Issuer terminates prior to vesting. Read SEC document |
| January 02, 2024 Filed Jan 4, 2024 22:15 UTC | CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 | GrantStock Option (Right to Buy) · Derivative | 6,370 | $0.00 Strike: $5.12 | $0.00 |
DisclosureSEC source: 0001415889-24-000657 · form4-01042024_050126.xml · derivative · entry 3 Gotwals Philip J · CIK 0001982655 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 6,370 Underlying: Common Stock · 6,370 shares Expires 2034-01-02 F3 · derivative.exercise_date: The shares of the award are fully vested and exercisable as of January 2, 2024, the date of the grant. The award pertains to annual board service. Read SEC document |
| January 02, 2024 Filed Jan 4, 2024 22:15 UTC | CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 | GrantStock Option (Right to Buy) · Derivative | 1,330 | $0.00 Strike: $5.12 | $0.00 |
DisclosureSEC source: 0001415889-24-000657 · form4-01042024_050126.xml · derivative · entry 2 Gotwals Philip J · CIK 0001982655 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,330 Underlying: Common Stock · 1,330 shares Expires 2034-01-02 F2 · derivative.exercise_date: The shares of the award are fully vested and exercisable as of January 2, 2024, the date of the grant. The award pertains to annual board committee service. Read SEC document |
| January 02, 2024 Filed Jan 4, 2024 22:15 UTC | CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 | GrantStock Option (Right to Buy) · Derivative | 29,250 | $0.00 Strike: $5.12 | $0.00 |
DisclosureSEC source: 0001415889-24-000657 · form4-01042024_050126.xml · derivative · entry 1 Gotwals Philip J · CIK 0001982655 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 29,250 Underlying: Common Stock · 29,250 shares Expires 2034-01-02 F1 · derivative.exercise_date: The shares vest 1/12th of the first day of each month, commencing February 1, 2024, with the last month vesting on December 31, 2024, until the stock option becomes fully vested and exercisable. The award pertains to annual board service. The option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Issuer if the reporting person's service to the Issuer terminates prior to vesting. Read SEC document |
| July 21, 2023 Filed Jul 24, 2023 21:10 UTC | CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 | GrantStock Option (Right to Buy) · Derivative | 115,000 | $0.00 Strike: $4.55 | $0.00 |
DisclosureSEC source: 0001415889-23-011420 · form4-07242023_090735.xml · derivative · entry 1 Gotwals Philip J · CIK 0001982655 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 115,000 Underlying: Common Stock · 115,000 shares Expires 2033-07-21 F1 · derivative.exercise_date: The shares vest 25% on the first anniversary of the first day of the month following the Grant Date, with the remainder to vest at the rate of 1/36 per month thereafter. The option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Issuer if the reporting person's service to the Issuer terminates prior to vesting. 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.