Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| 4D Molecular Therapeutics, Inc.FDMT · Entity 2419 | Director | June 17, 2026 | June 18, 2026 |
| Oncternal Therapeutics, Inc.ONCT · Entity 89585 | Director | June 20, 2024 | June 24, 2024 |
| Tracon Pharmaceuticals, Inc.TCON · Entity 91134 | Director · PRESIDENT AND CEO | March 12, 2024 | March 13, 2024 |
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.
4D Molecular Therapeutics, Inc.
Report date June 17, 2026 · Filed June 18, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $9.42 · Expires 2036-06-16 | Direct | 50,000 |
Reported balance
After 2026-06-17 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-06-17 · Grant · Acquired 50,000 · Balance 50,000 F1: Automatically granted pursuant to the terms of the Company's non-employee director compensation program. F2: The stock option vests and becomes exercisable with respect to 1/3 of the total shares on June 17, 2027 and in equal monthly installments thereafter, subject to the Reporting Person continuing service to Issuer through each vesting date, until the shares are fully vested on June 17, 2029. Additionally, the stock options will vest in full upon the consummation of a Change in Control (as defined in the 2020 Incentive Award Plan). |
Filing footnotes · ownership attribution and instrument terms
F1: Automatically granted pursuant to the terms of the Company's non-employee director compensation program.
F2: The stock option vests and becomes exercisable with respect to 1/3 of the total shares on June 17, 2027 and in equal monthly installments thereafter, subject to the Reporting Person continuing service to Issuer through each vesting date, until the shares are fully vested on June 17, 2029. Additionally, the stock options will vest in full upon the consummation of a Change in Control (as defined in the 2020 Incentive Award Plan).
Oncternal Therapeutics, Inc.
Report date June 20, 2024 · Filed June 24, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $8.10 · Expires 2034-06-20 | Direct | 2,200 |
Reported balance
After 2024-06-20 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2024-06-20 · Grant · Acquired 2,200 · Balance 2,200 F1: One-twelfth of the number of shares subject to the option vest and become exercisable in substantially equal installments on each monthly anniversary of the grant date, subject to the Reporting Person's continued service through such vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: One-twelfth of the number of shares subject to the option vest and become exercisable in substantially equal installments on each monthly anniversary of the grant date, subject to the Reporting Person's continued service through such vesting date.
Tracon Pharmaceuticals, Inc.
Report date March 12, 2024 · Filed March 13, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 406,417 |
Ending reported balance
After 2023-10-20 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2023-04-20 · Grant · Acquired 3,500 · Balance 402,917 F1: Shares acquired by the Reporting Person under the Issuer's 2015 Employee Stock Purchase Plan on April 20, 2023. Row 2 · 2023-10-20 · Grant · Acquired 3,500 · Balance 406,417 F2: Shares acquired by the Reporting Person under the Issuer's 2015 Employee Stock Purchase Plan on October 20, 2023. |
| Employee Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.39 · Expires 2034-03-11 | Direct | 518,300 |
Reported balance
After 2024-03-12 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2024-03-12 · Grant · Acquired 518,300 · Balance 518,300 F3: 1/4th of the shares subject to this option shall vest on the first anniversary of the Grant Date shown in column 3 above. The remaining shares vest and become exercisable in 36 equal monthly installments thereafter, on the last day of each month. |
Filing footnotes · ownership attribution and instrument terms
F1: Shares acquired by the Reporting Person under the Issuer's 2015 Employee Stock Purchase Plan on April 20, 2023.
F2: Shares acquired by the Reporting Person under the Issuer's 2015 Employee Stock Purchase Plan on October 20, 2023.
F3: 1/4th of the shares subject to this option shall vest on the first anniversary of the Grant Date shown in column 3 above. The remaining shares vest and become exercisable in 36 equal monthly installments thereafter, on the last day of each month.
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 |
|---|---|---|---|---|---|---|
| September 04, 2020 Filed Sep 9, 2020 06:00 UTC | Tracon Pharmaceuticals, Inc. TCON · Entity 91134 | PurchaseCommon Stock | 5,000 | $2.55 | $12,750.00 |
DisclosureSEC source: 0001209191-20-049800 · doc4.xml · nonDerivative · entry 2 THEUER CHARLES · CIK 0001631338 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 181,882 Read SEC document |
| September 04, 2020 Filed Sep 9, 2020 06:00 UTC | Tracon Pharmaceuticals, Inc. TCON · Entity 91134 | PurchaseCommon Stock | 5,000 | $2.60 | $13,000.00 |
DisclosureSEC source: 0001209191-20-049800 · doc4.xml · nonDerivative · entry 1 THEUER CHARLES · CIK 0001631338 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 176,882 Read SEC document |
| August 21, 2020 Filed Aug 25, 2020 06:00 UTC | Tracon Pharmaceuticals, Inc. TCON · Entity 91134 | PurchaseCommon Stock | 5,325 | $1.56 | $8,307.00 |
DisclosureSEC source: 0001209191-20-048180 · doc4.xml · nonDerivative · entry 1 THEUER CHARLES · CIK 0001631338 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 171,882 Read SEC document |
| August 20, 2020 Filed Aug 24, 2020 06:06 UTC | Tracon Pharmaceuticals, Inc. TCON · Entity 91134 | PurchaseCommon Stock | 30,000 | $1.58 | $47,400.00 |
DisclosureSEC source: 0001209191-20-048026 · doc4.xml · nonDerivative · entry 1 THEUER CHARLES · CIK 0001631338 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 166,557 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.57 to $1.59, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth above. Read SEC document |
| August 18, 2020 Filed Aug 18, 2020 20:28 UTC | Tracon Pharmaceuticals, Inc. TCON · Entity 91134 | PurchaseCommon Stock | 44,743 | $1.63 | $72,850.55 |
DisclosureSEC source: 0001209191-20-047364 · doc4.xml · nonDerivative · entry 2 THEUER CHARLES · CIK 0001631338 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 136,557 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.59 to $1.67, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth above. Read SEC document |
| August 14, 2020 Filed Aug 18, 2020 20:28 UTC | Tracon Pharmaceuticals, Inc. TCON · Entity 91134 | PurchaseCommon Stock | 100 | $1.70 | $170.15 |
DisclosureSEC source: 0001209191-20-047364 · doc4.xml · nonDerivative · entry 1 THEUER CHARLES · CIK 0001631338 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 91,814 Read SEC document |
| August 13, 2020 Filed Aug 14, 2020 20:17 UTC | Tracon Pharmaceuticals, Inc. TCON · Entity 91134 | PurchaseCommon Stock | 5,000 | $1.65 | $8,250.00 |
DisclosureSEC source: 0001209191-20-046866 · doc4.xml · nonDerivative · entry 3 THEUER CHARLES · CIK 0001631338 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 91,714 Read SEC document |
| August 12, 2020 Filed Aug 14, 2020 20:17 UTC | Tracon Pharmaceuticals, Inc. TCON · Entity 91134 | PurchaseCommon Stock | 10,000 | $1.79 | $17,900.00 |
DisclosureSEC source: 0001209191-20-046866 · doc4.xml · nonDerivative · entry 2 THEUER CHARLES · CIK 0001631338 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 86,714 Read SEC document |
| August 12, 2020 Filed Aug 14, 2020 20:17 UTC | Tracon Pharmaceuticals, Inc. TCON · Entity 91134 | PurchaseCommon Stock | 5,000 | $1.67 | $8,350.00 |
DisclosureSEC source: 0001209191-20-046866 · doc4.xml · nonDerivative · entry 1 THEUER CHARLES · CIK 0001631338 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 76,714 Read SEC document |
| June 24, 2020 Filed Jun 25, 2020 17:46 UTC | Tracon Pharmaceuticals, Inc. TCON · Entity 91134 | PurchaseCommon Stock | 9,895 | $1.90 | $18,800.50 |
DisclosureSEC source: 0001209191-20-038961 · doc4.xml · nonDerivative · entry 1 THEUER CHARLES · CIK 0001631338 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 71,714 Read SEC document |
| June 11, 2020 Filed Jun 12, 2020 16:41 UTC | Oncternal Therapeutics, Inc. ONCT · Entity 89585 | GrantStock Options · Derivative | 15,000 | $0.00 Strike: $2.94 | $0.00 |
DisclosureSEC source: 0001209191-20-036307 · doc4.xml · derivative · entry 1 THEUER CHARLES · CIK 0001631338 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2029-06-10 F1 · derivative.exercise_date: One-twelfth of the number of shares subject to the option vest and become exercisable in substantially equal installments on each monthly anniversary of the grant date, subject to the Reporting Person's continued service on the board of directors of the Issuer through such vesting date. Read SEC document |
| June 11, 2020 Filed Jul 31, 2020 21:06 UTC Amendment | Oncternal Therapeutics, Inc. ONCT · Entity 89585 | GrantStock Option · Derivative | 15,000 | $0.00 Strike: $2.94 | $0.00 |
DisclosureSEC source: 0001209191-20-044388 · doc4a.xml · derivative · entry 1 THEUER CHARLES · CIK 0001631338 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2030-06-11 F1 · shares: The original Form 4 reported the acquisition of the Stock Options in the "D" column of Column 5. This amendment is being filed to correctly report the acquisition of the Stock Options in the "A" column of Column 5. F2 · derivative.exercise_date: One-twelfth of the number of shares subject to the option vest and become exercisable in substantially equal installments on each monthly anniversary of grant date, subject to the Reporting Person's continued service on the board of directors of the Issuer through such vesting date. Read SEC document |
| May 22, 2020 Filed May 26, 2020 17:00 UTC | Tracon Pharmaceuticals, Inc. TCON · Entity 91134 | PurchaseCommon Stock | 592 | $1.89 | $1,118.88 |
DisclosureSEC source: 0001209191-20-032058 · doc4.xml · nonDerivative · entry 2 THEUER CHARLES · CIK 0001631338 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,819 Read SEC document |
| May 22, 2020 Filed May 26, 2020 17:00 UTC | Tracon Pharmaceuticals, Inc. TCON · Entity 91134 | PurchaseCommon Stock | 10,000 | $1.90 | $19,000.00 |
DisclosureSEC source: 0001209191-20-032058 · doc4.xml · nonDerivative · entry 1 THEUER CHARLES · CIK 0001631338 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,227 F1 · balance_after: Includes 350 shares acquired by the reporting person under the Issuer's 2015 Employee Stock Purchase Plan on April 20, 2020. Read SEC document |
| March 13, 2020 Filed Mar 13, 2020 18:21 UTC | Tracon Pharmaceuticals, Inc. TCON · Entity 91134 | PurchaseCommon Stock | 4,100 | $1.13 | $4,624.39 |
DisclosureSEC source: 0001209191-20-019015 · doc4.xml · nonDerivative · entry 1 THEUER CHARLES · CIK 0001631338 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,877 Read SEC document |
| March 12, 2020 Filed Mar 12, 2020 16:32 UTC | Tracon Pharmaceuticals, Inc. TCON · Entity 91134 | PurchaseCommon Stock | 5,000 | $1.17 | $5,858.00 |
DisclosureSEC source: 0001209191-20-018516 · doc4.xml · nonDerivative · entry 4 THEUER CHARLES · CIK 0001631338 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,777 Read SEC document |
| March 12, 2020 Filed Mar 12, 2020 16:32 UTC | Tracon Pharmaceuticals, Inc. TCON · Entity 91134 | PurchaseCommon Stock | 5,000 | $1.19 | $5,944.50 |
DisclosureSEC source: 0001209191-20-018516 · doc4.xml · nonDerivative · entry 3 THEUER CHARLES · CIK 0001631338 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,777 Read SEC document |
| March 11, 2020 Filed Mar 12, 2020 16:32 UTC | Tracon Pharmaceuticals, Inc. TCON · Entity 91134 | PurchaseCommon Stock | 5,000 | $1.66 | $8,287.50 |
DisclosureSEC source: 0001209191-20-018516 · doc4.xml · nonDerivative · entry 2 THEUER CHARLES · CIK 0001631338 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,777 Read SEC document |
| March 11, 2020 Filed Mar 12, 2020 16:32 UTC | Tracon Pharmaceuticals, Inc. TCON · Entity 91134 | PurchaseCommon Stock | 5,000 | $1.71 | $8,549.00 |
DisclosureSEC source: 0001209191-20-018516 · doc4.xml · nonDerivative · entry 1 THEUER CHARLES · CIK 0001631338 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,777 Read SEC document |
| March 10, 2020 Filed Mar 10, 2020 18:02 UTC | Tracon Pharmaceuticals, Inc. TCON · Entity 91134 | PurchaseCommon Stock | 10,000 | $1.87 | $18,691.00 |
DisclosureSEC source: 0001209191-20-017824 · doc4.xml · nonDerivative · entry 1 THEUER CHARLES · CIK 0001631338 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,777 Read SEC document |
| January 31, 2020 Filed Feb 4, 2020 16:10 UTC | Tracon Pharmaceuticals, Inc. TCON · Entity 91134 | GrantEmployee Stock Option (Right to Buy) · Derivative | 123,200 | $0.00 Strike: $4.02 | $0.00 |
DisclosureSEC source: 0001209191-20-006280 · doc4.xml · derivative · entry 1 THEUER CHARLES · CIK 0001631338 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 123,200 Underlying: Common Stock · 123,200 shares Expires 2030-01-30 F1 · derivative.exercise_date: 1/4th of the shares subject to this option shall vest on the first anniversary of the Grant Date shown in column 3 above. The remaining shares vest and become exercisable in 36 equal monthly installments thereafter, on the last day of each month. Read SEC document |
| January 22, 2020 Filed Jan 24, 2020 16:08 UTC | Tracon Pharmaceuticals, Inc. TCON · Entity 91134 | Tax withholdingCommon Stock | 929 | $3.76 | $3,493.04 |
DisclosureSEC source: 0001209191-20-004805 · doc4.xml · nonDerivative · entry 1 THEUER CHARLES · CIK 0001631338 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,777 F1 · kind: Shares withheld to satisfy the Reporting Person's tax obligation in connection with the vesting of restricted stock units. F2 · balance_after: On October 18, 2019, the reporting person acquired 3,500 shares under the Issuer's 2015 Employee Stock Purchase Plan. On November 7, 2019, the Issuer effected a 10 for 1 reverse split of its common stock, upon which the reporting person's ownership was reduced by 159,359 shares of common stock. Read SEC document |
| September 12, 2019 Filed Sep 16, 2019 17:44 UTC | Oncternal Therapeutics, Inc. ONCT · Entity 89585 | GrantStock Option · Derivative | 30,000 | $0.00 Strike: $5.76 | $0.00 |
DisclosureSEC source: 0001209191-19-049697 · doc4.xml · derivative · entry 1 THEUER CHARLES · CIK 0001631338 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 Underlying: Common Stock · 30,000 shares Expires 2029-09-12 F1 · derivative.exercise_date: One thirty-sixth of each Effective Date Award and each Initial Award shall vest and become exercisable in substantially equal installments on each monthly anniversary of the date of grant, so that the options subject to each such type of award shall be fully vested on the three-year anniversary of the date of grant, subject to the Reporting Persons continued service on the Board through each such vesting date. Read SEC document |
| September 12, 2019 Filed Jul 31, 2020 21:05 UTC Amendment | Oncternal Therapeutics, Inc. ONCT · Entity 89585 | GrantStock Option · Derivative | 30,000 | $0.00 Strike: $5.76 | $0.00 |
DisclosureSEC source: 0001209191-20-044375 · doc4a.xml · derivative · entry 1 THEUER CHARLES · CIK 0001631338 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 Underlying: Common Stock · 30,000 shares Expires 2029-09-12 F1 · shares: The original Form 4 reported the acquisition of the Stock Options in the "D" column of Column 5. This amendment is being filed to correctly report the acquisition of the Stock Options in the "A" column of Column 5. F2 · derivative.exercise_date: One thirty-sixth of each Effective Date Award and each Initial Award shall vest and become exercisable in substantially equal installments on each monthly anniversary of the date of grant, so that the options subject to each such type of award shall be fully vested on the three-year anniversary of the date of grant, subject to the Reporting Persons continued service on the Board through each such vesting date. Read SEC document |
| August 09, 2019 Filed Aug 12, 2019 11:40 UTC | Tracon Pharmaceuticals, Inc. TCON · Entity 91134 | PurchaseCommon Stock | 50,000 | $0.45 | $22,500.00 |
DisclosureSEC source: 0001209191-19-045450 · doc4.xml · nonDerivative · entry 1 THEUER CHARLES · CIK 0001631338 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 173,565 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.445695 to $0.447, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth above Read SEC document |
| June 07, 2019 Filed Jun 11, 2019 18:34 UTC | Oncternal Therapeutics, Inc. ONCT · Entity 89585 | GrantCommon Stock | 14,677 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-19-016478 · doc4.xml · nonDerivative · entry 1 THEUER CHARLES · CIK 0001631338 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,677 F1 · shares: Includes 11,007 shares of restricted stock subject to continuing time-based vesting. F2 · price: Pursuant to the Agreement and Plan of Merger dated as of April 30, 2019 (the "Merger Agreement"), by and among Oncternal Therapeutics, Inc. ("Old Oncternal"), GTx, Inc. ("GTx") and certain of their subsidiaries, on June 7, 2019 (the "Effective Time"), GTx was merged with and into Old Oncternal, with GTx surviving as the continuing entity. At the Effective Time, each share of Old Oncternal common stock issued and outstanding immediately prior to such time was converted into the right to receive 0.073386 shares of the Issuer's common stock. On the trading day immediately prior to the effective time, the closing price of the Issuer's common stock was $1.20 per share. Read SEC document |
| January 22, 2019 Filed Jan 23, 2019 16:48 UTC | Tracon Pharmaceuticals, Inc. TCON · Entity 91134 | Tax withholdingCommon Stock | 9,290 | $1.04 | $9,662.53 |
DisclosureSEC source: 0001209191-19-004987 · doc4.xml · nonDerivative · entry 1 THEUER CHARLES · CIK 0001631338 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 123,565 F1 · kind: Shares withheld to satisfy the Reporting Person's tax obligation in connection with the vesting of restricted stock units. Read SEC document |
| December 21, 2018 Filed Dec 21, 2018 18:32 UTC | Tracon Pharmaceuticals, Inc. TCON · Entity 91134 | PurchaseCommon Stock | 49,000 | $0.66 | $32,222.40 |
DisclosureSEC source: 0001209191-18-063993 · doc4.xml · nonDerivative · entry 1 THEUER CHARLES · CIK 0001631338 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 132,855 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.6286 to $0.6769, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth above F2 · balance_after: Includes 3,500 shares acquired on April 20, 2018 and 3,500 shares acquired on October 19, 2018, pursuant to the Issuer's 2015 Equity Incentive Plan. Read SEC document |
| February 21, 2018 Filed Feb 23, 2018 19:01 UTC | Tracon Pharmaceuticals, Inc. TCON · Entity 91134 | GrantEmployee Stock Option (Right to Buy) · Derivative | 225,000 | $0.00 Strike: $2.15 | $0.00 |
DisclosureSEC source: 0001209191-18-013143 · doc4.xml · derivative · entry 1 THEUER CHARLES · CIK 0001631338 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 225,000 Underlying: Common Stock · 225,000 shares Expires 2028-02-20 F1 · derivative.exercise_date: 1/4th of the shares subject to this option shall vest on the first anniversary of the Grant Date shown in column 3 above. The remaining shares vest and become exercisable in 36 equal monthly installments thereafter, on the last day of each month. Read SEC document |
| January 22, 2018 Filed Jan 23, 2018 19:11 UTC | Tracon Pharmaceuticals, Inc. TCON · Entity 91134 | Tax withholdingCommon Stock | 9,290 | $2.95 | $27,405.50 |
DisclosureSEC source: 0001209191-18-004999 · doc4.xml · nonDerivative · entry 1 THEUER CHARLES · CIK 0001631338 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 76,855 F1 · kind: Shares withheld to satisfy the Reporting Person's tax obligation in connection with the vesting of restricted stock units. Read SEC document |
| January 20, 2017 Filed Jan 24, 2017 19:27 UTC | Tracon Pharmaceuticals, Inc. TCON · Entity 91134 | GrantEmployee Stock Option (Right to Buy) · Derivative | 190,000 | $0.00 Strike: $5.15 | $0.00 |
DisclosureSEC source: 0001209191-17-005418 · doc4.xml · derivative · entry 2 THEUER CHARLES · CIK 0001631338 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 190,000 Underlying: Common Stock · 190,000 shares Expires 2027-01-19 F3 · derivative.exercise_date: 1/4th of the shares subject to this option shall vest on the first anniversary of the Grant Date shown in column 3 above. The remaining shares vest and become exercisable in 36 equal monthly installments thereafter, on the last day of each month. Read SEC document |
| January 23, 2016 Filed Jan 24, 2017 19:27 UTC | Tracon Pharmaceuticals, Inc. TCON · Entity 91134 | Tax withholdingCommon Stock | 9,870 | $4.85 | $47,869.50 |
DisclosureSEC source: 0001209191-17-005418 · doc4.xml · nonDerivative · entry 1 THEUER CHARLES · CIK 0001631338 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 86,145 F1 · kind: Shares withheld to satisfy the Reporting Person's tax obligation in connection with the vesting of restricted stock units. F2 · balance_after: Includes 2,615 shares acquired under the 2015 Employee Stock Purchase Plan on April 20, 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.