Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CODEXIS, INC.CDXS · Entity 6428 | Director | June 17, 2026 | June 18, 2026 |
| IO Biotech, Inc.IOBT · Entity 8764 | Director | June 05, 2025 | June 06, 2025 |
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.
CODEXIS, 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 $2.48 · Expires 2036-06-17 | Direct | 66,350 |
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 66,350 · Balance 66,350 F1: This option vests and becomes exercisable with respect to all of the shares subject to the award on the earlier of the first anniversary of the date of grant or the next annual stockholder meeting, subject to the director's continued service to the Company on such vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: This option vests and becomes exercisable with respect to all of the shares subject to the award on the earlier of the first anniversary of the date of grant or the next annual stockholder meeting, subject to the director's continued service to the Company on such vesting date.
IO Biotech, Inc.
Report date June 05, 2025 · Filed June 06, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.50 · Expires 2035-06-05 | Direct | 35,144 |
Reported balance
After 2025-06-05 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2025-06-05 · Grant · Acquired 35,144 · Balance 35,144 F1: These options vest on June 5, 2026, subject to the reporting person's continued service through the applicable vesting date, and subject to 100% acceleration upon a change of control. |
Filing footnotes · ownership attribution and instrument terms
F1: These options vest on June 5, 2026, subject to the reporting person's continued service through the applicable vesting date, and subject to 100% acceleration upon a change of control.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
FIVE PRIME THERAPEUTICS, INC.
Report date April 16, 2021 · Filed April 19, 2021
Section 16 reporting ended · disclosed 2021-04-19. 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 2021-04-16 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2021-04-16 · Grant · Acquired 66,000 · Balance 138,947 F1: Represents shares of performance-based restricted Common Stock (as defined below) granted to the reporting person on June 24, 2019 (the "Performance Award"). The performance conditions associated with the Performance Award have not yet occurred. Pursuant to the Merger Agreement (as defined below), immediately prior to the effective time of the Merger (as defined below), the Performance Award was deemed to have vested and each share of Common Stock underlying the Performance Award was converted into the right to receive the Offer Price (as defined below) in cash, without interest, minus any applicable withholding taxes. Row 2 · 2021-04-16 · Disposition to issuer · Disposed 138,947 · Balance 0 F2: Pursuant to the Agreement and Plan of Merger, dated March 4, 2021 (the "Merger Agreement"), by and among the Five Prime Therapeutics, Inc. (the "Company"), Amgen Inc. ("Parent") and Franklin Acquisition Sub, Inc., a wholly owned subsidiary of Parent ("Purchaser"), Purchaser merged with and into the Company, with the Company surviving as a wholly owned subsidiary of Parent (the "Merger"), effective as of April 16, 2021. Pursuant to the Merger Agreement, each issued and outstanding share of common stock of the Company, par value $0.001 per share ("Common Stock"), was converted into the right to receive $38.00 per share (the "Offer Price") in cash, without interest, minus any applicable withholding taxes. |
| Employee Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $12.47 | Direct | 0 |
Reported balance
After 2021-04-16 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2021-04-16 · Disposition to issuer · Disposed 185,000 · Balance 0 F3: Pursuant to the Merger Agreement, immediately prior to the effective time of the Merger, each option to purchase shares of Common Stock granted by the Company that was then outstanding and unexercised was cancelled and converted into the right to receive an amount in cash equal to the product of (x) the total number of shares of Common Stock subject to such option multiplied by (y) the excess, if any, of (A) the Offer Price minus (B) the exercise price payable per share under such option. F4: Not applicable. |
| Employee Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.25 | Direct | 0 |
Reported balance
After 2021-04-16 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2021-04-16 · Disposition to issuer · Disposed 90,000 · Balance 0 F3: Pursuant to the Merger Agreement, immediately prior to the effective time of the Merger, each option to purchase shares of Common Stock granted by the Company that was then outstanding and unexercised was cancelled and converted into the right to receive an amount in cash equal to the product of (x) the total number of shares of Common Stock subject to such option multiplied by (y) the excess, if any, of (A) the Offer Price minus (B) the exercise price payable per share under such option. F4: Not applicable. |
| Employee Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.25 | Direct | 0 |
Reported balance
After 2021-04-16 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2021-04-16 · Disposition to issuer · Disposed 90,000 · Balance 0 F3: Pursuant to the Merger Agreement, immediately prior to the effective time of the Merger, each option to purchase shares of Common Stock granted by the Company that was then outstanding and unexercised was cancelled and converted into the right to receive an amount in cash equal to the product of (x) the total number of shares of Common Stock subject to such option multiplied by (y) the excess, if any, of (A) the Offer Price minus (B) the exercise price payable per share under such option. F4: Not applicable. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents shares of performance-based restricted Common Stock (as defined below) granted to the reporting person on June 24, 2019 (the "Performance Award"). The performance conditions associated with the Performance Award have not yet occurred. Pursuant to the Merger Agreement (as defined below), immediately prior to the effective time of the Merger (as defined below), the Performance Award was deemed to have vested and each share of Common Stock underlying the Performance Award was converted into the right to receive the Offer Price (as defined below) in cash, without interest, minus any applicable withholding taxes.
F2: Pursuant to the Agreement and Plan of Merger, dated March 4, 2021 (the "Merger Agreement"), by and among the Five Prime Therapeutics, Inc. (the "Company"), Amgen Inc. ("Parent") and Franklin Acquisition Sub, Inc., a wholly owned subsidiary of Parent ("Purchaser"), Purchaser merged with and into the Company, with the Company surviving as a wholly owned subsidiary of Parent (the "Merger"), effective as of April 16, 2021. Pursuant to the Merger Agreement, each issued and outstanding share of common stock of the Company, par value $0.001 per share ("Common Stock"), was converted into the right to receive $38.00 per share (the "Offer Price") in cash, without interest, minus any applicable withholding taxes.
F3: Pursuant to the Merger Agreement, immediately prior to the effective time of the Merger, each option to purchase shares of Common Stock granted by the Company that was then outstanding and unexercised was cancelled and converted into the right to receive an amount in cash equal to the product of (x) the total number of shares of Common Stock subject to such option multiplied by (y) the excess, if any, of (A) the Offer Price minus (B) the exercise price payable per share under such option.
F4: Not applicable.
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 20:55 UTC | CODEXIS, INC. CDXS · Entity 6428 | GrantStock Option (Right to Buy) · Derivative | 66,350 | $0.00 Strike: $2.48 | $0.00 |
DisclosureSEC source: 0001610717-26-000270 · form4.xml · derivative · entry 1 Smith David V · CIK 0001229447 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 66,350 Underlying: Common Stock · 66,350 shares Expires 2036-06-17 F1 · derivative.exercise_date: This option vests and becomes exercisable with respect to all of the shares subject to the award on the earlier of the first anniversary of the date of grant or the next annual stockholder meeting, subject to the director's continued service to the Company on such vesting date. Read SEC document |
| June 10, 2025 Filed Jun 12, 2025 23:30 UTC | CODEXIS, INC. CDXS · Entity 6428 | GrantCommon Stock | 40,983 | $0.00 | $0.00 |
DisclosureSEC source: 0000905148-25-002134 · form4.xml · nonDerivative · entry 1 Smith David V · CIK 0001229447 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 105,705 F1 · shares: The restricted stock units vest as to all of the shares subject to the award on the earlier of the first anniversary of the date of grant or the next annual stockholder meeting, subject to the director's continued service to the Company on such vesting date. Read SEC document |
| June 05, 2025 Filed Jun 6, 2025 20:27 UTC | IO Biotech, Inc. IOBT · Entity 8764 | GrantStock Option (Right to Buy) · Derivative | 35,144 | $0.00 Strike: $1.50 | $0.00 |
DisclosureSEC source: 0000905148-25-002034 · form4.xml · derivative · entry 1 Smith David V · CIK 0001229447 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 35,144 Underlying: Common Stock · 35,144 shares Expires 2035-06-05 F1 · derivative.exercise_date: These options vest on June 5, 2026, subject to the reporting person's continued service through the applicable vesting date, and subject to 100% acceleration upon a change of control. Read SEC document |
| June 11, 2024 Filed Jun 13, 2024 22:28 UTC | CODEXIS, INC. CDXS · Entity 6428 | GrantCommon Stock | 30,120 | $0.00 | $0.00 |
DisclosureSEC source: 0000905148-24-001721 · form4.xml · nonDerivative · entry 1 Smith David V · CIK 0001229447 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 64,722 F1 · shares: The restricted stock award vests as to all of the shares subject to the award on the earlier of the first anniversary of the date of grant or the next annual stockholder meeting, subject to the director's continued service to the Company on such vesting date. Read SEC document |
| June 06, 2024 Filed Jun 7, 2024 20:19 UTC | IO Biotech, Inc. IOBT · Entity 8764 | GrantStock Option (Right to Buy) · Derivative | 45,642 | $0.00 Strike: $1.25 | $0.00 |
DisclosureSEC source: 0000905148-24-001687 · form4.xml · derivative · entry 1 Smith David V · CIK 0001229447 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 45,642 Underlying: Common Stock · 45,642 shares Expires 2034-06-06 F1 · derivative.exercise_date: These options vest on June 6, 2025, subject to the reporting person's continued service through the applicable vesting date, and subject to 100% acceleration upon a change of control. Read SEC document |
| June 13, 2023 Filed Jun 15, 2023 20:06 UTC | CODEXIS, INC. CDXS · Entity 6428 | GrantCommon Stock | 34,602 | $0.00 | $0.00 |
DisclosureSEC source: 0001610717-23-000157 · form4.xml · nonDerivative · entry 3 Smith David V · CIK 0001229447 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 34,602 F3 · shares: The restricted stock award vests as to all of the shares subject to the award on the earlier of the first anniversary of the date of grant or the next annual stockholder meeting, subject to the director's continued service to the Company on such vesting date. Read SEC document |
| June 13, 2023 Filed Jun 15, 2023 20:06 UTC | CODEXIS, INC. CDXS · Entity 6428 | GiftCommon Stock | 11,273 | $0.00 | $0.00 |
DisclosureSEC source: 0001610717-23-000157 · form4.xml · nonDerivative · entry 1 Smith David V · CIK 0001229447 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 F1 · shares: On June 13, 2023, the reporting person transferred 11,273 shares of the Issuer's common stock to a family trust of which the reporting person is trustee. Read SEC document |
| June 08, 2023 Filed Jun 13, 2023 23:54 UTC | IO Biotech, Inc. IOBT · Entity 8764 | GrantStock Option (Right to Buy) · Derivative | 41,533 | $0.00 Strike: $2.08 | $0.00 |
DisclosureSEC source: 0001140361-23-029698 · form4.xml · derivative · entry 1 Smith David V · CIK 0001229447 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 41,533 Underlying: Common Stock · 41,533 shares Expires 2033-06-08 F1 · derivative.exercise_date: These options vest on June 8, 2024, subject to the reporting person's continued service through the applicable vesting date, and subject to 100% acceleration upon a change of control. Read SEC document |
| June 14, 2022 Filed Jun 16, 2022 20:11 UTC | CODEXIS, INC. CDXS · Entity 6428 | GrantCommon Stock | 11,273 | $0.00 | $0.00 |
DisclosureSEC source: 0001567619-22-012973 · doc1.xml · nonDerivative · entry 3 Smith David V · CIK 0001229447 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,273 F3 · shares: The restricted stock award vests as to all of the shares subject to the award on the earlier of the first anniversary of the date of grant or the next annual stockholder meeting, subject to the director's continued service to the Company on such vesting date. Read SEC document |
| June 14, 2022 Filed Jun 16, 2022 20:11 UTC | CODEXIS, INC. CDXS · Entity 6428 | GiftCommon Stock | 4,796 | $0.00 | $0.00 |
DisclosureSEC source: 0001567619-22-012973 · doc1.xml · nonDerivative · entry 1 Smith David V · CIK 0001229447 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · shares: On June 14, 2022, the reporting person transferred 4,796 shares of the Issuer's common stock to a family trust of which the reporting person is trustee. Read SEC document |
| May 26, 2022 Filed May 31, 2022 23:40 UTC | IO Biotech, Inc. IOBT · Entity 8764 | GrantStock Option (Right to Buy) · Derivative | 23,885 | $0.00 Strike: $4.85 | $0.00 |
DisclosureSEC source: 0001567619-22-011962 · doc1.xml · derivative · entry 1 Smith David V · CIK 0001229447 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,885 Underlying: Common Stock · 23,885 shares Expires 2032-05-26 F1 · derivative.exercise_date: These options vest on May 26, 2023, subject to the reporting person's continued service through the applicable vesting date, and subject to 100% acceleration upon a change of control. Read SEC document |
| March 01, 2022 Filed Mar 3, 2022 21:30 UTC | IO Biotech, Inc. IOBT · Entity 8764 | GrantStock Option (Right to Buy) · Derivative | 28,019 | $0.00 Strike: $6.89 | $0.00 |
DisclosureSEC source: 0001140361-22-007684 · form4.xml · derivative · entry 1 Smith David V · CIK 0001229447 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,019 Underlying: Common Stock · 28,019 shares Expires 2032-03-01 F1 · derivative.exercise_date: These options vest monthly over three years from the vesting commencement date of March 1, 2022, subject to the reporting person's continued service through the applicable vesting date, and subject to 100% acceleration upon a change of control. Read SEC document |
| September 15, 2021 Filed Jan 14, 2022 21:05 UTC | CODEXIS, INC. CDXS · Entity 6428 | GiftCommon Stock | 4,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001567619-22-001195 · doc1.xml · nonDerivative · entry 1 Smith David V · CIK 0001229447 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Trust Disclosed balance after: 72,501 F1 · shares: This transaction involved a gift of securities by the Reporting Person made on September 15, 2021. F2 · ownership.nature: Shares held by The Smith Family Trust. Read SEC document |
| June 15, 2021 Filed Jun 17, 2021 20:17 UTC | CODEXIS, INC. CDXS · Entity 6428 | GrantCommon Stock | 4,796 | $0.00 | $0.00 |
DisclosureSEC source: 0001567619-21-012322 · doc1.xml · nonDerivative · entry 3 Smith David V · CIK 0001229447 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,796 F3 · shares: The restricted stock award vests as to all of the shares subject to the award on the earlier of the first anniversary of the date of grant or the next annual stockholder meeting, subject to the director's continued service to the Company on such vesting date. Read SEC document |
| June 15, 2021 Filed Jun 17, 2021 20:17 UTC | CODEXIS, INC. CDXS · Entity 6428 | GiftCommon Stock | 8,952 | $0.00 | $0.00 |
DisclosureSEC source: 0001567619-21-012322 · doc1.xml · nonDerivative · entry 1 Smith David V · CIK 0001229447 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · shares: On June 15, 2021, the reporting person transferred 8,952 shares of the Issuer's common stock to a family trust of which the reporting person is trustee. Read SEC document |
| April 16, 2021 Filed Apr 19, 2021 19:57 UTC | FIVE PRIME THERAPEUTICS, INC. FPRX · Entity 16595 | Disposition to issuerEmployee Stock Option (right to buy) · Derivative | 90,000 | Not disclosed Strike: $5.25 | Not disclosed |
DisclosureSEC source: 0001209191-21-027423 · doc4.xml · derivative · entry 5 Smith David V · CIK 0001229447 · Executive Vice President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 90,000 shares Expires not disclosed F3 · price: Pursuant to the Merger Agreement, immediately prior to the effective time of the Merger, each option to purchase shares of Common Stock granted by the Company that was then outstanding and unexercised was cancelled and converted into the right to receive an amount in cash equal to the product of (x) the total number of shares of Common Stock subject to such option multiplied by (y) the excess, if any, of (A) the Offer Price minus (B) the exercise price payable per share under such option. F3 · derivative.exercise_date: Pursuant to the Merger Agreement, immediately prior to the effective time of the Merger, each option to purchase shares of Common Stock granted by the Company that was then outstanding and unexercised was cancelled and converted into the right to receive an amount in cash equal to the product of (x) the total number of shares of Common Stock subject to such option multiplied by (y) the excess, if any, of (A) the Offer Price minus (B) the exercise price payable per share under such option. F4 · derivative.expiration_date: Not applicable. Read SEC document |
| April 16, 2021 Filed Apr 19, 2021 19:57 UTC | FIVE PRIME THERAPEUTICS, INC. FPRX · Entity 16595 | Disposition to issuerEmployee Stock Option (right to buy) · Derivative | 90,000 | Not disclosed Strike: $5.25 | Not disclosed |
DisclosureSEC source: 0001209191-21-027423 · doc4.xml · derivative · entry 4 Smith David V · CIK 0001229447 · Executive Vice President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 90,000 shares Expires not disclosed F3 · price: Pursuant to the Merger Agreement, immediately prior to the effective time of the Merger, each option to purchase shares of Common Stock granted by the Company that was then outstanding and unexercised was cancelled and converted into the right to receive an amount in cash equal to the product of (x) the total number of shares of Common Stock subject to such option multiplied by (y) the excess, if any, of (A) the Offer Price minus (B) the exercise price payable per share under such option. F3 · derivative.exercise_date: Pursuant to the Merger Agreement, immediately prior to the effective time of the Merger, each option to purchase shares of Common Stock granted by the Company that was then outstanding and unexercised was cancelled and converted into the right to receive an amount in cash equal to the product of (x) the total number of shares of Common Stock subject to such option multiplied by (y) the excess, if any, of (A) the Offer Price minus (B) the exercise price payable per share under such option. F4 · derivative.expiration_date: Not applicable. Read SEC document |
| April 16, 2021 Filed Apr 19, 2021 19:57 UTC | FIVE PRIME THERAPEUTICS, INC. FPRX · Entity 16595 | Disposition to issuerEmployee Stock Option (right to buy) · Derivative | 185,000 | Not disclosed Strike: $12.47 | Not disclosed |
DisclosureSEC source: 0001209191-21-027423 · doc4.xml · derivative · entry 3 Smith David V · CIK 0001229447 · Executive Vice President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 185,000 shares Expires not disclosed F3 · price: Pursuant to the Merger Agreement, immediately prior to the effective time of the Merger, each option to purchase shares of Common Stock granted by the Company that was then outstanding and unexercised was cancelled and converted into the right to receive an amount in cash equal to the product of (x) the total number of shares of Common Stock subject to such option multiplied by (y) the excess, if any, of (A) the Offer Price minus (B) the exercise price payable per share under such option. F3 · derivative.exercise_date: Pursuant to the Merger Agreement, immediately prior to the effective time of the Merger, each option to purchase shares of Common Stock granted by the Company that was then outstanding and unexercised was cancelled and converted into the right to receive an amount in cash equal to the product of (x) the total number of shares of Common Stock subject to such option multiplied by (y) the excess, if any, of (A) the Offer Price minus (B) the exercise price payable per share under such option. F4 · derivative.expiration_date: Not applicable. Read SEC document |
| April 16, 2021 Filed Apr 19, 2021 19:57 UTC | FIVE PRIME THERAPEUTICS, INC. FPRX · Entity 16595 | Disposition to issuerCommon Stock | 138,947 | $38.00 | $5,279,986.00 |
DisclosureSEC source: 0001209191-21-027423 · doc4.xml · nonDerivative · entry 2 Smith David V · CIK 0001229447 · Executive Vice President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F2 · kind: Pursuant to the Agreement and Plan of Merger, dated March 4, 2021 (the "Merger Agreement"), by and among the Five Prime Therapeutics, Inc. (the "Company"), Amgen Inc. ("Parent") and Franklin Acquisition Sub, Inc., a wholly owned subsidiary of Parent ("Purchaser"), Purchaser merged with and into the Company, with the Company surviving as a wholly owned subsidiary of Parent (the "Merger"), effective as of April 16, 2021. Pursuant to the Merger Agreement, each issued and outstanding share of common stock of the Company, par value $0.001 per share ("Common Stock"), was converted into the right to receive $38.00 per share (the "Offer Price") in cash, without interest, minus any applicable withholding taxes. Read SEC document |
| April 16, 2021 Filed Apr 19, 2021 19:57 UTC | FIVE PRIME THERAPEUTICS, INC. FPRX · Entity 16595 | GrantCommon Stock | 66,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-027423 · doc4.xml · nonDerivative · entry 1 Smith David V · CIK 0001229447 · Executive Vice President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 138,947 F1 · shares: Represents shares of performance-based restricted Common Stock (as defined below) granted to the reporting person on June 24, 2019 (the "Performance Award"). The performance conditions associated with the Performance Award have not yet occurred. Pursuant to the Merger Agreement (as defined below), immediately prior to the effective time of the Merger (as defined below), the Performance Award was deemed to have vested and each share of Common Stock underlying the Performance Award was converted into the right to receive the Offer Price (as defined below) in cash, without interest, minus any applicable withholding taxes. Read SEC document |
| February 24, 2021 Filed Feb 26, 2021 14:31 UTC | FIVE PRIME THERAPEUTICS, INC. FPRX · Entity 16595 | Tax withholdingCommon Stock | 5,110 | $25.71 | $131,378.10 |
DisclosureSEC source: 0001209191-21-014641 · doc4.xml · nonDerivative · entry 1 Smith David V · CIK 0001229447 · Executive Vice President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 72,947 Read SEC document |
| December 11, 2020 Filed Dec 15, 2020 12:09 UTC | FIVE PRIME THERAPEUTICS, INC. FPRX · Entity 16595 | Exercise / conversionPerformance-Based Restricted Common Stock · Derivative | 22,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-063391 · doc4.xml · derivative · entry 3 Smith David V · CIK 0001229447 · Executive Vice President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 22,000 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: The shares subject to this grant vest upon achievement of certain performance conditions, as further described in the other footnotes to this report. F3 · shares: Represents 50% of the shares subject to this award, which shares vested on the date that the 30-calendar-day volume-weighted average closing price of a share of common stock of the Company was greater than or equal to $19.43. F4 · derivative.exercise_date: 50% of the shares subject to this award vested on the date that the 30-calendar-day volume-weighted average closing price of a share of common stock of the Company was greater than or equal to $12.95, and the remaining 50% of the shares subject to this award vested on the date that the 30-calendar-day volume-weighted average closing price of a share of common stock of the Company was greater than or equal to $19.43. F4 · derivative.expiration_date: 50% of the shares subject to this award vested on the date that the 30-calendar-day volume-weighted average closing price of a share of common stock of the Company was greater than or equal to $12.95, and the remaining 50% of the shares subject to this award vested on the date that the 30-calendar-day volume-weighted average closing price of a share of common stock of the Company was greater than or equal to $19.43. Read SEC document |
| December 11, 2020 Filed Dec 15, 2020 12:09 UTC | FIVE PRIME THERAPEUTICS, INC. FPRX · Entity 16595 | Tax withholdingCommon Stock | 11,504 | $16.14 | $185,674.56 |
DisclosureSEC source: 0001209191-20-063391 · doc4.xml · nonDerivative · entry 2 Smith David V · CIK 0001229447 · Executive Vice President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 78,057 Read SEC document |
| December 11, 2020 Filed Dec 15, 2020 12:09 UTC | FIVE PRIME THERAPEUTICS, INC. FPRX · Entity 16595 | Exercise / conversionCommon Stock | 22,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-063391 · doc4.xml · nonDerivative · entry 1 Smith David V · CIK 0001229447 · Executive Vice President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 89,561 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 shares of performance-based restricted common stock granted to the reporting person on June 24, 2019. These shares vested on the date that the 30-calendar-day volume-weighted average closing price of a share of common stock of Five Prime Therapeutics, Inc. (the "Company") was greater than or equal to $19.43. Read SEC document |
| November 26, 2020 Filed Nov 30, 2020 14:49 UTC | FIVE PRIME THERAPEUTICS, INC. FPRX · Entity 16595 | Tax withholdingCommon Stock | 6,920 | $18.45 | $127,674.00 |
DisclosureSEC source: 0001209191-20-060707 · doc4.xml · nonDerivative · entry 1 Smith David V · CIK 0001229447 · Executive Vice President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 67,561 Read SEC document |
| November 11, 2020 Filed Nov 13, 2020 12:29 UTC | FIVE PRIME THERAPEUTICS, INC. FPRX · Entity 16595 | Exercise / conversionPerformance-Based Restricted Common Stock · Derivative | 22,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-058241 · doc4.xml · derivative · entry 3 Smith David V · CIK 0001229447 · Executive Vice President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,000 Underlying: Common Stock · 22,000 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: The shares subject to this grant vest upon achievement of certain performance conditions, as further described in the other footnotes to this report. F3 · shares: Represents 50% of the shares subject to this award, which shares vested on the date that the 30-calendar-day volume-weighted average closing price of a share of common stock of the Company was greater than or equal to $12.95. F4 · derivative.exercise_date: The remaining shares subject to this award will vest on the date that the 30-calendar-day volume-weighted average closing price of a share of common stock of the Company is greater than or equal to $19.43, subject to the reporting person's continued service to the Company through such date; provided that such shares shall automatically expire and be forfeited if such shares have not vested by December 31, 2021. F4 · derivative.expiration_date: The remaining shares subject to this award will vest on the date that the 30-calendar-day volume-weighted average closing price of a share of common stock of the Company is greater than or equal to $19.43, subject to the reporting person's continued service to the Company through such date; provided that such shares shall automatically expire and be forfeited if such shares have not vested by December 31, 2021. Read SEC document |
| November 11, 2020 Filed Nov 13, 2020 12:29 UTC | FIVE PRIME THERAPEUTICS, INC. FPRX · Entity 16595 | Tax withholdingCommon Stock | 10,908 | $18.00 | $196,344.00 |
DisclosureSEC source: 0001209191-20-058241 · doc4.xml · nonDerivative · entry 2 Smith David V · CIK 0001229447 · Executive Vice President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 74,481 Read SEC document |
| November 11, 2020 Filed Nov 13, 2020 12:29 UTC | FIVE PRIME THERAPEUTICS, INC. FPRX · Entity 16595 | Exercise / conversionCommon Stock | 22,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-058241 · doc4.xml · nonDerivative · entry 1 Smith David V · CIK 0001229447 · Executive Vice President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 85,389 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 shares of performance-based restricted common stock granted to the reporting person on June 24, 2019. These shares vested on the date that the 30-calendar-day volume-weighted average closing price of a share of common stock of Five Prime Therapeutics, Inc. (the "Company") was greater than or equal to $12.95. Read SEC document |
| June 16, 2020 Filed Jun 18, 2020 20:13 UTC | CODEXIS, INC. CDXS · Entity 6428 | GrantCommon Stock | 8,952 | $0.00 | $0.00 |
DisclosureSEC source: 0001567619-20-012369 · doc1.xml · nonDerivative · entry 3 Smith David V · CIK 0001229447 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,952 F3 · shares: Restricted stock. The shares vest on the earlier of June 16, 2021 or the date of the Issuer's 2021 annual meeting of stockholders. Read SEC document |
| June 11, 2020 Filed Jun 18, 2020 20:13 UTC | CODEXIS, INC. CDXS · Entity 6428 | GiftCommon Stock | 4,947 | $0.00 | $0.00 |
DisclosureSEC source: 0001567619-20-012369 · doc1.xml · nonDerivative · entry 1 Smith David V · CIK 0001229447 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · shares: On June 11, 2020, the reporting person transferred 4,947 shares of the Issuer's common stock to a family trust of which the reporting person is trustee. Read SEC document |
| February 24, 2020 Filed Mar 11, 2020 18:32 UTC | FIVE PRIME THERAPEUTICS, INC. FPRX · Entity 16595 | GrantEmployee Stock Option (right to buy) · Derivative | 90,000 | $0.00 Strike: $5.25 | $0.00 |
DisclosureSEC source: 0001209191-20-018244 · doc4.xml · derivative · entry 4 Smith David V · CIK 0001229447 · Executive Vice President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 90,000 Underlying: Common Stock · 90,000 shares Expires 2030-02-23 F4 · derivative.exercise_date: The shares underlying the option vest at a rate of one forty-eighth (1/48) per month following February 24, 2020, provided the reporting person provides services to the Company through each such date. Read SEC document |
| February 24, 2020 Filed Mar 11, 2020 18:32 UTC | FIVE PRIME THERAPEUTICS, INC. FPRX · Entity 16595 | GrantEmployee Stock Option (right to buy) · Derivative | 90,000 | $0.00 Strike: $5.25 | $0.00 |
DisclosureSEC source: 0001209191-20-018244 · doc4.xml · derivative · entry 3 Smith David V · CIK 0001229447 · Executive Vice President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 90,000 Underlying: Common Stock · 90,000 shares Expires 2030-02-23 F3 · derivative.exercise_date: Represents a retention equity incentive award consisting of options to purchase shares of the Company's common stock. One-fourth (1/4) of the shares underlying this option will vest on February 24, 2021, and the remainder of the shares underlying this option vest at a rate of one forty-eighth (1/48) per month thereafter, provided the reporting person provides services to the Company through each such date. Read SEC document |
| February 24, 2020 Filed Mar 11, 2020 18:32 UTC | FIVE PRIME THERAPEUTICS, INC. FPRX · Entity 16595 | GrantCommon Stock | 15,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-018244 · doc4.xml · nonDerivative · entry 2 Smith David V · CIK 0001229447 · Executive Vice President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,389 F2 · shares: Represents shares of restricted stock, which will vest according to the following schedule: one-third (1/3) of the restricted stock will vest on each of February 24, 2021, 2022 and 2023, provided the reporting person provides services to the Company through each such date. Read SEC document |
| February 24, 2020 Filed Mar 11, 2020 18:32 UTC | FIVE PRIME THERAPEUTICS, INC. FPRX · Entity 16595 | GrantCommon Stock | 15,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-018244 · doc4.xml · nonDerivative · entry 1 Smith David V · CIK 0001229447 · Executive Vice President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,389 F1 · shares: Represents a retention equity incentive award consisting of shares of restricted stock, which will vest according to the following schedule: one-third (1/3) of the restricted stock will vest on each of February 24, 2021, 2022 and 2023, provided the reporting person provides services to Five Prime Therapeutics, Inc. (the "Company") through each such date. Read SEC document |
| November 26, 2019 Filed Nov 27, 2019 15:53 UTC | FIVE PRIME THERAPEUTICS, INC. FPRX · Entity 16595 | Tax withholdingCommon Stock | 6,611 | $3.77 | $24,923.47 |
DisclosureSEC source: 0001209191-19-058314 · doc4.xml · nonDerivative · entry 1 Smith David V · CIK 0001229447 · Executive Vice President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,389 Read SEC document |
| June 24, 2019 Filed Jun 26, 2019 16:25 UTC | FIVE PRIME THERAPEUTICS, INC. FPRX · Entity 16595 | GrantPerformance-Based Restricted Common Stock · Derivative | 44,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-039096 · doc4.xml · derivative · entry 1 Smith David V · CIK 0001229447 · Executive Vice President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,000 Underlying: Common Stock · 44,000 shares Expires not disclosed F1 · derivative.exercise_price: These shares will vest upon achievement of certain performance conditions, as further described in Footnote 2. F2 · derivative.exercise_date: (i) 50% of the shares subject to this award will vest on the date that the 30-calendar-day volume-weighted average closing price of a share of common stock of Five Prime Therapeutics, Inc. (the "Company") is greater than or equal to $12.95, provided that such shares shall automatically expire and be forfeited if such shares have not vested by December 31, 2020; and (ii) 50% of the shares subject to this award will vest on the date that the 30-calendar-day volume-weighted average closing price of a share of common stock of the Company is greater than or equal to $19.43, provided that such shares shall automatically expire and be forfeited if such shares have not vested by December 31, 2021; in each case, subject to the reporting person's continued service to the Company through each such date. F2 · derivative.expiration_date: (i) 50% of the shares subject to this award will vest on the date that the 30-calendar-day volume-weighted average closing price of a share of common stock of Five Prime Therapeutics, Inc. (the "Company") is greater than or equal to $12.95, provided that such shares shall automatically expire and be forfeited if such shares have not vested by December 31, 2020; and (ii) 50% of the shares subject to this award will vest on the date that the 30-calendar-day volume-weighted average closing price of a share of common stock of the Company is greater than or equal to $19.43, provided that such shares shall automatically expire and be forfeited if such shares have not vested by December 31, 2021; in each case, subject to the reporting person's continued service to the Company through each such date. Read SEC document |
| June 11, 2019 Filed Jun 13, 2019 20:13 UTC | CODEXIS, INC. CDXS · Entity 6428 | GrantCommon Stock | 4,947 | $0.00 | $0.00 |
DisclosureSEC source: 0001567619-19-013338 · doc1.xml · nonDerivative · entry 1 Smith David V · CIK 0001229447 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,947 F1 · shares: Restricted stock. The shares vest on the earlier of June 11, 2020 or the date of the Issuer's 2020 annual meeting of stockholders. Read SEC document |
| November 26, 2018 Filed Nov 27, 2018 19:21 UTC | FIVE PRIME THERAPEUTICS, INC. FPRX · Entity 16595 | GrantEmployee Stock Option (right to buy) · Derivative | 185,000 | $0.00 Strike: $12.47 | $0.00 |
DisclosureSEC source: 0001209191-18-060062 · doc4.xml · derivative · entry 2 Smith David V · CIK 0001229447 · Executive Vice President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 185,000 Underlying: Common Stock · 185,000 shares Expires 2028-11-25 F2 · derivative.exercise_date: One fourth (1/4) of the shares underlying this option will vest on November 26, 2019, and the remainder of the shares underlying this option will vest at a rate of one forty-eighth (1/48) per month thereafter, provided the reporting person provides services to the Company through each such date. Read SEC document |
| November 26, 2018 Filed Nov 27, 2018 19:21 UTC | FIVE PRIME THERAPEUTICS, INC. FPRX · Entity 16595 | GrantCommon Stock | 40,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-060062 · doc4.xml · nonDerivative · entry 1 Smith David V · CIK 0001229447 · Executive Vice President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 F1 · shares: Represents shares of restricted stock, which will vest according to the following schedule: one-third (1/3) of the restricted stock will vest on each of November 26, 2019, 2020 and 2021, provided the reporting person provides services to Five Prime Therapeutics, Inc. (the "Company") through each such date. Read SEC document |
| June 11, 2018 Filed Jun 13, 2018 01:01 UTC | CODEXIS, INC. CDXS · Entity 6428 | GrantCommon Stock | 5,923 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-18-028289 · doc1.xml · nonDerivative · entry 1 Smith David V · CIK 0001229447 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,923 F1 · shares: Restricted stock. The shares vest on the earlier of June 11, 2019 or the date of the Issuer's 2019 annual meeting of stockholders. Read SEC document |
| April 03, 2018 Filed Apr 5, 2018 17:11 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 6,000 | $10.37 | $62,212.80 |
DisclosureSEC source: 0001140361-18-017389 · doc1.xml · nonDerivative · entry 1 Smith David V · CIK 0001229447 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 56,679 F1 · kind: The sales reported in this Form 4 were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.125 to $10.60, 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 sold at each separate price within the ranges set forth in this footnote. F3 · ownership.nature: Shares held by The Smith Family Trust. Read SEC document |
| June 14, 2017 Filed Jun 16, 2017 22:45 UTC | CODEXIS, INC. CDXS · Entity 6428 | GrantCommon Stock | 17,894 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-17-025416 · doc1.xml · nonDerivative · entry 1 Smith David V · CIK 0001229447 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,679 F1 · shares: Restricted stock. The shares vest on the earlier of June 14, 2018 or the date of the Issuer's 2017 annual meeting of stockholders. 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.