Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Axonics, Inc.AXNX · Entity 86004 | Director · Chief Executive Officer | November 15, 2024 | November 15, 2024 |
| BIOLIFE SOLUTIONS INCBLFS · Entity 4614 | Director | July 12, 2021 | July 15, 2021 |
| InspireMD, Inc.NSPR · Entity 7318 | Director | January 14, 2026 | January 16, 2026 |
| KESTRA MEDICAL TECHNOLOGIES, LTD.KMTS · Entity 4686 | Director | September 30, 2026 | October 02, 2026 |
| RxSight, Inc.RXST · Entity 1226 | Director | June 17, 2026 | June 18, 2026 |
| SPECTRUM PHARMACEUTICALS INCSPPI · Entity 111009 | Director | June 20, 2019 | June 21, 2019 |
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.
Axonics, Inc.
Report date November 15, 2024 · Filed November 15, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2024-11-15 transaction · row 1
1 source rowRow 1 · 2024-11-15 · Disposition to issuer · Disposed 292,731 · Balance 0 F1: Reflects the disposition of the reporting person's shares of the Issuer's common stock, upon the consummation of the transactions contemplated by the Agreement and Plan of Merger, dated as of January 8, 2024 (the "Merger Agreement"), among the Issuer, Boston Scientific Corporation ("Parent") and Sadie Merger Sub, Inc., a wholly owned subsidiary of Parent ("Merger Sub"), including the consummation of the merger of Merger Sub with and into the Issuer with the Issuer as the surviving corporation (the "Merger"). Pursuant to the Merger Agreement, at the effective time of the Merger (the "Effective time"), each outstanding share of the Issuer's common stock was canceled and converted automatically into the right to receive $71.00 in cash, without interest (The "Merger Consideration"). F2: The shares of the Issuer's common stock reported as disposed by the reporting person include restricted stock awards. Pursuant to the Merger Agreement, at the Effective Time, each outstanding restricted stock award granted under the Issuer's 2018 Omnibus Incentive Plan (f/k/a/ Axonics Modulation Technologies, Inc. 2018 Omnibus Incentive Plan) and the Axonics Modulation Technologies, Inc. 2014 Stock Incentive Plan was canceled and converted into the right to receive an amount in cash, without interest, equal to the product of (a) the Merger Consideration and (b) the aggregate number of shares subject to such restricted stock award, less applicable taxes and authorized deductions. |
| Performance-Based Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2024-11-15 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2024-11-15 · Disposition to issuer · Disposed 31,125 · Balance 0 F3: Each Performance-Based Restricted Stock Unit represents the contingent right to receive one share of the Issuer's common stock, subject to the conditions set forth in the award agreement. Per the terms of the award agreement governing the Performance-Based Restricted Stock Units, the number of Performance-Based Restricted Stock Units to be earned by the reporting person ranged from 0% to 200% of the target number of Performance-Based Restricted Stock Units granted, based upon the total stockholder return of the Issuer's common stock relative to its peer group index over a performance period consisting of the two fiscal years ending January 31, 2025, and provided the reporting person remains in continuous service through January 31, 2025. F4: Pursuant the Merge Agreement, at the Effective Time, each outstanding Performance-Based Restricted Stock Unit granted under the Issuer's 2018 Omnibus Incentive Plan (f/k/a/ Axonics Modulation Technologies, Inc. 2018 Omnibus Incentive Plan) and the Axonics Modulation Technologies, Inc. 2014 Stock Incentive Plan for which the market condition is relative total stockholder return, whether vested but unsettled or unvested, was canceled and converted into the right to receive an amount in cash, without interest, equal to the product of (a) the Merger Consideration and (b) the aggregate number of shares underlying such Performance-Based Restricted Stock Unit (based on the actual performance of the relevant peer group as of the Company's fiscal quarter-end immediately preceding the Effective Time and the Merger Consideration as the per share price), less applicable taxes and authorized deductions. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $14.19 · Expires 2029-01-30 | Direct | 0 |
Reported balance
After 2024-11-15 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2024-11-15 · Disposition to issuer · Disposed 196,451 · Balance 0 F5: Pursuant to the Merger Agreement, at the Effective Time, each outstanding and unexercised option to purchase shares of the Issuer's common stock granted under the Issuer's 2018 Omnibus Incentive Plan (f/k/a/ Axonics Modulation Technologies, Inc. 2018 Omnibus Incentive Plan) and the Axonics Modulation Technologies, Inc. 2014 Stock Incentive Plan (each such option, a "Company Option"), whether vested or unvested, was canceled and converted into the right to receive an amount in cash, without interest, equal to the product of (a) the amount by which the Merger Consideration exceeds the exercise price per share applicable to such Company Option and (b) the aggregate number of shares of the Issuer's common stock issuable upon exercise of such Company Option, less applicable taxes and authorized deductions |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.63 · Expires 2028-03-30 | Direct | 0 |
Reported balance
After 2024-11-15 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2024-11-15 · Disposition to issuer · Disposed 106,776 · Balance 0 F5: Pursuant to the Merger Agreement, at the Effective Time, each outstanding and unexercised option to purchase shares of the Issuer's common stock granted under the Issuer's 2018 Omnibus Incentive Plan (f/k/a/ Axonics Modulation Technologies, Inc. 2018 Omnibus Incentive Plan) and the Axonics Modulation Technologies, Inc. 2014 Stock Incentive Plan (each such option, a "Company Option"), whether vested or unvested, was canceled and converted into the right to receive an amount in cash, without interest, equal to the product of (a) the amount by which the Merger Consideration exceeds the exercise price per share applicable to such Company Option and (b) the aggregate number of shares of the Issuer's common stock issuable upon exercise of such Company Option, less applicable taxes and authorized deductions |
Filing footnotes · ownership attribution and instrument terms
F1: Reflects the disposition of the reporting person's shares of the Issuer's common stock, upon the consummation of the transactions contemplated by the Agreement and Plan of Merger, dated as of January 8, 2024 (the "Merger Agreement"), among the Issuer, Boston Scientific Corporation ("Parent") and Sadie Merger Sub, Inc., a wholly owned subsidiary of Parent ("Merger Sub"), including the consummation of the merger of Merger Sub with and into the Issuer with the Issuer as the surviving corporation (the "Merger"). Pursuant to the Merger Agreement, at the effective time of the Merger (the "Effective time"), each outstanding share of the Issuer's common stock was canceled and converted automatically into the right to receive $71.00 in cash, without interest (The "Merger Consideration").
F2: The shares of the Issuer's common stock reported as disposed by the reporting person include restricted stock awards. Pursuant to the Merger Agreement, at the Effective Time, each outstanding restricted stock award granted under the Issuer's 2018 Omnibus Incentive Plan (f/k/a/ Axonics Modulation Technologies, Inc. 2018 Omnibus Incentive Plan) and the Axonics Modulation Technologies, Inc. 2014 Stock Incentive Plan was canceled and converted into the right to receive an amount in cash, without interest, equal to the product of (a) the Merger Consideration and (b) the aggregate number of shares subject to such restricted stock award, less applicable taxes and authorized deductions.
F3: Each Performance-Based Restricted Stock Unit represents the contingent right to receive one share of the Issuer's common stock, subject to the conditions set forth in the award agreement. Per the terms of the award agreement governing the Performance-Based Restricted Stock Units, the number of Performance-Based Restricted Stock Units to be earned by the reporting person ranged from 0% to 200% of the target number of Performance-Based Restricted Stock Units granted, based upon the total stockholder return of the Issuer's common stock relative to its peer group index over a performance period consisting of the two fiscal years ending January 31, 2025, and provided the reporting person remains in continuous service through January 31, 2025.
F4: Pursuant the Merge Agreement, at the Effective Time, each outstanding Performance-Based Restricted Stock Unit granted under the Issuer's 2018 Omnibus Incentive Plan (f/k/a/ Axonics Modulation Technologies, Inc. 2018 Omnibus Incentive Plan) and the Axonics Modulation Technologies, Inc. 2014 Stock Incentive Plan for which the market condition is relative total stockholder return, whether vested but unsettled or unvested, was canceled and converted into the right to receive an amount in cash, without interest, equal to the product of (a) the Merger Consideration and (b) the aggregate number of shares underlying such Performance-Based Restricted Stock Unit (based on the actual performance of the relevant peer group as of the Company's fiscal quarter-end immediately preceding the Effective Time and the Merger Consideration as the per share price), less applicable taxes and authorized deductions.
F5: Pursuant to the Merger Agreement, at the Effective Time, each outstanding and unexercised option to purchase shares of the Issuer's common stock granted under the Issuer's 2018 Omnibus Incentive Plan (f/k/a/ Axonics Modulation Technologies, Inc. 2018 Omnibus Incentive Plan) and the Axonics Modulation Technologies, Inc. 2014 Stock Incentive Plan (each such option, a "Company Option"), whether vested or unvested, was canceled and converted into the right to receive an amount in cash, without interest, equal to the product of (a) the amount by which the Merger Consideration exceeds the exercise price per share applicable to such Company Option and (b) the aggregate number of shares of the Issuer's common stock issuable upon exercise of such Company Option, less applicable taxes and authorized deductions
BIOLIFE SOLUTIONS INC
Report date July 12, 2021 · Filed July 15, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 27,763 |
Reported balance
After 2021-07-12 transaction · row 1
1 source rowRow 1 · 2021-07-12 · Grant · Acquired 5,000 · Balance 27,763 F1: The restricted stock was granted pursuant to the BioLife Solutions 2013 Performance Incentive Plan. |
Filing footnotes · ownership attribution and instrument terms
F1: The restricted stock was granted pursuant to the BioLife Solutions 2013 Performance Incentive Plan.
InspireMD, Inc.
Report date January 14, 2026 · Filed January 16, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 92,417 |
Reported balance
After 2026-01-14 transaction · row 1
1 source rowRow 1 · 2026-01-14 · Grant · Acquired 44,030 · Balance 92,417 F1: These shares of common stock represent shares of restricted stock that shall vest on January 14, 2027 (the "One Year Grant Anniversary Date"), subject to the Reporting Person's continued service. |
Filing footnotes · ownership attribution and instrument terms
F1: These shares of common stock represent shares of restricted stock that shall vest on January 14, 2027 (the "One Year Grant Anniversary Date"), subject to the Reporting Person's continued service.
KESTRA MEDICAL TECHNOLOGIES, LTD.
Report date September 30, 2026 · Filed October 02, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common SharesSEC Table I · non-derivative | Direct | 54,790 |
Reported balance
After 2026-09-30 transaction · row 1
1 source rowRow 1 · 2026-09-30 · Sale · Disposed 3,330 · Balance 54,790 F1: The sale reported in this Form 4 represents a nondiscretionary sale of shares required to be sold by the reporting person pursuant to sell to cover transactions to satisfy tax withholding obligations in connection with the vesting and settlement of restricted stock units. F2: The price in Column 4 is a weighted average price. The prices at which the reported securities were sold ranged from $29.2800 to $29.2900. Upon request, the reporting person will provide to the Issuer, any security holder of the Issuer, or the SEC staff, information regarding the number of shares at each price within the range. |
Filing footnotes · ownership attribution and instrument terms
F1: The sale reported in this Form 4 represents a nondiscretionary sale of shares required to be sold by the reporting person pursuant to sell to cover transactions to satisfy tax withholding obligations in connection with the vesting and settlement of restricted stock units.
F2: The price in Column 4 is a weighted average price. The prices at which the reported securities were sold ranged from $29.2800 to $29.2900. Upon request, the reporting person will provide to the Issuer, any security holder of the Issuer, or the SEC staff, information regarding the number of shares at each price within the range.
RxSight, 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 | 66,532 |
Reported balance
After 2026-06-17 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2026-06-17 · Grant · Acquired 30,864 · Balance 66,532 F1: Each restricted stock unit ("RSU") represents a contingent right to receive one share of RxSight, Inc. Common Stock. F2: Subject to the Reporting Person's continuing as an Outside Director (as defined in the Issuer's 2021 Equity Incentive Plan) through such applicable vesting date, one hundred percent (100%) of the RSUs subject to the award shall vest on the earlier of (i) the one (1) year anniversary of the Date of Grant or (ii) the date of the next annual meeting of stockholders following the Date of Grant. "Date of Grant" shall mean June 17, 2026. |
Filing footnotes · ownership attribution and instrument terms
F1: Each restricted stock unit ("RSU") represents a contingent right to receive one share of RxSight, Inc. Common Stock.
F2: Subject to the Reporting Person's continuing as an Outside Director (as defined in the Issuer's 2021 Equity Incentive Plan) through such applicable vesting date, one hundred percent (100%) of the RSUs subject to the award shall vest on the earlier of (i) the one (1) year anniversary of the Date of Grant or (ii) the date of the next annual meeting of stockholders following the Date of Grant. "Date of Grant" shall mean June 17, 2026.
SPECTRUM PHARMACEUTICALS INC
Report date June 20, 2019 · Filed June 21, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, $0.001 par valueSEC Table I · non-derivative | Direct | 53,850 |
Reported balance
After 2019-06-20 transaction · row 1
1 source rowRow 1 · 2019-06-20 · Grant · Acquired 10,000 · Balance 53,850 F1: 100% of the restricted shares shall vest on the earlier of (1) June 20, 2020 or (2) the date of the company's 2020 Annual Meeting of Stockholders. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $8.44 · Expires 2029-06-20 | Direct | 20,000 |
Reported balance
After 2019-06-20 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2019-06-20 · Grant · Acquired 20,000 · Balance 20,000 F2: 25% of the option shares vested on June 20, 2019. The remaining option shares shall vest in 25% equal annual amounts on each anniversary date of the grant over three years. |
Filing footnotes · ownership attribution and instrument terms
F1: 100% of the restricted shares shall vest on the earlier of (1) June 20, 2020 or (2) the date of the company's 2020 Annual Meeting of Stockholders.
F2: 25% of the option shares vested on June 20, 2019. The remaining option shares shall vest in 25% equal annual amounts on each anniversary date of the grant over three years.
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 |
|---|---|---|---|---|---|---|
| January 13, 2020 Filed Jan 16, 2020 22:31 UTC | Axonics, Inc. AXNX · Entity 86004 | Exercise / conversionStock Option (Right to Buy) · Derivative | 10,000 | $0.00 Strike: $1.63 | $0.00 |
DisclosureSEC source: 0001562180-20-000398 · primarydocument.xml · derivative · entry 3 COHEN RAYMOND W · CIK 0001258288 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 158,000 Underlying: Common Stock · 10,000 shares Expires 2028-03-30 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_date: The shares subject to the option vest over a period of four years. 42,000 of the shares subject to the option vested on March 30, 2018 and the remainder vest at a rate of 1/36th per month commencing on March 30, 2019, provided the reporting person remains in continuous service on each vesting date, subject to accelerated vesting in certain events, including upon certain changes of control of the Issuer. The option is subject to an early exercise provision and is immediately exercisable. Read SEC document |
| January 13, 2020 Filed Jan 16, 2020 22:31 UTC | Axonics, Inc. AXNX · Entity 86004 | SaleCommon Stock | 10,000 | $31.98 | $319,800.00 |
DisclosureSEC source: 0001562180-20-000398 · primarydocument.xml · nonDerivative · entry 2 COHEN RAYMOND W · CIK 0001258288 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 608,391 F1 · kind: This sale was pursuant to a 10b5-1 plan adopted by the reporting person on September 25, 2019. Read SEC document |
| January 13, 2020 Filed Jan 16, 2020 22:31 UTC | Axonics, Inc. AXNX · Entity 86004 | Exercise / conversionCommon Stock | 10,000 | $1.63 | $16,300.00 |
DisclosureSEC source: 0001562180-20-000398 · primarydocument.xml · nonDerivative · entry 1 COHEN RAYMOND W · CIK 0001258288 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 618,391 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. Read SEC document |
| December 12, 2019 Filed Dec 17, 2019 01:41 UTC | Axonics, Inc. AXNX · Entity 86004 | GrantStock Option (Right to Buy) · Derivative | 78,125 | $0.00 Strike: $25.82 | $0.00 |
DisclosureSEC source: 0001562180-19-006115 · primarydocument.xml · derivative · entry 3 COHEN RAYMOND W · CIK 0001258288 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 78,125 Underlying: Common Stock · 78,125 shares Expires 2029-12-12 F3 · derivative.exercise_date: The option becomes exercisable as follows: (i) 1/4 of the total number of shares of common stock underlying the option will vest on December 12, 2020 and (ii) 1/36 of the remaining shares of common stock underlying the option will vest monthly thereafter, such that the option will fully vest on December 12, 2023, provided the reporting person remains in continuous service on each vesting date. Read SEC document |
| December 12, 2019 Filed Dec 17, 2019 01:41 UTC | Axonics, Inc. AXNX · Entity 86004 | GrantPerformance-Based Restricted Stock Units · Derivative | 27,173 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001562180-19-006115 · primarydocument.xml · derivative · entry 2 COHEN RAYMOND W · CIK 0001258288 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,173 Underlying: Common Stock · 27,173 shares Expires not disclosed F2 · security: The number of Performance-Based Restricted Stock Units represents the target number of Performance-Based Restricted Stock Units that were granted to the reporting person on the date of grant, each of which represents the contingent right to receive one share of common stock, subject to the conditions set forth in the award agreement. Per the terms of the award agreement governing the Performance-Based Restricted Stock Units, the number of Performance-Based Restricted Stock Units to which the reporting person may ultimately become entitled ranges from 0% to 200% of the target number of Performance-Based Restricted Stock Units granted, based upon the total shareholder return of the Issuer's common stock relative to its peer group index over a performance period consisting of the two fiscal years ending December 31, 2021, and provided the reporting person remains in continuous service through December 31, 2021. F2 · derivative.expiration_date: The number of Performance-Based Restricted Stock Units represents the target number of Performance-Based Restricted Stock Units that were granted to the reporting person on the date of grant, each of which represents the contingent right to receive one share of common stock, subject to the conditions set forth in the award agreement. Per the terms of the award agreement governing the Performance-Based Restricted Stock Units, the number of Performance-Based Restricted Stock Units to which the reporting person may ultimately become entitled ranges from 0% to 200% of the target number of Performance-Based Restricted Stock Units granted, based upon the total shareholder return of the Issuer's common stock relative to its peer group index over a performance period consisting of the two fiscal years ending December 31, 2021, and provided the reporting person remains in continuous service through December 31, 2021. Read SEC document |
| December 12, 2019 Filed Dec 17, 2019 01:41 UTC | Axonics, Inc. AXNX · Entity 86004 | GrantPerformance-Based Restricted Stock Units · Derivative | 27,173 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001562180-19-006115 · primarydocument.xml · derivative · entry 1 COHEN RAYMOND W · CIK 0001258288 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,173 Underlying: Common Stock · 27,173 shares Expires not disclosed F1 · security: Each Performance-Based Restricted Stock Unit represents the contingent right to receive one share of common stock, subject to the Issuer's achievement of certain operational and performance objectives during the fiscal year ending December 31, 2020 and provided the reporting person remains in continuous service through December 31, 2020. F1 · derivative.expiration_date: Each Performance-Based Restricted Stock Unit represents the contingent right to receive one share of common stock, subject to the Issuer's achievement of certain operational and performance objectives during the fiscal year ending December 31, 2020 and provided the reporting person remains in continuous service through December 31, 2020. Read SEC document |
| November 19, 2019 Filed Nov 22, 2019 01:42 UTC | Axonics, Inc. AXNX · Entity 86004 | SaleCommon Stock | 75,000 | $20.74 | $1,555,125.00 |
DisclosureSEC source: 0001562180-19-005638 · primarydocument.xml · nonDerivative · entry 1 COHEN RAYMOND W · CIK 0001258288 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 608,391 F1 · price: The shares were sold in a public offering pursuant to the Registration Statement of Axonics Modulation Technologies, Inc. on Form S-3 (File No. 333-234546) Read SEC document |
| August 15, 2019 Filed Aug 20, 2019 00:01 UTC | BIOLIFE SOLUTIONS INC BLFS · Entity 4614 | Exercise / conversionStock Option (Right to Buy) · Derivative | 5,357 | $0.00 Strike: $1.12 | $0.00 |
DisclosureSEC source: 0001437749-19-017140 · rdgdoc.xml · derivative · entry 3 COHEN RAYMOND W · CIK 0001258288 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,357 shares Expires 2022-05-10 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. Read SEC document |
| August 15, 2019 Filed Aug 20, 2019 00:01 UTC | BIOLIFE SOLUTIONS INC BLFS · Entity 4614 | SaleCommon Stock | 5,357 | $17.98 | $96,318.86 |
DisclosureSEC source: 0001437749-19-017140 · rdgdoc.xml · nonDerivative · entry 2 COHEN RAYMOND W · CIK 0001258288 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,388 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 15, 2019. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $17.94 to $18.01, inclusive. The reporting person undertakes to provide to the registrant, any security holder of the registrant, 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 range. Read SEC document |
| August 15, 2019 Filed Aug 20, 2019 00:01 UTC | BIOLIFE SOLUTIONS INC BLFS · Entity 4614 | Exercise / conversionCommon Stock | 5,357 | $1.12 | $5,999.84 |
DisclosureSEC source: 0001437749-19-017140 · rdgdoc.xml · nonDerivative · entry 1 COHEN RAYMOND W · CIK 0001258288 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,745 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. Read SEC document |
| August 06, 2019 Filed Aug 6, 2019 21:57 UTC | Axonics, Inc. AXNX · Entity 86004 | PurchaseCommon Stock | 3,500 | $30.41 | $106,438.85 |
DisclosureSEC source: 0001562180-19-004194 · primarydocument.xml · nonDerivative · entry 1 COHEN RAYMOND W · CIK 0001258288 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 683,391 Read SEC document |
| July 15, 2019 Filed Jul 18, 2019 00:17 UTC | BIOLIFE SOLUTIONS INC BLFS · Entity 4614 | Exercise / conversionStock Option (Right to Buy) · Derivative | 5,357 | $0.00 Strike: $1.12 | $0.00 |
DisclosureSEC source: 0001437749-19-014177 · rdgdoc.xml · derivative · entry 3 COHEN RAYMOND W · CIK 0001258288 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,357 shares Expires 2021-02-11 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. Read SEC document |
| July 15, 2019 Filed Jul 18, 2019 00:17 UTC | BIOLIFE SOLUTIONS INC BLFS · Entity 4614 | SaleCommon Stock | 5,357 | $16.57 | $88,765.49 |
DisclosureSEC source: 0001437749-19-014177 · rdgdoc.xml · nonDerivative · entry 2 COHEN RAYMOND W · CIK 0001258288 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,388 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 15, 2019. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.51 to $16.75, inclusive. The reporting person undertakes to provide to the registrant, any security holder of the registrant, 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 range. Read SEC document |
| July 15, 2019 Filed Jul 18, 2019 00:17 UTC | BIOLIFE SOLUTIONS INC BLFS · Entity 4614 | Exercise / conversionCommon Stock | 5,357 | $1.12 | $5,999.84 |
DisclosureSEC source: 0001437749-19-014177 · rdgdoc.xml · nonDerivative · entry 1 COHEN RAYMOND W · CIK 0001258288 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,745 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. Read SEC document |
| June 20, 2019 Filed Jun 21, 2019 20:32 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | GrantStock Option (Right to Buy) · Derivative | 20,000 | $0.00 Strike: $8.44 | $0.00 |
DisclosureSEC source: 0001209191-19-038672 · doc4.xml · derivative · entry 2 COHEN RAYMOND W · CIK 0001258288 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2029-06-20 F2 · derivative.exercise_date: 25% of the option shares vested on June 20, 2019. The remaining option shares shall vest in 25% equal annual amounts on each anniversary date of the grant over three years. Read SEC document |
| June 20, 2019 Filed Jun 21, 2019 20:32 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | GrantCommon Stock, $0.001 par value | 10,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-038672 · doc4.xml · nonDerivative · entry 1 COHEN RAYMOND W · CIK 0001258288 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,850 F1 · shares: 100% of the restricted shares shall vest on the earlier of (1) June 20, 2020 or (2) the date of the company's 2020 Annual Meeting of Stockholders. Read SEC document |
| June 19, 2019 Filed Feb 15, 2020 02:55 UTC | Axonics, Inc. AXNX · Entity 86004 | GiftCommon Stock | 15,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001562180-20-001262 · primarydocument.xml · nonDerivative · entry 4 COHEN RAYMOND W · CIK 0001258288 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 542,058 Read SEC document |
| June 18, 2019 Filed Feb 15, 2020 02:55 UTC | Axonics, Inc. AXNX · Entity 86004 | GiftCommon Stock | 15,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001562180-20-001262 · primarydocument.xml · nonDerivative · entry 3 COHEN RAYMOND W · CIK 0001258288 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 557,058 Read SEC document |
| June 17, 2019 Filed Jun 20, 2019 00:29 UTC | BIOLIFE SOLUTIONS INC BLFS · Entity 4614 | Exercise / conversionStock Option (Right to Buy) · Derivative | 5,357 | $0.00 Strike: $1.40 | $0.00 |
DisclosureSEC source: 0001437749-19-012311 · rdgdoc.xml · derivative · entry 3 COHEN RAYMOND W · CIK 0001258288 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,357 shares Expires 2020-02-05 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. Read SEC document |
| June 17, 2019 Filed Jun 20, 2019 00:29 UTC | BIOLIFE SOLUTIONS INC BLFS · Entity 4614 | SaleCommon Stock | 5,357 | $17.48 | $93,640.36 |
DisclosureSEC source: 0001437749-19-012311 · rdgdoc.xml · nonDerivative · entry 2 COHEN RAYMOND W · CIK 0001258288 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,388 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 15, 2019. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $17.31 to $17.78, inclusive. The reporting person undertakes to provide to the registrant, any security holder of the registrant, 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 range. Read SEC document |
| June 17, 2019 Filed Jun 20, 2019 00:29 UTC | BIOLIFE SOLUTIONS INC BLFS · Entity 4614 | Exercise / conversionCommon Stock | 5,357 | $1.40 | $7,499.80 |
DisclosureSEC source: 0001437749-19-012311 · rdgdoc.xml · nonDerivative · entry 1 COHEN RAYMOND W · CIK 0001258288 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,745 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. Read SEC document |
| June 04, 2019 Filed Feb 15, 2020 02:55 UTC | Axonics, Inc. AXNX · Entity 86004 | GiftCommon Stock | 50,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001562180-20-001262 · primarydocument.xml · nonDerivative · entry 2 COHEN RAYMOND W · CIK 0001258288 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 572,058 Read SEC document |
| May 17, 2019 Filed May 18, 2019 00:02 UTC | BIOLIFE SOLUTIONS INC BLFS · Entity 4614 | SaleCommon Stock | 15,000 | $17.99 | $269,850.00 |
DisclosureSEC source: 0001437749-19-010416 · rdgdoc.xml · nonDerivative · entry 3 COHEN RAYMOND W · CIK 0001258288 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,388 F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $17.985 to $17.99, inclusive. The reporting person undertakes to provide to the registrant, any security holder of the registrant, 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 range. Read SEC document |
| May 15, 2019 Filed May 18, 2019 00:02 UTC | BIOLIFE SOLUTIONS INC BLFS · Entity 4614 | Exercise / conversionStock Option (Right to Buy) · Derivative | 10,000 | $0.00 Strike: $1.90 | $0.00 |
DisclosureSEC source: 0001437749-19-010416 · rdgdoc.xml · derivative · entry 4 COHEN RAYMOND W · CIK 0001258288 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 10,000 shares Expires 2026-03-15 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. Read SEC document |
| May 15, 2019 Filed May 18, 2019 00:02 UTC | BIOLIFE SOLUTIONS INC BLFS · Entity 4614 | SaleCommon Stock | 10,000 | $16.98 | $169,800.00 |
DisclosureSEC source: 0001437749-19-010416 · rdgdoc.xml · nonDerivative · entry 2 COHEN RAYMOND W · CIK 0001258288 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,388 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 15, 2019. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.90 to $17.39, inclusive. The reporting person undertakes to provide to the registrant, any security holder of the registrant, 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 range. Read SEC document |
| May 15, 2019 Filed May 18, 2019 00:02 UTC | BIOLIFE SOLUTIONS INC BLFS · Entity 4614 | Exercise / conversionCommon Stock | 10,000 | $1.90 | $19,000.00 |
DisclosureSEC source: 0001437749-19-010416 · rdgdoc.xml · nonDerivative · entry 1 COHEN RAYMOND W · CIK 0001258288 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,388 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. Read SEC document |
| April 15, 2019 Filed Apr 20, 2019 00:01 UTC | BIOLIFE SOLUTIONS INC BLFS · Entity 4614 | Exercise / conversionStock Option (Right to Buy) · Derivative | 15,000 | $0.00 Strike: $2.06 | $0.00 |
DisclosureSEC source: 0001437749-19-007641 · rdgdoc.xml · derivative · entry 3 COHEN RAYMOND W · CIK 0001258288 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 15,000 shares Expires 2025-05-04 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. Read SEC document |
| April 15, 2019 Filed Apr 20, 2019 00:01 UTC | BIOLIFE SOLUTIONS INC BLFS · Entity 4614 | SaleCommon Stock | 15,000 | $17.03 | $255,450.00 |
DisclosureSEC source: 0001437749-19-007641 · rdgdoc.xml · nonDerivative · entry 2 COHEN RAYMOND W · CIK 0001258288 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,388 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 15, 2019. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.90 to $17.56, inclusive. The reporting person undertakes to provide to the registrant, any security holder of the registrant, 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 range. Read SEC document |
| April 15, 2019 Filed Apr 20, 2019 00:01 UTC | BIOLIFE SOLUTIONS INC BLFS · Entity 4614 | Exercise / conversionCommon Stock | 15,000 | $2.06 | $30,900.00 |
DisclosureSEC source: 0001437749-19-007641 · rdgdoc.xml · nonDerivative · entry 1 COHEN RAYMOND W · CIK 0001258288 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,388 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. Read SEC document |
| March 15, 2019 Filed Mar 18, 2019 11:45 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | GrantCommon Stock, $0.001 par value | 5,000 | $9.59 | $47,950.00 |
DisclosureSEC source: 0001209191-19-019900 · doc4.xml · nonDerivative · entry 1 COHEN RAYMOND W · CIK 0001258288 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,850 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $9.57 to $9.61, inclusive. The reporting person undertakes to provide to Spectrum Pharmaceuticals, Inc., any security holder of Spectrum Pharmaceuticals, Inc., 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 ranges set forth in this footnote. Read SEC document |
| January 30, 2019 Filed Feb 4, 2019 22:38 UTC | Axonics, Inc. AXNX · Entity 86004 | GrantPerformance-Based Restricted Stock Units · Derivative | 16,667 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000899243-19-002483 · doc4.xml · derivative · entry 3 COHEN RAYMOND W · CIK 0001258288 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,667 Underlying: Common Stock · 16,667 shares Expires not disclosed F3 · security: The number of Performance-Based Restricted Stock Units represents the target number of Performance-Based Restricted Stock Units that were granted to the reporting person on the date of grant, each of which represents the contingent right to receive one share of common stock, subject to the conditions set forth in the award agreement. Per the terms of the award agreement governing the Performance-Based Restricted Stock Units, the number of Performance-Based Restricted Stock Units to which the reporting person may ultimately become entitled ranges from 0% to 200% of the target number of Performance-Based Restricted Stock Units granted, based upon the total shareholder return of the Issuer's common stock relative to its peer group index over a performance period consisting of the two fiscal years ending December 31, 2020, and provided the reporting person remains in continuous service through January 30, 2021. F3 · derivative.expiration_date: The number of Performance-Based Restricted Stock Units represents the target number of Performance-Based Restricted Stock Units that were granted to the reporting person on the date of grant, each of which represents the contingent right to receive one share of common stock, subject to the conditions set forth in the award agreement. Per the terms of the award agreement governing the Performance-Based Restricted Stock Units, the number of Performance-Based Restricted Stock Units to which the reporting person may ultimately become entitled ranges from 0% to 200% of the target number of Performance-Based Restricted Stock Units granted, based upon the total shareholder return of the Issuer's common stock relative to its peer group index over a performance period consisting of the two fiscal years ending December 31, 2020, and provided the reporting person remains in continuous service through January 30, 2021. Read SEC document |
| January 30, 2019 Filed Feb 4, 2019 22:38 UTC | Axonics, Inc. AXNX · Entity 86004 | GrantPerformance-Based Restricted Stock Units · Derivative | 16,667 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000899243-19-002483 · doc4.xml · derivative · entry 2 COHEN RAYMOND W · CIK 0001258288 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,667 Underlying: Common Stock · 16,667 shares Expires not disclosed F2 · security: Each Performance-Based Restricted Stock Unit represents the contingent right to receive one share of common stock, subject to the Issuer's achievement of certain operational and performance objectives during the fiscal year ending December 31, 2019 and provided the reporting person remains in continuous service through January 30, 2020. F2 · derivative.expiration_date: Each Performance-Based Restricted Stock Unit represents the contingent right to receive one share of common stock, subject to the Issuer's achievement of certain operational and performance objectives during the fiscal year ending December 31, 2019 and provided the reporting person remains in continuous service through January 30, 2020. Read SEC document |
| January 30, 2019 Filed Feb 4, 2019 22:38 UTC | Axonics, Inc. AXNX · Entity 86004 | GrantStock Option (Right to Buy) · Derivative | 222,222 | $0.00 Strike: $14.19 | $0.00 |
DisclosureSEC source: 0000899243-19-002483 · doc4.xml · derivative · entry 1 COHEN RAYMOND W · CIK 0001258288 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 222,222 Underlying: Common Stock · 222,222 shares Expires 2029-01-30 F1 · derivative.exercise_date: The option becomes exercisable as follows: (i) 1/4 of the total number of shares of common stock underlying the option will vest on January 30, 2020 and (ii) 1/36 of the remaining shares of common stock underlying the option will vest monthly thereafter, such that the option will fully vest on January 30, 2023, provided the reporting person remains in continuous service on each vesting date. Read SEC document |
| January 06, 2019 Filed Feb 15, 2020 02:55 UTC | Axonics, Inc. AXNX · Entity 86004 | GiftCommon Stock | 3,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001562180-20-001262 · primarydocument.xml · nonDerivative · entry 1 COHEN RAYMOND W · CIK 0001258288 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 622,058 Read SEC document |
| December 20, 2018 Filed Dec 26, 2018 22:21 UTC | BIOLIFE SOLUTIONS INC BLFS · Entity 4614 | Exercise / conversionStock Option (Right to Buy) · Derivative | 5,357 | $0.00 Strike: $1.26 | $0.00 |
DisclosureSEC source: 0001437749-18-022620 · rdgdoc.xml · derivative · entry 2 COHEN RAYMOND W · CIK 0001258288 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,357 shares Expires 2019-02-26 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. Read SEC document |
| December 20, 2018 Filed Dec 26, 2018 22:21 UTC | BIOLIFE SOLUTIONS INC BLFS · Entity 4614 | Exercise / conversionCommon Stock | 5,357 | $1.26 | $6,755.18 |
DisclosureSEC source: 0001437749-18-022620 · rdgdoc.xml · nonDerivative · entry 1 COHEN RAYMOND W · CIK 0001258288 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,388 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. Read SEC document |
| November 02, 2018 Filed Nov 2, 2018 23:44 UTC | Axonics, Inc. AXNX · Entity 86004 | ConversionSeries B-1 Preferred Stock · Derivative | 7,300 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-028105 · doc4.xml · derivative · entry 2 COHEN RAYMOND W · CIK 0001258288 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By Cielo Trust Established March 30, 2018 Disclosed balance after: 0 Underlying: Common Stock · 8,760 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: Effective upon the closing of the Issuer's initial public offering of its common stock under the Securities Act of 1933, as amended, each share of Series B-1 preferred stock automatically converted into 1.2 shares of the Issuer's common stock. The Series B-1 preferred stock had no expiration date. F2 · derivative.exercise_date: Effective upon the closing of the Issuer's initial public offering of its common stock under the Securities Act of 1933, as amended, each share of Series B-1 preferred stock automatically converted into 1.2 shares of the Issuer's common stock. The Series B-1 preferred stock had no expiration date. F2 · derivative.expiration_date: Effective upon the closing of the Issuer's initial public offering of its common stock under the Securities Act of 1933, as amended, each share of Series B-1 preferred stock automatically converted into 1.2 shares of the Issuer's common stock. The Series B-1 preferred stock had no expiration date. F1 · derivative.underlying_shares: Reflects a 1.2-for-1 forward stock split of the Issuer's common stock effected on October 18, 2018. Read SEC document |
| November 02, 2018 Filed Nov 2, 2018 23:44 UTC | Axonics, Inc. AXNX · Entity 86004 | ConversionCommon Stock | 8,760 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-18-028105 · doc4.xml · nonDerivative · entry 1 COHEN RAYMOND W · CIK 0001258288 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 688,651 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: Reflects a 1.2-for-1 forward stock split of the Issuer's common stock effected on October 18, 2018. F2 · price: Effective upon the closing of the Issuer's initial public offering of its common stock under the Securities Act of 1933, as amended, each share of Series B-1 preferred stock automatically converted into 1.2 shares of the Issuer's common stock. The Series B-1 preferred stock had no expiration date. F3 · ownership.nature: 8,760 shares are held of record by Cielo Trust Established March 30, 2018 and 679,891 shares are held of record by the reporting person. Read SEC document |
| August 21, 2018 Filed Aug 23, 2018 00:28 UTC | BIOLIFE SOLUTIONS INC BLFS · Entity 4614 | SaleCommon Stock | 10,000 | $23.68 | $236,800.00 |
DisclosureSEC source: 0001437749-18-016026 · rdgdoc.xml · nonDerivative · entry 1 COHEN RAYMOND W · CIK 0001258288 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,031 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $23.59 to $23.92, inclusive. The reporting person undertakes to provide to BioLife Soultions, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Comission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Read SEC document |
| August 13, 2018 Filed Aug 14, 2018 22:54 UTC | BIOLIFE SOLUTIONS INC BLFS · Entity 4614 | SaleCommon Stock | 10,000 | $19.70 | $197,000.00 |
DisclosureSEC source: 0001437749-18-015665 · rdgdoc.xml · nonDerivative · entry 1 COHEN RAYMOND W · CIK 0001258288 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,031 Read SEC document |
| June 18, 2018 Filed Jun 19, 2018 18:15 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | GrantStock Option (Right to Buy) · Derivative | 20,000 | $0.00 Strike: $19.95 | $0.00 |
DisclosureSEC source: 0001209191-18-038657 · doc4.xml · derivative · entry 2 COHEN RAYMOND W · CIK 0001258288 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2028-06-18 F2 · derivative.exercise_date: 25% of the option shares vested on June 18, 2018. The remaining option shares shall vest in 25% equal annual amounts on each anniversary date of the grant over three years. Read SEC document |
| June 18, 2018 Filed Jun 19, 2018 18:15 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | GrantCommon Stock, $0.001 par value | 10,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-038657 · doc4.xml · nonDerivative · entry 1 COHEN RAYMOND W · CIK 0001258288 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,850 F1 · shares: 100% of the restricted shares shall vest on the earlier of (1) June 18, 2019 or (2) the date of the company's 2019 Annual Meeting of Stockholders. Read SEC document |
| May 30, 2018 Filed Jun 1, 2018 21:29 UTC | BIOLIFE SOLUTIONS INC BLFS · Entity 4614 | SaleCommon Stock | 10,000 | $10.15 | $101,500.00 |
DisclosureSEC source: 0001437749-18-011094 · rdgdoc.xml · nonDerivative · entry 1 COHEN RAYMOND W · CIK 0001258288 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,031 F1 · balance_after: Since the date of the reporting person's last ownership report, he transferred 2,625 shares of the registrant's common stock to his ex-wife pursuant to a domestic relations court order. The reporting person no longer reports as beneficially owned any securities owned by his ex-wife. Read SEC document |
| May 14, 2018 Filed May 15, 2018 19:03 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | SaleCommon Stock, $0.001 par value | 9,275 | $18.32 | $169,918.00 |
DisclosureSEC source: 0001209191-18-030330 · doc4.xml · nonDerivative · entry 1 COHEN RAYMOND W · CIK 0001258288 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,850 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $18.20 to $18.462, inclusive. The reporting person undertakes to provide to Spectrum Pharmaceuticals, Inc., any security holder of Spectrum Pharmaceuticals, Inc., 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. F2 · balance_after: Since the date of the reporting person's last ownership report, he transferred 5,000 shares of the Company's common stock and a non-qualified director stock option to purchase 10,000 shares of fully-vested shares of the Company's common stock to his ex-wife pursuant to a domestic relations order. The reporting person no longer reports as beneficially owned any securities owned by his ex-wife. Read SEC document |
| January 03, 2018 Filed Jan 4, 2018 02:36 UTC | BIOLIFE SOLUTIONS INC BLFS · Entity 4614 | GrantCommon Stock | 3,125 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001144204-18-000675 · tv482654_4.xml · nonDerivative · entry 2 COHEN RAYMOND W · CIK 0001258288 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,656 F3 · price: The shares of common stock were issued to the reporting person pursuant to the BioLife Solutions 2013 Performance Incentive Plan in lieu of receiving $18,750 of director fees for the quarter at a price per share based upon the closing stock price of the issuer's common stock on the last day of the quarter. Read SEC document |
| January 01, 2018 Filed Jan 4, 2018 02:36 UTC | BIOLIFE SOLUTIONS INC BLFS · Entity 4614 | GrantCommon Stock | 15,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001144204-18-000675 · tv482654_4.xml · nonDerivative · entry 1 COHEN RAYMOND W · CIK 0001258288 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,531 F1 · shares: The restricted stock was granted pursuant to the BioLife Solutions 2013 Performance Incentive Plan and vests 25% on the first anniversary of the grant date and thereafter quarterly, in 12 equal quarterly installments. F1 · price: The restricted stock was granted pursuant to the BioLife Solutions 2013 Performance Incentive Plan and vests 25% on the first anniversary of the grant date and thereafter quarterly, in 12 equal quarterly installments. F2 · balance_after: Since the date of the reporting person's last ownership report, he transferred 10,537 shares of the issuer's common stock and options to purchase 21,425 shares of the issuer's common stock to his ex-wife pursuant to a domestic relations order. The reporting person no longer reports as beneficially owned any securities owned by his ex-wife. Read SEC document |
| October 03, 2017 Filed Oct 3, 2017 20:05 UTC | BIOLIFE SOLUTIONS INC BLFS · Entity 4614 | GrantCommon Stock | 3,325 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001144204-17-051154 · v476391_4.xml · nonDerivative · entry 1 COHEN RAYMOND W · CIK 0001258288 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,068 F1 · security: The shares of common stock were issued to the reporting person pursuant to the BioLife Solutions 2013 Performance Incentive Plan in lieu of receiving $18,750 of director fees for the quarter at a price per share based upon the closing stock price of the issuer's common stock on the last day of the quarter. F1 · price: The shares of common stock were issued to the reporting person pursuant to the BioLife Solutions 2013 Performance Incentive Plan in lieu of receiving $18,750 of director fees for the quarter at a price per share based upon the closing stock price of the issuer's common stock on the last day of the quarter. Read SEC document |
| July 06, 2017 Filed Jul 7, 2017 20:03 UTC | BIOLIFE SOLUTIONS INC BLFS · Entity 4614 | GrantCommon Stock | 7,845 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001144204-17-036093 · v470492_4.xml · nonDerivative · entry 1 COHEN RAYMOND W · CIK 0001258288 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,743 F1 · security: The shares of common stock were issued to the reporting person pursuant to the BioLife Solutions 2013 Performance Incentive Plan in lieu of receiving $18,750 of director fees for the quarter at a price per share based upon the closing stock price of the issuer's common stock on the last day of the quarter. F1 · price: The shares of common stock were issued to the reporting person pursuant to the BioLife Solutions 2013 Performance Incentive Plan in lieu of receiving $18,750 of director fees for the quarter at a price per share based upon the closing stock price of the issuer's common stock on the last day of the quarter. Read SEC document |
| June 27, 2017 Filed Jun 29, 2017 18:36 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | Tax withholdingCommon Stock, $0.001 par value | 625 | $7.54 | $4,712.50 |
DisclosureSEC source: 0001209191-17-042383 · doc4.xml · nonDerivative · entry 1 COHEN RAYMOND W · CIK 0001258288 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,125 F1 · shares: Represents shares withheld by Spectrum to satisfy the Reporting Person's tax withholding obligations. The shares have not been sold by the Reporting Person or by Spectrum. The shares have been cancelled by the transfer agent. Read SEC document |
| June 13, 2017 Filed Jun 15, 2017 16:49 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | GrantStock Option (Right to Buy) · Derivative | 20,000 | $0.00 Strike: $6.48 | $0.00 |
DisclosureSEC source: 0001209191-17-040169 · doc4.xml · derivative · entry 3 COHEN RAYMOND W · CIK 0001258288 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2027-06-13 F3 · derivative.exercise_date: 25% of the option shares vested on June 13, 2017. The remaining option shares shall vest in 25% equal annual amounts on each anniversary date of the grant over three years. 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.