Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| FIRST FINANCIAL BANKSHARES INCFFIN · Entity 3952 | Director | April 28, 2026 | May 05, 2026 |
| INOVIO PHARMACEUTICALS, INC.INO · Entity 6589 | Director | May 20, 2026 | May 21, 2026 |
| Orexigen Therapeutics, Inc.OREX · Entity 157016 | Director | July 14, 2017 | July 18, 2017 |
| Zymeworks BC Inc.ZYME · Entity 12038 | Director | May 06, 2021 | May 07, 2021 |
| Zymeworks Inc.ZYME · Entity 4458 | Director | December 21, 2022 | December 24, 2022 |
| enGene Therapeutics Inc.ENGN · Entity 6638 | Director | June 16, 2026 | June 17, 2026 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
FIRST FINANCIAL BANKSHARES INC
Report date April 28, 2026 · Filed May 05, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 2,142 |
Reported balance
After 2026-04-28 transaction · row 1
1 source rowRow 1 · 2026-04-28 · Grant · Acquired 2,142 · Balance 2,142 F1: This amount represents a restricted stock grant that vests in a single installment on April 27, 2027. |
Filing footnotes · ownership attribution and instrument terms
F1: This amount represents a restricted stock grant that vests in a single installment on April 27, 2027.
INOVIO PHARMACEUTICALS, INC.
Report date May 20, 2026 · Filed May 21, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $1.23 · Expires 2036-05-20 | Direct | 41,800 |
Reported balance
After 2026-05-20 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-05-20 · Grant · Acquired 41,800 · Balance 41,800 F1: This grant was made under the 2023 Omnibus Incentive Plan pursuant to the issuer's non-employee director compensation policy. F2: Options to vest 100% on May 20, 2027. |
| Restricted Stock UnitSEC Table II · derivative / convertible security | Direct | 34,200 |
Reported balance
After 2026-05-20 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2026-05-20 · Grant · Acquired 34,200 · Balance 34,200 F3: Each restricted stock unit represents a contingent right to receive one share of common stock. These restricted stock units will vest 100% on May 20, 2027. F1: This grant was made under the 2023 Omnibus Incentive Plan pursuant to the issuer's non-employee director compensation policy. |
Filing footnotes · ownership attribution and instrument terms
F1: This grant was made under the 2023 Omnibus Incentive Plan pursuant to the issuer's non-employee director compensation policy.
F2: Options to vest 100% on May 20, 2027.
F3: Each restricted stock unit represents a contingent right to receive one share of common stock. These restricted stock units will vest 100% on May 20, 2027.
Orexigen Therapeutics, Inc.
Report date July 14, 2017 · Filed July 18, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.88 · Expires 2027-07-13 | Direct | 5,000 |
Reported balance
After 2017-07-14 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2017-07-14 · Grant · Acquired 5,000 · Balance 5,000 F1: 1/12th of the original number of shares of stock subject to the option (rounded down to the next whole number of shares) shall vest in equal monthly installments over 12 months following the vesting commencement date of July 14, 2017, subject to the Reporting Person's continuing service on the Issuer's Board of Directors through each such date, and subject to the terms of the Stock Option Agreement in the event of a change in control of the Issuer. |
Filing footnotes · ownership attribution and instrument terms
F1: 1/12th of the original number of shares of stock subject to the option (rounded down to the next whole number of shares) shall vest in equal monthly installments over 12 months following the vesting commencement date of July 14, 2017, subject to the Reporting Person's continuing service on the Issuer's Board of Directors through each such date, and subject to the terms of the Stock Option Agreement in the event of a change in control of the Issuer.
Zymeworks BC Inc.
Report date May 06, 2021 · Filed May 07, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $29.49 · Expires 2031-05-05 | Direct | 9,000 |
Reported balance
After 2021-05-06 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2021-05-06 · Grant · Acquired 9,000 · Balance 9,000 F1: Stock options vest on date of next annual general meeting following grant date of May 6, 2021. |
Filing footnotes · ownership attribution and instrument terms
F1: Stock options vest on date of next annual general meeting following grant date of May 6, 2021.
Zymeworks Inc.
Report date December 21, 2022 · Filed December 24, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $8.75 · Expires 2032-12-20 | Direct | 25,000 |
Reported balance
After 2022-12-21 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2022-12-21 · Grant · Acquired 25,000 · Balance 25,000 F1: Stock options vest on date of next annual general meeting following grant date of December 21, 2022. |
Filing footnotes · ownership attribution and instrument terms
F1: Stock options vest on date of next annual general meeting following grant date of December 21, 2022.
enGene Therapeutics Inc.
Report date June 16, 2026 · Filed June 17, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.75 · Expires 2036-06-16 | Direct | 31,000 |
Reported balance
After 2026-06-16 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-06-16 · Grant · Acquired 31,000 · Balance 31,000 F1: This option vests fully on the earlier of (i) the first anniversary of the vesting commencement date, which was June 9, 2026 or (ii) the registrant's 2027 annual meeting of shareholders. |
Filing footnotes · ownership attribution and instrument terms
F1: This option vests fully on the earlier of (i) the first anniversary of the vesting commencement date, which was June 9, 2026 or (ii) the registrant's 2027 annual meeting of shareholders.
Past disclosures · reporting ended (3)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
89bio, Inc.
Report date October 30, 2025 · Filed October 31, 2025
Section 16 reporting ended · disclosed 2025-10-31. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $24.05 · Expires 2030-06-12 | Direct | 0 |
Reported balance
After 2025-10-30 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2025-10-30 · Disposition to issuer · Disposed 20,000 · Balance 0 F1: Disposed of pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of September 17, 2025, by and among 89bio, Inc. (the "Issuer"), Roche Holdings, Inc. ("Parent") and Bluefin Merger Subsidiary, Inc., a wholly owned subsidiary of Parent ("Merger Sub"). On October 30, 2025, Parent and Merger Sub completed a tender offer pursuant to the terms of the Merger Agreement for all outstanding shares of common stock of the Issuer (each, a "Share") for an offer price of (i) $14.50 per Share in cash, without interest (the "Closing Amount") less any required withholding taxes, plus (ii) one non-tradeable contingent value right (each, a "CVR") representing the right to receive certain contingent payments of up to an aggregate amount of $6.00 per Share, [continues to Footnote 2] F2: [continues from Footnote 1] in cash, without interest less any required withholding taxes, upon the achievement of specified milestones on or prior to the applicable milestone outside dates, subject to and in accordance with the terms of the Contingent Value Rights Agreement (the "CVR Agreement"). Merger Sub thereafter merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Parent (the "Merger"). F3: As of immediately prior to and conditioned upon the occurrence of the effective time of the Merger, pursuant to the Merger Agreement, each outstanding option to purchase Shares (each, an "Option") became fully vested and exercisable, and to the extent not exercised prior to the effective time of the Merger, was cancelled and converted into the right to receive (i) an amount in cash (without interest and subject to deduction for any required withholding taxes) equal to the product of (A) an amount equal to the excess of the Closing Amount over the exercise price per Share with respect to such Option and (B) the number of Shares subject to such Option plus (ii) one CVR with respect to each Share subject to such Option (the "Option Consideration"); provided, however, that if the exercise price per Share of any Option was equal to or greater than the Closing Amount, but less than $20.50 (any such option, an "Out of the Money Option"), [continues to Footnote 4] F4: [Continues from Footnote 3] such Out of the Money Option was not entitled to any payment of the Closing Amount in respect thereof and each Out of the Money Option was converted into the right to receive the CVR included in the Option Consideration with respect to each Share underlying such Out of the Money Option and became entitled to receive, at each time a milestone payment becomes due and payable under the terms of the CVR Agreement, an amount in cash equal to the product of (i) the number of Shares subject to such Out of the Money Option, and (ii) the amount, if any, by which (A) the Closing Amount plus the applicable milestone payment plus any other milestone payment that previously became due and payable under the terms of the CVR Agreement exceeds (B) the exercise price per Share with respect to such Out of the Money Option plus the amounts, [continues to Footnote 5] F5: [Continues from Footnote 4] if any, paid to such Option holder with respect to such CVR in respect of any milestone payments that previously became due and payable under the terms of the CVR Agreement; provided further, that any Option with an exercise price that was equal to or greater than $20.50, was cancelled immediately prior to the effective time of the Merger without the receipt of any payment of the Closing Amount or CVR in respect thereof. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $24.16 · Expires 2031-04-15 | Direct | 0 |
Reported balance
After 2025-10-30 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2025-10-30 · Disposition to issuer · Disposed 12,500 · Balance 0 F1: Disposed of pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of September 17, 2025, by and among 89bio, Inc. (the "Issuer"), Roche Holdings, Inc. ("Parent") and Bluefin Merger Subsidiary, Inc., a wholly owned subsidiary of Parent ("Merger Sub"). On October 30, 2025, Parent and Merger Sub completed a tender offer pursuant to the terms of the Merger Agreement for all outstanding shares of common stock of the Issuer (each, a "Share") for an offer price of (i) $14.50 per Share in cash, without interest (the "Closing Amount") less any required withholding taxes, plus (ii) one non-tradeable contingent value right (each, a "CVR") representing the right to receive certain contingent payments of up to an aggregate amount of $6.00 per Share, [continues to Footnote 2] F2: [continues from Footnote 1] in cash, without interest less any required withholding taxes, upon the achievement of specified milestones on or prior to the applicable milestone outside dates, subject to and in accordance with the terms of the Contingent Value Rights Agreement (the "CVR Agreement"). Merger Sub thereafter merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Parent (the "Merger"). F3: As of immediately prior to and conditioned upon the occurrence of the effective time of the Merger, pursuant to the Merger Agreement, each outstanding option to purchase Shares (each, an "Option") became fully vested and exercisable, and to the extent not exercised prior to the effective time of the Merger, was cancelled and converted into the right to receive (i) an amount in cash (without interest and subject to deduction for any required withholding taxes) equal to the product of (A) an amount equal to the excess of the Closing Amount over the exercise price per Share with respect to such Option and (B) the number of Shares subject to such Option plus (ii) one CVR with respect to each Share subject to such Option (the "Option Consideration"); provided, however, that if the exercise price per Share of any Option was equal to or greater than the Closing Amount, but less than $20.50 (any such option, an "Out of the Money Option"), [continues to Footnote 4] F4: [Continues from Footnote 3] such Out of the Money Option was not entitled to any payment of the Closing Amount in respect thereof and each Out of the Money Option was converted into the right to receive the CVR included in the Option Consideration with respect to each Share underlying such Out of the Money Option and became entitled to receive, at each time a milestone payment becomes due and payable under the terms of the CVR Agreement, an amount in cash equal to the product of (i) the number of Shares subject to such Out of the Money Option, and (ii) the amount, if any, by which (A) the Closing Amount plus the applicable milestone payment plus any other milestone payment that previously became due and payable under the terms of the CVR Agreement exceeds (B) the exercise price per Share with respect to such Out of the Money Option plus the amounts, [continues to Footnote 5] F5: [Continues from Footnote 4] if any, paid to such Option holder with respect to such CVR in respect of any milestone payments that previously became due and payable under the terms of the CVR Agreement; provided further, that any Option with an exercise price that was equal to or greater than $20.50, was cancelled immediately prior to the effective time of the Merger without the receipt of any payment of the Closing Amount or CVR in respect thereof. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.64 · Expires 2032-05-16 | Direct | 0 |
Reported balance
After 2025-10-30 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2025-10-30 · Disposition to issuer · Disposed 25,000 · Balance 0 F1: Disposed of pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of September 17, 2025, by and among 89bio, Inc. (the "Issuer"), Roche Holdings, Inc. ("Parent") and Bluefin Merger Subsidiary, Inc., a wholly owned subsidiary of Parent ("Merger Sub"). On October 30, 2025, Parent and Merger Sub completed a tender offer pursuant to the terms of the Merger Agreement for all outstanding shares of common stock of the Issuer (each, a "Share") for an offer price of (i) $14.50 per Share in cash, without interest (the "Closing Amount") less any required withholding taxes, plus (ii) one non-tradeable contingent value right (each, a "CVR") representing the right to receive certain contingent payments of up to an aggregate amount of $6.00 per Share, [continues to Footnote 2] F2: [continues from Footnote 1] in cash, without interest less any required withholding taxes, upon the achievement of specified milestones on or prior to the applicable milestone outside dates, subject to and in accordance with the terms of the Contingent Value Rights Agreement (the "CVR Agreement"). Merger Sub thereafter merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Parent (the "Merger"). F3: As of immediately prior to and conditioned upon the occurrence of the effective time of the Merger, pursuant to the Merger Agreement, each outstanding option to purchase Shares (each, an "Option") became fully vested and exercisable, and to the extent not exercised prior to the effective time of the Merger, was cancelled and converted into the right to receive (i) an amount in cash (without interest and subject to deduction for any required withholding taxes) equal to the product of (A) an amount equal to the excess of the Closing Amount over the exercise price per Share with respect to such Option and (B) the number of Shares subject to such Option plus (ii) one CVR with respect to each Share subject to such Option (the "Option Consideration"); provided, however, that if the exercise price per Share of any Option was equal to or greater than the Closing Amount, but less than $20.50 (any such option, an "Out of the Money Option"), [continues to Footnote 4] F4: [Continues from Footnote 3] such Out of the Money Option was not entitled to any payment of the Closing Amount in respect thereof and each Out of the Money Option was converted into the right to receive the CVR included in the Option Consideration with respect to each Share underlying such Out of the Money Option and became entitled to receive, at each time a milestone payment becomes due and payable under the terms of the CVR Agreement, an amount in cash equal to the product of (i) the number of Shares subject to such Out of the Money Option, and (ii) the amount, if any, by which (A) the Closing Amount plus the applicable milestone payment plus any other milestone payment that previously became due and payable under the terms of the CVR Agreement exceeds (B) the exercise price per Share with respect to such Out of the Money Option plus the amounts, [continues to Footnote 5] F5: [Continues from Footnote 4] if any, paid to such Option holder with respect to such CVR in respect of any milestone payments that previously became due and payable under the terms of the CVR Agreement; provided further, that any Option with an exercise price that was equal to or greater than $20.50, was cancelled immediately prior to the effective time of the Merger without the receipt of any payment of the Closing Amount or CVR in respect thereof. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $14.70 · Expires 2033-02-09 | Direct | 0 |
Reported balance
After 2025-10-30 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2025-10-30 · Disposition to issuer · Disposed 27,400 · Balance 0 F1: Disposed of pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of September 17, 2025, by and among 89bio, Inc. (the "Issuer"), Roche Holdings, Inc. ("Parent") and Bluefin Merger Subsidiary, Inc., a wholly owned subsidiary of Parent ("Merger Sub"). On October 30, 2025, Parent and Merger Sub completed a tender offer pursuant to the terms of the Merger Agreement for all outstanding shares of common stock of the Issuer (each, a "Share") for an offer price of (i) $14.50 per Share in cash, without interest (the "Closing Amount") less any required withholding taxes, plus (ii) one non-tradeable contingent value right (each, a "CVR") representing the right to receive certain contingent payments of up to an aggregate amount of $6.00 per Share, [continues to Footnote 2] F2: [continues from Footnote 1] in cash, without interest less any required withholding taxes, upon the achievement of specified milestones on or prior to the applicable milestone outside dates, subject to and in accordance with the terms of the Contingent Value Rights Agreement (the "CVR Agreement"). Merger Sub thereafter merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Parent (the "Merger"). F3: As of immediately prior to and conditioned upon the occurrence of the effective time of the Merger, pursuant to the Merger Agreement, each outstanding option to purchase Shares (each, an "Option") became fully vested and exercisable, and to the extent not exercised prior to the effective time of the Merger, was cancelled and converted into the right to receive (i) an amount in cash (without interest and subject to deduction for any required withholding taxes) equal to the product of (A) an amount equal to the excess of the Closing Amount over the exercise price per Share with respect to such Option and (B) the number of Shares subject to such Option plus (ii) one CVR with respect to each Share subject to such Option (the "Option Consideration"); provided, however, that if the exercise price per Share of any Option was equal to or greater than the Closing Amount, but less than $20.50 (any such option, an "Out of the Money Option"), [continues to Footnote 4] F4: [Continues from Footnote 3] such Out of the Money Option was not entitled to any payment of the Closing Amount in respect thereof and each Out of the Money Option was converted into the right to receive the CVR included in the Option Consideration with respect to each Share underlying such Out of the Money Option and became entitled to receive, at each time a milestone payment becomes due and payable under the terms of the CVR Agreement, an amount in cash equal to the product of (i) the number of Shares subject to such Out of the Money Option, and (ii) the amount, if any, by which (A) the Closing Amount plus the applicable milestone payment plus any other milestone payment that previously became due and payable under the terms of the CVR Agreement exceeds (B) the exercise price per Share with respect to such Out of the Money Option plus the amounts, [continues to Footnote 5] F5: [Continues from Footnote 4] if any, paid to such Option holder with respect to such CVR in respect of any milestone payments that previously became due and payable under the terms of the CVR Agreement; provided further, that any Option with an exercise price that was equal to or greater than $20.50, was cancelled immediately prior to the effective time of the Merger without the receipt of any payment of the Closing Amount or CVR in respect thereof. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $9.98 · Expires 2034-02-01 | Direct | 0 |
Reported balance
After 2025-10-30 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2025-10-30 · Disposition to issuer · Disposed 45,150 · Balance 0 F1: Disposed of pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of September 17, 2025, by and among 89bio, Inc. (the "Issuer"), Roche Holdings, Inc. ("Parent") and Bluefin Merger Subsidiary, Inc., a wholly owned subsidiary of Parent ("Merger Sub"). On October 30, 2025, Parent and Merger Sub completed a tender offer pursuant to the terms of the Merger Agreement for all outstanding shares of common stock of the Issuer (each, a "Share") for an offer price of (i) $14.50 per Share in cash, without interest (the "Closing Amount") less any required withholding taxes, plus (ii) one non-tradeable contingent value right (each, a "CVR") representing the right to receive certain contingent payments of up to an aggregate amount of $6.00 per Share, [continues to Footnote 2] F2: [continues from Footnote 1] in cash, without interest less any required withholding taxes, upon the achievement of specified milestones on or prior to the applicable milestone outside dates, subject to and in accordance with the terms of the Contingent Value Rights Agreement (the "CVR Agreement"). Merger Sub thereafter merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Parent (the "Merger"). F3: As of immediately prior to and conditioned upon the occurrence of the effective time of the Merger, pursuant to the Merger Agreement, each outstanding option to purchase Shares (each, an "Option") became fully vested and exercisable, and to the extent not exercised prior to the effective time of the Merger, was cancelled and converted into the right to receive (i) an amount in cash (without interest and subject to deduction for any required withholding taxes) equal to the product of (A) an amount equal to the excess of the Closing Amount over the exercise price per Share with respect to such Option and (B) the number of Shares subject to such Option plus (ii) one CVR with respect to each Share subject to such Option (the "Option Consideration"); provided, however, that if the exercise price per Share of any Option was equal to or greater than the Closing Amount, but less than $20.50 (any such option, an "Out of the Money Option"), [continues to Footnote 4] F4: [Continues from Footnote 3] such Out of the Money Option was not entitled to any payment of the Closing Amount in respect thereof and each Out of the Money Option was converted into the right to receive the CVR included in the Option Consideration with respect to each Share underlying such Out of the Money Option and became entitled to receive, at each time a milestone payment becomes due and payable under the terms of the CVR Agreement, an amount in cash equal to the product of (i) the number of Shares subject to such Out of the Money Option, and (ii) the amount, if any, by which (A) the Closing Amount plus the applicable milestone payment plus any other milestone payment that previously became due and payable under the terms of the CVR Agreement exceeds (B) the exercise price per Share with respect to such Out of the Money Option plus the amounts, [continues to Footnote 5] F5: [Continues from Footnote 4] if any, paid to such Option holder with respect to such CVR in respect of any milestone payments that previously became due and payable under the terms of the CVR Agreement; provided further, that any Option with an exercise price that was equal to or greater than $20.50, was cancelled immediately prior to the effective time of the Merger without the receipt of any payment of the Closing Amount or CVR in respect thereof. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $9.60 · Expires 2035-02-01 | Direct | 0 |
Reported balance
After 2025-10-30 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2025-10-30 · Disposition to issuer · Disposed 56,400 · Balance 0 F1: Disposed of pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of September 17, 2025, by and among 89bio, Inc. (the "Issuer"), Roche Holdings, Inc. ("Parent") and Bluefin Merger Subsidiary, Inc., a wholly owned subsidiary of Parent ("Merger Sub"). On October 30, 2025, Parent and Merger Sub completed a tender offer pursuant to the terms of the Merger Agreement for all outstanding shares of common stock of the Issuer (each, a "Share") for an offer price of (i) $14.50 per Share in cash, without interest (the "Closing Amount") less any required withholding taxes, plus (ii) one non-tradeable contingent value right (each, a "CVR") representing the right to receive certain contingent payments of up to an aggregate amount of $6.00 per Share, [continues to Footnote 2] F2: [continues from Footnote 1] in cash, without interest less any required withholding taxes, upon the achievement of specified milestones on or prior to the applicable milestone outside dates, subject to and in accordance with the terms of the Contingent Value Rights Agreement (the "CVR Agreement"). Merger Sub thereafter merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Parent (the "Merger"). F3: As of immediately prior to and conditioned upon the occurrence of the effective time of the Merger, pursuant to the Merger Agreement, each outstanding option to purchase Shares (each, an "Option") became fully vested and exercisable, and to the extent not exercised prior to the effective time of the Merger, was cancelled and converted into the right to receive (i) an amount in cash (without interest and subject to deduction for any required withholding taxes) equal to the product of (A) an amount equal to the excess of the Closing Amount over the exercise price per Share with respect to such Option and (B) the number of Shares subject to such Option plus (ii) one CVR with respect to each Share subject to such Option (the "Option Consideration"); provided, however, that if the exercise price per Share of any Option was equal to or greater than the Closing Amount, but less than $20.50 (any such option, an "Out of the Money Option"), [continues to Footnote 4] F4: [Continues from Footnote 3] such Out of the Money Option was not entitled to any payment of the Closing Amount in respect thereof and each Out of the Money Option was converted into the right to receive the CVR included in the Option Consideration with respect to each Share underlying such Out of the Money Option and became entitled to receive, at each time a milestone payment becomes due and payable under the terms of the CVR Agreement, an amount in cash equal to the product of (i) the number of Shares subject to such Out of the Money Option, and (ii) the amount, if any, by which (A) the Closing Amount plus the applicable milestone payment plus any other milestone payment that previously became due and payable under the terms of the CVR Agreement exceeds (B) the exercise price per Share with respect to such Out of the Money Option plus the amounts, [continues to Footnote 5] F5: [Continues from Footnote 4] if any, paid to such Option holder with respect to such CVR in respect of any milestone payments that previously became due and payable under the terms of the CVR Agreement; provided further, that any Option with an exercise price that was equal to or greater than $20.50, was cancelled immediately prior to the effective time of the Merger without the receipt of any payment of the Closing Amount or CVR in respect thereof. |
Filing footnotes · ownership attribution and instrument terms
F1: Disposed of pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of September 17, 2025, by and among 89bio, Inc. (the "Issuer"), Roche Holdings, Inc. ("Parent") and Bluefin Merger Subsidiary, Inc., a wholly owned subsidiary of Parent ("Merger Sub"). On October 30, 2025, Parent and Merger Sub completed a tender offer pursuant to the terms of the Merger Agreement for all outstanding shares of common stock of the Issuer (each, a "Share") for an offer price of (i) $14.50 per Share in cash, without interest (the "Closing Amount") less any required withholding taxes, plus (ii) one non-tradeable contingent value right (each, a "CVR") representing the right to receive certain contingent payments of up to an aggregate amount of $6.00 per Share, [continues to Footnote 2]
F2: [continues from Footnote 1] in cash, without interest less any required withholding taxes, upon the achievement of specified milestones on or prior to the applicable milestone outside dates, subject to and in accordance with the terms of the Contingent Value Rights Agreement (the "CVR Agreement"). Merger Sub thereafter merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Parent (the "Merger").
F3: As of immediately prior to and conditioned upon the occurrence of the effective time of the Merger, pursuant to the Merger Agreement, each outstanding option to purchase Shares (each, an "Option") became fully vested and exercisable, and to the extent not exercised prior to the effective time of the Merger, was cancelled and converted into the right to receive (i) an amount in cash (without interest and subject to deduction for any required withholding taxes) equal to the product of (A) an amount equal to the excess of the Closing Amount over the exercise price per Share with respect to such Option and (B) the number of Shares subject to such Option plus (ii) one CVR with respect to each Share subject to such Option (the "Option Consideration"); provided, however, that if the exercise price per Share of any Option was equal to or greater than the Closing Amount, but less than $20.50 (any such option, an "Out of the Money Option"), [continues to Footnote 4]
F4: [Continues from Footnote 3] such Out of the Money Option was not entitled to any payment of the Closing Amount in respect thereof and each Out of the Money Option was converted into the right to receive the CVR included in the Option Consideration with respect to each Share underlying such Out of the Money Option and became entitled to receive, at each time a milestone payment becomes due and payable under the terms of the CVR Agreement, an amount in cash equal to the product of (i) the number of Shares subject to such Out of the Money Option, and (ii) the amount, if any, by which (A) the Closing Amount plus the applicable milestone payment plus any other milestone payment that previously became due and payable under the terms of the CVR Agreement exceeds (B) the exercise price per Share with respect to such Out of the Money Option plus the amounts, [continues to Footnote 5]
F5: [Continues from Footnote 4] if any, paid to such Option holder with respect to such CVR in respect of any milestone payments that previously became due and payable under the terms of the CVR Agreement; provided further, that any Option with an exercise price that was equal to or greater than $20.50, was cancelled immediately prior to the effective time of the Merger without the receipt of any payment of the Closing Amount or CVR in respect thereof.
LUMOS PHARMA, INC.
Report date December 12, 2024 · Filed December 13, 2024
Section 16 reporting ended · disclosed 2024-12-13. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2024-12-12 transaction · row 1
1 source rowRow 1 · 2024-12-12 · Disposition to issuer · Disposed 2,187 · Balance 0 F1: Disposed of pursuant to that certain Agreement and Plan of Merger, dated October 22, 2024, by and between the Issuer, DPV Parent, Inc., DPV MergerSub, Inc. and Double Point Ventures LLC ("DPV") (the "Merger Agreement") in exchange for (i) $4.25 in cash per share (the "Cash Amount"), plus (ii) one non-transferable contingent value right ("CVR") per share. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.42 · Expires 2033-05-09 | Direct | 0 |
Reported balance
After 2024-12-12 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2024-12-12 · Disposition to issuer · Disposed 3,345 · Balance 0 F2: This option was cancelled pursuant to the Merger Agreement in exchange for (i) an amount in cash equal to the product of (x) the total number of shares underlying such option multiplied by (y) the excess of the Cash Amount over the applicable exercise price per share and (ii) one CVR for each share underlying such in-the-money option. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.35 · Expires 2034-06-04 | Direct | 0 |
Reported balance
After 2024-12-12 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2024-12-12 · Disposition to issuer · Disposed 3,328 · Balance 0 F2: This option was cancelled pursuant to the Merger Agreement in exchange for (i) an amount in cash equal to the product of (x) the total number of shares underlying such option multiplied by (y) the excess of the Cash Amount over the applicable exercise price per share and (ii) one CVR for each share underlying such in-the-money option. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $7.78 · Expires 2030-04-02 | Direct | 0 |
Reported balance
After 2024-12-12 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2024-12-12 · Disposition to issuer · Disposed 5,684 · Balance 0 F3: Represents an out-of-money option that was cancelled without any cash payment or issuance of CVRs being made in respect thereof pursuant to the Merger Agreement. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $8.18 · Expires 2032-05-04 | Direct | 0 |
Reported balance
After 2024-12-12 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2024-12-12 · Disposition to issuer · Disposed 3,431 · Balance 0 F3: Represents an out-of-money option that was cancelled without any cash payment or issuance of CVRs being made in respect thereof pursuant to the Merger Agreement. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $10.36 · Expires 2031-05-19 | Direct | 0 |
Reported balance
After 2024-12-12 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2024-12-12 · Disposition to issuer · Disposed 2,910 · Balance 0 F3: Represents an out-of-money option that was cancelled without any cash payment or issuance of CVRs being made in respect thereof pursuant to the Merger Agreement. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $15.21 · Expires 2029-05-09 | Direct | 0 |
Reported balance
After 2024-12-12 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2024-12-12 · Disposition to issuer · Disposed 2,777 · Balance 0 F3: Represents an out-of-money option that was cancelled without any cash payment or issuance of CVRs being made in respect thereof pursuant to the Merger Agreement. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $15.93 · Expires 2026-07-31 | Direct | 0 |
Reported balance
After 2024-12-12 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2024-12-12 · Disposition to issuer · Disposed 5,324 · Balance 0 F3: Represents an out-of-money option that was cancelled without any cash payment or issuance of CVRs being made in respect thereof pursuant to the Merger Agreement. |
Filing footnotes · ownership attribution and instrument terms
F1: Disposed of pursuant to that certain Agreement and Plan of Merger, dated October 22, 2024, by and between the Issuer, DPV Parent, Inc., DPV MergerSub, Inc. and Double Point Ventures LLC ("DPV") (the "Merger Agreement") in exchange for (i) $4.25 in cash per share (the "Cash Amount"), plus (ii) one non-transferable contingent value right ("CVR") per share.
F2: This option was cancelled pursuant to the Merger Agreement in exchange for (i) an amount in cash equal to the product of (x) the total number of shares underlying such option multiplied by (y) the excess of the Cash Amount over the applicable exercise price per share and (ii) one CVR for each share underlying such in-the-money option.
F3: Represents an out-of-money option that was cancelled without any cash payment or issuance of CVRs being made in respect thereof pursuant to the Merger Agreement.
Spark Therapeutics, Inc.
Report date December 17, 2019 · Filed December 17, 2019
Section 16 reporting ended · disclosed 2019-12-17. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2019-12-17 transaction · row 1
1 source rowRow 1 · 2019-12-17 · Other · Disposed 3,000 · Balance 0 F1: Disposed of pursuant to the Agreement and Plan of Merger, dated February 22, 2019, by and between Spark Therapeutics, Inc. ("Spark"), Roche Holdings, Inc. ("Roche") and 022019 Merger Subsidiary, Inc. ("Merger Sub") (the "Merger Agreement" and the transactions contemplated thereby, the "Merger"), whereby Roche caused Merger Sub to conduct a tender offer for all of the issued and outstanding shares of common stock, par value $0.001 per share, of Spark, at a price of $114.50 per share. On December 17, 2019, Merger Sub irrevocably accepted for payment all shares that were validly tendered and not withdrawn. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $81.53 · Expires 2028-05-29 | Direct | 0 |
Reported balance
After 2019-12-17 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2019-12-17 · Disposition to issuer · Disposed 4,000 · Balance 0 F2: Pursuant to the terms of the Merger Agreement, immediately prior to the effective time of the Merger, each outstanding Spark stock option, whether vested or unvested, was converted into the right to an amount in cash (less applicable tax withholdings) equal to the product of (a) the excess of $114.50 over the per share exercise price of such stock option and (b) the total number of shares of common stock subject to such stock option. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $50.93 · Expires 2027-05-30 | Direct | 0 |
Reported balance
After 2019-12-17 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2019-12-17 · Disposition to issuer · Disposed 4,000 · Balance 0 F2: Pursuant to the terms of the Merger Agreement, immediately prior to the effective time of the Merger, each outstanding Spark stock option, whether vested or unvested, was converted into the right to an amount in cash (less applicable tax withholdings) equal to the product of (a) the excess of $114.50 over the per share exercise price of such stock option and (b) the total number of shares of common stock subject to such stock option. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $56.22 · Expires 2026-05-31 | Direct | 0 |
Reported balance
After 2019-12-17 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2019-12-17 · Disposition to issuer · Disposed 6,000 · Balance 0 F2: Pursuant to the terms of the Merger Agreement, immediately prior to the effective time of the Merger, each outstanding Spark stock option, whether vested or unvested, was converted into the right to an amount in cash (less applicable tax withholdings) equal to the product of (a) the excess of $114.50 over the per share exercise price of such stock option and (b) the total number of shares of common stock subject to such stock option. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $37.18 · Expires 2026-01-05 | Direct | 0 |
Reported balance
After 2019-12-17 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2019-12-17 · Disposition to issuer · Disposed 12,000 · Balance 0 F2: Pursuant to the terms of the Merger Agreement, immediately prior to the effective time of the Merger, each outstanding Spark stock option, whether vested or unvested, was converted into the right to an amount in cash (less applicable tax withholdings) equal to the product of (a) the excess of $114.50 over the per share exercise price of such stock option and (b) the total number of shares of common stock subject to such stock option. |
Filing footnotes · ownership attribution and instrument terms
F1: Disposed of pursuant to the Agreement and Plan of Merger, dated February 22, 2019, by and between Spark Therapeutics, Inc. ("Spark"), Roche Holdings, Inc. ("Roche") and 022019 Merger Subsidiary, Inc. ("Merger Sub") (the "Merger Agreement" and the transactions contemplated thereby, the "Merger"), whereby Roche caused Merger Sub to conduct a tender offer for all of the issued and outstanding shares of common stock, par value $0.001 per share, of Spark, at a price of $114.50 per share. On December 17, 2019, Merger Sub irrevocably accepted for payment all shares that were validly tendered and not withdrawn.
F2: Pursuant to the terms of the Merger Agreement, immediately prior to the effective time of the Merger, each outstanding Spark stock option, whether vested or unvested, was converted into the right to an amount in cash (less applicable tax withholdings) equal to the product of (a) the excess of $114.50 over the per share exercise price of such stock option and (b) the total number of shares of common stock subject to such stock option.
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 16, 2026 Filed Jun 17, 2026 21:35 UTC | enGene Therapeutics Inc. ENGN · Entity 6638 | GrantStock Option (Right to Buy) · Derivative | 31,000 | $0.00 Strike: $1.75 | $0.00 |
DisclosureSEC source: 0000929638-26-002256 · form4.xml · derivative · entry 1 Zoth Lota S. · CIK 0001278219 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 31,000 Underlying: Common Shares · 31,000 shares Expires 2036-06-16 F1 · derivative.exercise_date: This option vests fully on the earlier of (i) the first anniversary of the vesting commencement date, which was June 9, 2026 or (ii) the registrant's 2027 annual meeting of shareholders. Read SEC document |
| May 20, 2026 Filed May 21, 2026 20:10 UTC | INOVIO PHARMACEUTICALS, INC. INO · Entity 6589 | GrantRestricted Stock Unit · Derivative | 34,200 | $0.00 | $0.00 |
DisclosureSEC source: 0001278219-26-000001 · wk-form4_1779394245.xml · derivative · entry 2 Zoth Lota S. · CIK 0001278219 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 34,200 Underlying: Common Stock · 34,200 shares Expires not disclosed F3 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock. These restricted stock units will vest 100% on May 20, 2027. F1 · shares: This grant was made under the 2023 Omnibus Incentive Plan pursuant to the issuer's non-employee director compensation policy. F3 · derivative.exercise_date: Each restricted stock unit represents a contingent right to receive one share of common stock. These restricted stock units will vest 100% on May 20, 2027. F3 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of common stock. These restricted stock units will vest 100% on May 20, 2027. Read SEC document |
| May 20, 2026 Filed May 21, 2026 20:10 UTC | INOVIO PHARMACEUTICALS, INC. INO · Entity 6589 | GrantCommon Stock Options · Derivative | 41,800 | $0.00 Strike: $1.23 | $0.00 |
DisclosureSEC source: 0001278219-26-000001 · wk-form4_1779394245.xml · derivative · entry 1 Zoth Lota S. · CIK 0001278219 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 41,800 Underlying: Common Stock · 41,800 shares Expires 2036-05-20 F1 · shares: This grant was made under the 2023 Omnibus Incentive Plan pursuant to the issuer's non-employee director compensation policy. F2 · derivative.exercise_date: Options to vest 100% on May 20, 2027. Read SEC document |
| April 28, 2026 Filed May 5, 2026 21:49 UTC | FIRST FINANCIAL BANKSHARES INC FFIN · Entity 3952 | GrantCommon Stock | 2,142 | $0.00 | $0.00 |
DisclosureSEC source: 0001193125-26-206910 · ownership.xml · nonDerivative · entry 1 Zoth Lota S. · CIK 0001278219 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,142 F1 · shares: This amount represents a restricted stock grant that vests in a single installment on April 27, 2027. Read SEC document |
| October 30, 2025 Filed Oct 31, 2025 00:18 UTC | 89bio, Inc. ETNB · Entity 73682 | Disposition to issuerStock Option (Right to Buy) · Derivative | 56,400 | $0.00 Strike: $9.60 | $0.00 |
DisclosureSEC source: 0001193125-25-259046 · ownership.xml · derivative · entry 6 Zoth Lota S. · CIK 0001278219 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 56,400 shares Expires 2035-02-01 F1 · derivative.exercise_date: Disposed of pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of September 17, 2025, by and among 89bio, Inc. (the "Issuer"), Roche Holdings, Inc. ("Parent") and Bluefin Merger Subsidiary, Inc., a wholly owned subsidiary of Parent ("Merger Sub"). On October 30, 2025, Parent and Merger Sub completed a tender offer pursuant to the terms of the Merger Agreement for all outstanding shares of common stock of the Issuer (each, a "Share") for an offer price of (i) $14.50 per Share in cash, without interest (the "Closing Amount") less any required withholding taxes, plus (ii) one non-tradeable contingent value right (each, a "CVR") representing the right to receive certain contingent payments of up to an aggregate amount of $6.00 per Share, [continues to Footnote 2] F2 · derivative.exercise_date: [continues from Footnote 1] in cash, without interest less any required withholding taxes, upon the achievement of specified milestones on or prior to the applicable milestone outside dates, subject to and in accordance with the terms of the Contingent Value Rights Agreement (the "CVR Agreement"). Merger Sub thereafter merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Parent (the "Merger"). F3 · derivative.exercise_date: As of immediately prior to and conditioned upon the occurrence of the effective time of the Merger, pursuant to the Merger Agreement, each outstanding option to purchase Shares (each, an "Option") became fully vested and exercisable, and to the extent not exercised prior to the effective time of the Merger, was cancelled and converted into the right to receive (i) an amount in cash (without interest and subject to deduction for any required withholding taxes) equal to the product of (A) an amount equal to the excess of the Closing Amount over the exercise price per Share with respect to such Option and (B) the number of Shares subject to such Option plus (ii) one CVR with respect to each Share subject to such Option (the "Option Consideration"); provided, however, that if the exercise price per Share of any Option was equal to or greater than the Closing Amount, but less than $20.50 (any such option, an "Out of the Money Option"), [continues to Footnote 4] F4 · derivative.exercise_date: [Continues from Footnote 3] such Out of the Money Option was not entitled to any payment of the Closing Amount in respect thereof and each Out of the Money Option was converted into the right to receive the CVR included in the Option Consideration with respect to each Share underlying such Out of the Money Option and became entitled to receive, at each time a milestone payment becomes due and payable under the terms of the CVR Agreement, an amount in cash equal to the product of (i) the number of Shares subject to such Out of the Money Option, and (ii) the amount, if any, by which (A) the Closing Amount plus the applicable milestone payment plus any other milestone payment that previously became due and payable under the terms of the CVR Agreement exceeds (B) the exercise price per Share with respect to such Out of the Money Option plus the amounts, [continues to Footnote 5] F5 · derivative.exercise_date: [Continues from Footnote 4] if any, paid to such Option holder with respect to such CVR in respect of any milestone payments that previously became due and payable under the terms of the CVR Agreement; provided further, that any Option with an exercise price that was equal to or greater than $20.50, was cancelled immediately prior to the effective time of the Merger without the receipt of any payment of the Closing Amount or CVR in respect thereof. Read SEC document |
| October 30, 2025 Filed Oct 31, 2025 00:18 UTC | 89bio, Inc. ETNB · Entity 73682 | Disposition to issuerStock Option (Right to Buy) · Derivative | 45,150 | $0.00 Strike: $9.98 | $0.00 |
DisclosureSEC source: 0001193125-25-259046 · ownership.xml · derivative · entry 5 Zoth Lota S. · CIK 0001278219 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 45,150 shares Expires 2034-02-01 F1 · derivative.exercise_date: Disposed of pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of September 17, 2025, by and among 89bio, Inc. (the "Issuer"), Roche Holdings, Inc. ("Parent") and Bluefin Merger Subsidiary, Inc., a wholly owned subsidiary of Parent ("Merger Sub"). On October 30, 2025, Parent and Merger Sub completed a tender offer pursuant to the terms of the Merger Agreement for all outstanding shares of common stock of the Issuer (each, a "Share") for an offer price of (i) $14.50 per Share in cash, without interest (the "Closing Amount") less any required withholding taxes, plus (ii) one non-tradeable contingent value right (each, a "CVR") representing the right to receive certain contingent payments of up to an aggregate amount of $6.00 per Share, [continues to Footnote 2] F2 · derivative.exercise_date: [continues from Footnote 1] in cash, without interest less any required withholding taxes, upon the achievement of specified milestones on or prior to the applicable milestone outside dates, subject to and in accordance with the terms of the Contingent Value Rights Agreement (the "CVR Agreement"). Merger Sub thereafter merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Parent (the "Merger"). F3 · derivative.exercise_date: As of immediately prior to and conditioned upon the occurrence of the effective time of the Merger, pursuant to the Merger Agreement, each outstanding option to purchase Shares (each, an "Option") became fully vested and exercisable, and to the extent not exercised prior to the effective time of the Merger, was cancelled and converted into the right to receive (i) an amount in cash (without interest and subject to deduction for any required withholding taxes) equal to the product of (A) an amount equal to the excess of the Closing Amount over the exercise price per Share with respect to such Option and (B) the number of Shares subject to such Option plus (ii) one CVR with respect to each Share subject to such Option (the "Option Consideration"); provided, however, that if the exercise price per Share of any Option was equal to or greater than the Closing Amount, but less than $20.50 (any such option, an "Out of the Money Option"), [continues to Footnote 4] F4 · derivative.exercise_date: [Continues from Footnote 3] such Out of the Money Option was not entitled to any payment of the Closing Amount in respect thereof and each Out of the Money Option was converted into the right to receive the CVR included in the Option Consideration with respect to each Share underlying such Out of the Money Option and became entitled to receive, at each time a milestone payment becomes due and payable under the terms of the CVR Agreement, an amount in cash equal to the product of (i) the number of Shares subject to such Out of the Money Option, and (ii) the amount, if any, by which (A) the Closing Amount plus the applicable milestone payment plus any other milestone payment that previously became due and payable under the terms of the CVR Agreement exceeds (B) the exercise price per Share with respect to such Out of the Money Option plus the amounts, [continues to Footnote 5] F5 · derivative.exercise_date: [Continues from Footnote 4] if any, paid to such Option holder with respect to such CVR in respect of any milestone payments that previously became due and payable under the terms of the CVR Agreement; provided further, that any Option with an exercise price that was equal to or greater than $20.50, was cancelled immediately prior to the effective time of the Merger without the receipt of any payment of the Closing Amount or CVR in respect thereof. Read SEC document |
| October 30, 2025 Filed Oct 31, 2025 00:18 UTC | 89bio, Inc. ETNB · Entity 73682 | Disposition to issuerStock Option (Right to Buy) · Derivative | 27,400 | $0.00 Strike: $14.70 | $0.00 |
DisclosureSEC source: 0001193125-25-259046 · ownership.xml · derivative · entry 4 Zoth Lota S. · CIK 0001278219 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 27,400 shares Expires 2033-02-09 F1 · derivative.exercise_date: Disposed of pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of September 17, 2025, by and among 89bio, Inc. (the "Issuer"), Roche Holdings, Inc. ("Parent") and Bluefin Merger Subsidiary, Inc., a wholly owned subsidiary of Parent ("Merger Sub"). On October 30, 2025, Parent and Merger Sub completed a tender offer pursuant to the terms of the Merger Agreement for all outstanding shares of common stock of the Issuer (each, a "Share") for an offer price of (i) $14.50 per Share in cash, without interest (the "Closing Amount") less any required withholding taxes, plus (ii) one non-tradeable contingent value right (each, a "CVR") representing the right to receive certain contingent payments of up to an aggregate amount of $6.00 per Share, [continues to Footnote 2] F2 · derivative.exercise_date: [continues from Footnote 1] in cash, without interest less any required withholding taxes, upon the achievement of specified milestones on or prior to the applicable milestone outside dates, subject to and in accordance with the terms of the Contingent Value Rights Agreement (the "CVR Agreement"). Merger Sub thereafter merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Parent (the "Merger"). F3 · derivative.exercise_date: As of immediately prior to and conditioned upon the occurrence of the effective time of the Merger, pursuant to the Merger Agreement, each outstanding option to purchase Shares (each, an "Option") became fully vested and exercisable, and to the extent not exercised prior to the effective time of the Merger, was cancelled and converted into the right to receive (i) an amount in cash (without interest and subject to deduction for any required withholding taxes) equal to the product of (A) an amount equal to the excess of the Closing Amount over the exercise price per Share with respect to such Option and (B) the number of Shares subject to such Option plus (ii) one CVR with respect to each Share subject to such Option (the "Option Consideration"); provided, however, that if the exercise price per Share of any Option was equal to or greater than the Closing Amount, but less than $20.50 (any such option, an "Out of the Money Option"), [continues to Footnote 4] F4 · derivative.exercise_date: [Continues from Footnote 3] such Out of the Money Option was not entitled to any payment of the Closing Amount in respect thereof and each Out of the Money Option was converted into the right to receive the CVR included in the Option Consideration with respect to each Share underlying such Out of the Money Option and became entitled to receive, at each time a milestone payment becomes due and payable under the terms of the CVR Agreement, an amount in cash equal to the product of (i) the number of Shares subject to such Out of the Money Option, and (ii) the amount, if any, by which (A) the Closing Amount plus the applicable milestone payment plus any other milestone payment that previously became due and payable under the terms of the CVR Agreement exceeds (B) the exercise price per Share with respect to such Out of the Money Option plus the amounts, [continues to Footnote 5] F5 · derivative.exercise_date: [Continues from Footnote 4] if any, paid to such Option holder with respect to such CVR in respect of any milestone payments that previously became due and payable under the terms of the CVR Agreement; provided further, that any Option with an exercise price that was equal to or greater than $20.50, was cancelled immediately prior to the effective time of the Merger without the receipt of any payment of the Closing Amount or CVR in respect thereof. Read SEC document |
| October 30, 2025 Filed Oct 31, 2025 00:18 UTC | 89bio, Inc. ETNB · Entity 73682 | Disposition to issuerStock Option (Right to Buy) · Derivative | 25,000 | $0.00 Strike: $2.64 | $0.00 |
DisclosureSEC source: 0001193125-25-259046 · ownership.xml · derivative · entry 3 Zoth Lota S. · CIK 0001278219 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 25,000 shares Expires 2032-05-16 F1 · derivative.exercise_date: Disposed of pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of September 17, 2025, by and among 89bio, Inc. (the "Issuer"), Roche Holdings, Inc. ("Parent") and Bluefin Merger Subsidiary, Inc., a wholly owned subsidiary of Parent ("Merger Sub"). On October 30, 2025, Parent and Merger Sub completed a tender offer pursuant to the terms of the Merger Agreement for all outstanding shares of common stock of the Issuer (each, a "Share") for an offer price of (i) $14.50 per Share in cash, without interest (the "Closing Amount") less any required withholding taxes, plus (ii) one non-tradeable contingent value right (each, a "CVR") representing the right to receive certain contingent payments of up to an aggregate amount of $6.00 per Share, [continues to Footnote 2] F2 · derivative.exercise_date: [continues from Footnote 1] in cash, without interest less any required withholding taxes, upon the achievement of specified milestones on or prior to the applicable milestone outside dates, subject to and in accordance with the terms of the Contingent Value Rights Agreement (the "CVR Agreement"). Merger Sub thereafter merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Parent (the "Merger"). F3 · derivative.exercise_date: As of immediately prior to and conditioned upon the occurrence of the effective time of the Merger, pursuant to the Merger Agreement, each outstanding option to purchase Shares (each, an "Option") became fully vested and exercisable, and to the extent not exercised prior to the effective time of the Merger, was cancelled and converted into the right to receive (i) an amount in cash (without interest and subject to deduction for any required withholding taxes) equal to the product of (A) an amount equal to the excess of the Closing Amount over the exercise price per Share with respect to such Option and (B) the number of Shares subject to such Option plus (ii) one CVR with respect to each Share subject to such Option (the "Option Consideration"); provided, however, that if the exercise price per Share of any Option was equal to or greater than the Closing Amount, but less than $20.50 (any such option, an "Out of the Money Option"), [continues to Footnote 4] F4 · derivative.exercise_date: [Continues from Footnote 3] such Out of the Money Option was not entitled to any payment of the Closing Amount in respect thereof and each Out of the Money Option was converted into the right to receive the CVR included in the Option Consideration with respect to each Share underlying such Out of the Money Option and became entitled to receive, at each time a milestone payment becomes due and payable under the terms of the CVR Agreement, an amount in cash equal to the product of (i) the number of Shares subject to such Out of the Money Option, and (ii) the amount, if any, by which (A) the Closing Amount plus the applicable milestone payment plus any other milestone payment that previously became due and payable under the terms of the CVR Agreement exceeds (B) the exercise price per Share with respect to such Out of the Money Option plus the amounts, [continues to Footnote 5] F5 · derivative.exercise_date: [Continues from Footnote 4] if any, paid to such Option holder with respect to such CVR in respect of any milestone payments that previously became due and payable under the terms of the CVR Agreement; provided further, that any Option with an exercise price that was equal to or greater than $20.50, was cancelled immediately prior to the effective time of the Merger without the receipt of any payment of the Closing Amount or CVR in respect thereof. Read SEC document |
| October 30, 2025 Filed Oct 31, 2025 00:18 UTC | 89bio, Inc. ETNB · Entity 73682 | Disposition to issuerStock Option (Right to Buy) · Derivative | 12,500 | $0.00 Strike: $24.16 | $0.00 |
DisclosureSEC source: 0001193125-25-259046 · ownership.xml · derivative · entry 2 Zoth Lota S. · CIK 0001278219 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 12,500 shares Expires 2031-04-15 F1 · derivative.exercise_date: Disposed of pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of September 17, 2025, by and among 89bio, Inc. (the "Issuer"), Roche Holdings, Inc. ("Parent") and Bluefin Merger Subsidiary, Inc., a wholly owned subsidiary of Parent ("Merger Sub"). On October 30, 2025, Parent and Merger Sub completed a tender offer pursuant to the terms of the Merger Agreement for all outstanding shares of common stock of the Issuer (each, a "Share") for an offer price of (i) $14.50 per Share in cash, without interest (the "Closing Amount") less any required withholding taxes, plus (ii) one non-tradeable contingent value right (each, a "CVR") representing the right to receive certain contingent payments of up to an aggregate amount of $6.00 per Share, [continues to Footnote 2] F2 · derivative.exercise_date: [continues from Footnote 1] in cash, without interest less any required withholding taxes, upon the achievement of specified milestones on or prior to the applicable milestone outside dates, subject to and in accordance with the terms of the Contingent Value Rights Agreement (the "CVR Agreement"). Merger Sub thereafter merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Parent (the "Merger"). F3 · derivative.exercise_date: As of immediately prior to and conditioned upon the occurrence of the effective time of the Merger, pursuant to the Merger Agreement, each outstanding option to purchase Shares (each, an "Option") became fully vested and exercisable, and to the extent not exercised prior to the effective time of the Merger, was cancelled and converted into the right to receive (i) an amount in cash (without interest and subject to deduction for any required withholding taxes) equal to the product of (A) an amount equal to the excess of the Closing Amount over the exercise price per Share with respect to such Option and (B) the number of Shares subject to such Option plus (ii) one CVR with respect to each Share subject to such Option (the "Option Consideration"); provided, however, that if the exercise price per Share of any Option was equal to or greater than the Closing Amount, but less than $20.50 (any such option, an "Out of the Money Option"), [continues to Footnote 4] F4 · derivative.exercise_date: [Continues from Footnote 3] such Out of the Money Option was not entitled to any payment of the Closing Amount in respect thereof and each Out of the Money Option was converted into the right to receive the CVR included in the Option Consideration with respect to each Share underlying such Out of the Money Option and became entitled to receive, at each time a milestone payment becomes due and payable under the terms of the CVR Agreement, an amount in cash equal to the product of (i) the number of Shares subject to such Out of the Money Option, and (ii) the amount, if any, by which (A) the Closing Amount plus the applicable milestone payment plus any other milestone payment that previously became due and payable under the terms of the CVR Agreement exceeds (B) the exercise price per Share with respect to such Out of the Money Option plus the amounts, [continues to Footnote 5] F5 · derivative.exercise_date: [Continues from Footnote 4] if any, paid to such Option holder with respect to such CVR in respect of any milestone payments that previously became due and payable under the terms of the CVR Agreement; provided further, that any Option with an exercise price that was equal to or greater than $20.50, was cancelled immediately prior to the effective time of the Merger without the receipt of any payment of the Closing Amount or CVR in respect thereof. Read SEC document |
| October 30, 2025 Filed Oct 31, 2025 00:18 UTC | 89bio, Inc. ETNB · Entity 73682 | Disposition to issuerStock Option (Right to Buy) · Derivative | 20,000 | $0.00 Strike: $24.05 | $0.00 |
DisclosureSEC source: 0001193125-25-259046 · ownership.xml · derivative · entry 1 Zoth Lota S. · CIK 0001278219 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 20,000 shares Expires 2030-06-12 F1 · derivative.exercise_date: Disposed of pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of September 17, 2025, by and among 89bio, Inc. (the "Issuer"), Roche Holdings, Inc. ("Parent") and Bluefin Merger Subsidiary, Inc., a wholly owned subsidiary of Parent ("Merger Sub"). On October 30, 2025, Parent and Merger Sub completed a tender offer pursuant to the terms of the Merger Agreement for all outstanding shares of common stock of the Issuer (each, a "Share") for an offer price of (i) $14.50 per Share in cash, without interest (the "Closing Amount") less any required withholding taxes, plus (ii) one non-tradeable contingent value right (each, a "CVR") representing the right to receive certain contingent payments of up to an aggregate amount of $6.00 per Share, [continues to Footnote 2] F2 · derivative.exercise_date: [continues from Footnote 1] in cash, without interest less any required withholding taxes, upon the achievement of specified milestones on or prior to the applicable milestone outside dates, subject to and in accordance with the terms of the Contingent Value Rights Agreement (the "CVR Agreement"). Merger Sub thereafter merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Parent (the "Merger"). F3 · derivative.exercise_date: As of immediately prior to and conditioned upon the occurrence of the effective time of the Merger, pursuant to the Merger Agreement, each outstanding option to purchase Shares (each, an "Option") became fully vested and exercisable, and to the extent not exercised prior to the effective time of the Merger, was cancelled and converted into the right to receive (i) an amount in cash (without interest and subject to deduction for any required withholding taxes) equal to the product of (A) an amount equal to the excess of the Closing Amount over the exercise price per Share with respect to such Option and (B) the number of Shares subject to such Option plus (ii) one CVR with respect to each Share subject to such Option (the "Option Consideration"); provided, however, that if the exercise price per Share of any Option was equal to or greater than the Closing Amount, but less than $20.50 (any such option, an "Out of the Money Option"), [continues to Footnote 4] F4 · derivative.exercise_date: [Continues from Footnote 3] such Out of the Money Option was not entitled to any payment of the Closing Amount in respect thereof and each Out of the Money Option was converted into the right to receive the CVR included in the Option Consideration with respect to each Share underlying such Out of the Money Option and became entitled to receive, at each time a milestone payment becomes due and payable under the terms of the CVR Agreement, an amount in cash equal to the product of (i) the number of Shares subject to such Out of the Money Option, and (ii) the amount, if any, by which (A) the Closing Amount plus the applicable milestone payment plus any other milestone payment that previously became due and payable under the terms of the CVR Agreement exceeds (B) the exercise price per Share with respect to such Out of the Money Option plus the amounts, [continues to Footnote 5] F5 · derivative.exercise_date: [Continues from Footnote 4] if any, paid to such Option holder with respect to such CVR in respect of any milestone payments that previously became due and payable under the terms of the CVR Agreement; provided further, that any Option with an exercise price that was equal to or greater than $20.50, was cancelled immediately prior to the effective time of the Merger without the receipt of any payment of the Closing Amount or CVR in respect thereof. Read SEC document |
| June 16, 2025 Filed Jun 16, 2025 22:40 UTC | enGene Therapeutics Inc. ENGN · Entity 6638 | GrantStock Option (Right to Buy) · Derivative | 22,500 | $0.00 Strike: $3.31 | $0.00 |
DisclosureSEC source: 0000929638-25-002253 · form4.xml · derivative · entry 1 Zoth Lota S. · CIK 0001278219 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 22,500 Underlying: Common Shares · 22,500 shares Expires 2035-06-16 F1 · derivative.exercise_date: This option fully vests on the earlier of (i) the first anniversary of the date vesting commenced, which was June 10, 2025; or (ii) the 2026 Annual Meeting of Shareholders. Read SEC document |
| May 21, 2025 Filed May 21, 2025 20:58 UTC | INOVIO PHARMACEUTICALS, INC. INO · Entity 6589 | Exercise / conversionRestricted Stock Unit · Derivative | 2,167 | $0.00 | $0.00 |
DisclosureSEC source: 0001055726-25-000040 · wk-form4_1747861110.xml · derivative · entry 2 Zoth Lota S. · CIK 0001278219 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,167 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. F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock. These restricted stock units vested 100% on May 21, 2025. F1 · derivative.exercise_date: Each restricted stock unit represents a contingent right to receive one share of common stock. These restricted stock units vested 100% on May 21, 2025. F1 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of common stock. These restricted stock units vested 100% on May 21, 2025. Read SEC document |
| May 21, 2025 Filed May 21, 2025 20:58 UTC | INOVIO PHARMACEUTICALS, INC. INO · Entity 6589 | Exercise / conversionCommon Stock | 2,167 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001055726-25-000040 · wk-form4_1747861110.xml · nonDerivative · entry 1 Zoth Lota S. · CIK 0001278219 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 8,726 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 · price: Each restricted stock unit represents a contingent right to receive one share of common stock. These restricted stock units vested 100% on May 21, 2025. Read SEC document |
| February 03, 2025 Filed Feb 5, 2025 21:01 UTC | 89bio, Inc. ETNB · Entity 73682 | GrantStock Option (Right to Buy) · Derivative | 56,400 | $0.00 Strike: $9.60 | $0.00 |
DisclosureSEC source: 0000950170-25-014435 · ownership.xml · derivative · entry 1 Zoth Lota S. · CIK 0001278219 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 56,400 Underlying: Common Stock · 56,400 shares Expires 2035-02-03 F1 · derivative.exercise_date: This option represents a right to purchase a total of 56,400 shares of the Issuer's Common Stock, which will vest in full on February 1, 2026, subject to the Reporting Person's continued service to the Issuer through such date. Read SEC document |
| December 12, 2024 Filed Dec 13, 2024 21:32 UTC | LUMOS PHARMA, INC. (LUMO) · Entity 85102 | Disposition to issuerStock Option (Right to Buy) · Derivative | 5,324 | Not disclosed Strike: $15.93 | Not disclosed |
DisclosureSEC source: 0001126234-24-000121 · wk-form4_1734143541.xml · derivative · entry 8 Zoth Lota S. · CIK 0001278219 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,324 shares Expires 2026-07-31 F3 · price: Represents an out-of-money option that was cancelled without any cash payment or issuance of CVRs being made in respect thereof pursuant to the Merger Agreement. F3 · derivative.exercise_date: Represents an out-of-money option that was cancelled without any cash payment or issuance of CVRs being made in respect thereof pursuant to the Merger Agreement. Read SEC document |
| December 12, 2024 Filed Dec 13, 2024 21:32 UTC | LUMOS PHARMA, INC. (LUMO) · Entity 85102 | Disposition to issuerStock Option (Right to Buy) · Derivative | 2,777 | Not disclosed Strike: $15.21 | Not disclosed |
DisclosureSEC source: 0001126234-24-000121 · wk-form4_1734143541.xml · derivative · entry 7 Zoth Lota S. · CIK 0001278219 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,777 shares Expires 2029-05-09 F3 · price: Represents an out-of-money option that was cancelled without any cash payment or issuance of CVRs being made in respect thereof pursuant to the Merger Agreement. F3 · derivative.exercise_date: Represents an out-of-money option that was cancelled without any cash payment or issuance of CVRs being made in respect thereof pursuant to the Merger Agreement. Read SEC document |
| December 12, 2024 Filed Dec 13, 2024 21:32 UTC | LUMOS PHARMA, INC. (LUMO) · Entity 85102 | Disposition to issuerStock Option (Right to Buy) · Derivative | 2,910 | Not disclosed Strike: $10.36 | Not disclosed |
DisclosureSEC source: 0001126234-24-000121 · wk-form4_1734143541.xml · derivative · entry 6 Zoth Lota S. · CIK 0001278219 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,910 shares Expires 2031-05-19 F3 · price: Represents an out-of-money option that was cancelled without any cash payment or issuance of CVRs being made in respect thereof pursuant to the Merger Agreement. F3 · derivative.exercise_date: Represents an out-of-money option that was cancelled without any cash payment or issuance of CVRs being made in respect thereof pursuant to the Merger Agreement. Read SEC document |
| December 12, 2024 Filed Dec 13, 2024 21:32 UTC | LUMOS PHARMA, INC. (LUMO) · Entity 85102 | Disposition to issuerStock Option (Right to Buy) · Derivative | 3,431 | Not disclosed Strike: $8.18 | Not disclosed |
DisclosureSEC source: 0001126234-24-000121 · wk-form4_1734143541.xml · derivative · entry 5 Zoth Lota S. · CIK 0001278219 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,431 shares Expires 2032-05-04 F3 · price: Represents an out-of-money option that was cancelled without any cash payment or issuance of CVRs being made in respect thereof pursuant to the Merger Agreement. F3 · derivative.exercise_date: Represents an out-of-money option that was cancelled without any cash payment or issuance of CVRs being made in respect thereof pursuant to the Merger Agreement. Read SEC document |
| December 12, 2024 Filed Dec 13, 2024 21:32 UTC | LUMOS PHARMA, INC. (LUMO) · Entity 85102 | Disposition to issuerStock Option (Right to Buy) · Derivative | 5,684 | Not disclosed Strike: $7.78 | Not disclosed |
DisclosureSEC source: 0001126234-24-000121 · wk-form4_1734143541.xml · derivative · entry 4 Zoth Lota S. · CIK 0001278219 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,684 shares Expires 2030-04-02 F3 · price: Represents an out-of-money option that was cancelled without any cash payment or issuance of CVRs being made in respect thereof pursuant to the Merger Agreement. F3 · derivative.exercise_date: Represents an out-of-money option that was cancelled without any cash payment or issuance of CVRs being made in respect thereof pursuant to the Merger Agreement. Read SEC document |
| December 12, 2024 Filed Dec 13, 2024 21:32 UTC | LUMOS PHARMA, INC. (LUMO) · Entity 85102 | Disposition to issuerStock Option (Right to Buy) · Derivative | 3,328 | Not disclosed Strike: $2.35 | Not disclosed |
DisclosureSEC source: 0001126234-24-000121 · wk-form4_1734143541.xml · derivative · entry 3 Zoth Lota S. · CIK 0001278219 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,328 shares Expires 2034-06-04 F2 · price: This option was cancelled pursuant to the Merger Agreement in exchange for (i) an amount in cash equal to the product of (x) the total number of shares underlying such option multiplied by (y) the excess of the Cash Amount over the applicable exercise price per share and (ii) one CVR for each share underlying such in-the-money option. F2 · derivative.exercise_date: This option was cancelled pursuant to the Merger Agreement in exchange for (i) an amount in cash equal to the product of (x) the total number of shares underlying such option multiplied by (y) the excess of the Cash Amount over the applicable exercise price per share and (ii) one CVR for each share underlying such in-the-money option. Read SEC document |
| December 12, 2024 Filed Dec 13, 2024 21:32 UTC | LUMOS PHARMA, INC. (LUMO) · Entity 85102 | Disposition to issuerStock Option (Right to Buy) · Derivative | 3,345 | Not disclosed Strike: $3.42 | Not disclosed |
DisclosureSEC source: 0001126234-24-000121 · wk-form4_1734143541.xml · derivative · entry 2 Zoth Lota S. · CIK 0001278219 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,345 shares Expires 2033-05-09 F2 · price: This option was cancelled pursuant to the Merger Agreement in exchange for (i) an amount in cash equal to the product of (x) the total number of shares underlying such option multiplied by (y) the excess of the Cash Amount over the applicable exercise price per share and (ii) one CVR for each share underlying such in-the-money option. F2 · derivative.exercise_date: This option was cancelled pursuant to the Merger Agreement in exchange for (i) an amount in cash equal to the product of (x) the total number of shares underlying such option multiplied by (y) the excess of the Cash Amount over the applicable exercise price per share and (ii) one CVR for each share underlying such in-the-money option. Read SEC document |
| December 12, 2024 Filed Dec 13, 2024 21:32 UTC | LUMOS PHARMA, INC. (LUMO) · Entity 85102 | Disposition to issuerCommon Stock | 2,187 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001126234-24-000121 · wk-form4_1734143541.xml · nonDerivative · entry 1 Zoth Lota S. · CIK 0001278219 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 F1 · price: Disposed of pursuant to that certain Agreement and Plan of Merger, dated October 22, 2024, by and between the Issuer, DPV Parent, Inc., DPV MergerSub, Inc. and Double Point Ventures LLC ("DPV") (the "Merger Agreement") in exchange for (i) $4.25 in cash per share (the "Cash Amount"), plus (ii) one non-transferable contingent value right ("CVR") per share. Read SEC document |
| June 15, 2024 Filed Jun 18, 2024 20:09 UTC | enGene Therapeutics Inc. ENGN · Entity 6638 | GrantStock Option (Right to Buy) · Derivative | 20,000 | $0.00 Strike: $9.00 | $0.00 |
DisclosureSEC source: 0000929638-24-002217 · form4.xml · derivative · entry 1 Zoth Lota S. · CIK 0001278219 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Shares · 20,000 shares Expires 2034-06-15 F1 · derivative.exercise_date: This option fully vests on the earlier of (i) the first anniversary of the date vesting commenced, which was May 15, 2024; or (ii) the 2025 Annual Meeting of Shareholders. Read SEC document |
| June 05, 2024 Filed Jun 7, 2024 16:07 UTC | LUMOS PHARMA, INC. (LUMO) · Entity 85102 | GrantStock Option (Right to Buy) · Derivative | 3,328 | $0.00 Strike: $2.35 | $0.00 |
DisclosureSEC source: 0001126234-24-000075 · wk-form4_1717790834.xml · derivative · entry 1 Zoth Lota S. · CIK 0001278219 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 3,328 Underlying: Common Stock · 3,328 shares Expires 2034-06-04 F1 · derivative.exercise_date: Grant to the Reporting Person of a nonstatutory stock option under the Issuer's 2009 Equity Incentive Plan (the "Plan"). One hundred percent (100%) of the shares shall vest on the earlier of (i) the first anniversary of the date of grant and (ii) the date of the first Annual Meeting following the date of grant, in each case subject to the Reporting Person's continuous service as of such date. The option expires ten years after the date of grant. Read SEC document |
| May 21, 2024 Filed May 22, 2024 20:51 UTC | INOVIO PHARMACEUTICALS, INC. INO · Entity 6589 | GrantRestricted Stock Unit · Derivative | 2,167 | $0.00 | $0.00 |
DisclosureSEC source: 0001055726-24-000041 · wk-form4_1716411106.xml · derivative · entry 2 Zoth Lota S. · CIK 0001278219 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,167 Underlying: Common Stock · 2,167 shares Expires not disclosed F3 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock. These restricted stock units will vest 100% on May 21, 2025. F1 · shares: This grant was made under the 2023 Omnibus Incentive Plan pursuant to the issuer's non-employee director compensation policy. F3 · derivative.exercise_date: Each restricted stock unit represents a contingent right to receive one share of common stock. These restricted stock units will vest 100% on May 21, 2025. F3 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of common stock. These restricted stock units will vest 100% on May 21, 2025. Read SEC document |
| May 21, 2024 Filed May 22, 2024 20:51 UTC | INOVIO PHARMACEUTICALS, INC. INO · Entity 6589 | GrantCommon Stock Options · Derivative | 2,917 | $0.00 Strike: $10.99 | $0.00 |
DisclosureSEC source: 0001055726-24-000041 · wk-form4_1716411106.xml · derivative · entry 1 Zoth Lota S. · CIK 0001278219 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,917 Underlying: Common Stock · 2,917 shares Expires 2034-05-21 F1 · shares: This grant was made under the 2023 Omnibus Incentive Plan pursuant to the issuer's non-employee director compensation policy. F2 · derivative.exercise_date: Options to vest 100% on May 21, 2025. Read SEC document |
| May 15, 2024 Filed May 16, 2024 21:02 UTC | INOVIO PHARMACEUTICALS, INC. INO · Entity 6589 | Exercise / conversionRestricted Stock Unit · Derivative | 2,166 | $0.00 | $0.00 |
DisclosureSEC source: 0001055726-24-000026 · wk-form4_1715893362.xml · derivative · entry 2 Zoth Lota S. · CIK 0001278219 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,166 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. F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock. These restricted stock units vested 100% on May 15, 2024. F2 · shares: Gives effect to a 1-for-12 reverse stock split effected by the Issuer on January 24, 2024. F1 · derivative.exercise_date: Each restricted stock unit represents a contingent right to receive one share of common stock. These restricted stock units vested 100% on May 15, 2024. F1 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of common stock. These restricted stock units vested 100% on May 15, 2024. F2 · derivative.underlying_shares: Gives effect to a 1-for-12 reverse stock split effected by the Issuer on January 24, 2024. Read SEC document |
| May 15, 2024 Filed May 16, 2024 21:02 UTC | INOVIO PHARMACEUTICALS, INC. INO · Entity 6589 | Exercise / conversionCommon Stock | 2,166 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001055726-24-000026 · wk-form4_1715893362.xml · nonDerivative · entry 1 Zoth Lota S. · CIK 0001278219 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 6,559 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 · price: Each restricted stock unit represents a contingent right to receive one share of common stock. These restricted stock units vested 100% on May 15, 2024. F2 · balance_after: Gives effect to a 1-for-12 reverse stock split effected by the Issuer on January 24, 2024. Read SEC document |
| March 21, 2024 Filed Mar 25, 2024 20:01 UTC | enGene Therapeutics Inc. ENGN · Entity 6638 | GrantStock Option (Right to Buy) · Derivative | 40,000 | $0.00 Strike: $17.80 | $0.00 |
DisclosureSEC source: 0000929638-24-001102 · form4.xml · derivative · entry 1 Zoth Lota S. · CIK 0001278219 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Shares · 40,000 shares Expires 2034-03-21 F1 · derivative.exercise_date: This option vests at 1/3 on each of the first, second and third anniversaries of Ms. Zoth's date of appointment to the Board, which was December 18, 2023. Read SEC document |
| February 01, 2024 Filed Feb 6, 2024 01:08 UTC | 89bio, Inc. ETNB · Entity 73682 | GrantStock Option (Right to Buy) · Derivative | 45,150 | $0.00 Strike: $9.98 | $0.00 |
DisclosureSEC source: 0000950170-24-011461 · ownership.xml · derivative · entry 1 Zoth Lota S. · CIK 0001278219 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 45,150 Underlying: Common Stock · 45,150 shares Expires 2034-02-01 F1 · derivative.exercise_date: This option represents a right to purchase a total of 45,150 shares of the Issuer's Common Stock, which will vest in full on February 1, 2025, subject to the Reporting Person's continued service to the Issuer through such date. Read SEC document |
| June 05, 2023 Filed Jun 5, 2023 20:13 UTC | INOVIO PHARMACEUTICALS, INC. INO · Entity 6589 | SaleCommon Stock | 5,700 | $0.56 | $3,192.00 |
DisclosureSEC source: 0001055726-23-000044 · wk-form4_1685995996.xml · nonDerivative · entry 1 Zoth Lota S. · CIK 0001278219 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 52,716 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. Read SEC document |
| May 16, 2023 Filed May 16, 2023 20:57 UTC | INOVIO PHARMACEUTICALS, INC. INO · Entity 6589 | Exercise / conversionRestricted Stock Unit · Derivative | 19,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001055726-23-000039 · wk-form4_1684270611.xml · derivative · entry 2 Zoth Lota S. · CIK 0001278219 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 19,000 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. F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock. These restricted stock units vested 100% on May 16, 2023. F1 · derivative.exercise_date: Each restricted stock unit represents a contingent right to receive one share of common stock. These restricted stock units vested 100% on May 16, 2023. F1 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of common stock. These restricted stock units vested 100% on May 16, 2023. Read SEC document |
| May 16, 2023 Filed May 16, 2023 20:57 UTC | INOVIO PHARMACEUTICALS, INC. INO · Entity 6589 | Exercise / conversionCommon Stock | 19,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001055726-23-000039 · wk-form4_1684270611.xml · nonDerivative · entry 1 Zoth Lota S. · CIK 0001278219 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 58,416 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 · price: Each restricted stock unit represents a contingent right to receive one share of common stock. These restricted stock units vested 100% on May 16, 2023. Read SEC document |
| May 15, 2023 Filed May 16, 2023 20:57 UTC | INOVIO PHARMACEUTICALS, INC. INO · Entity 6589 | GrantRestricted Stock Unit · Derivative | 26,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001055726-23-000039 · wk-form4_1684270611.xml · derivative · entry 4 Zoth Lota S. · CIK 0001278219 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 26,000 Underlying: Common Stock · 26,000 shares Expires not disclosed F4 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock. These restricted stock units will vest 100% on May 15, 2024. F2 · shares: This grant was made under the 2016 Omnibus Incentive Plan pursuant to the issuer's non-employee director compensation policy. F4 · derivative.exercise_date: Each restricted stock unit represents a contingent right to receive one share of common stock. These restricted stock units will vest 100% on May 15, 2024. F4 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of common stock. These restricted stock units will vest 100% on May 15, 2024. Read SEC document |
| May 15, 2023 Filed May 16, 2023 20:57 UTC | INOVIO PHARMACEUTICALS, INC. INO · Entity 6589 | GrantCommon Stock Options · Derivative | 35,000 | $0.00 Strike: $0.77 | $0.00 |
DisclosureSEC source: 0001055726-23-000039 · wk-form4_1684270611.xml · derivative · entry 3 Zoth Lota S. · CIK 0001278219 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 35,000 Underlying: Common Stock · 35,000 shares Expires 2033-05-15 F2 · shares: This grant was made under the 2016 Omnibus Incentive Plan pursuant to the issuer's non-employee director compensation policy. F3 · derivative.exercise_date: Options to vest 100% on May 15, 2024. Read SEC document |
| May 10, 2023 Filed May 12, 2023 17:45 UTC | LUMOS PHARMA, INC. (LUMO) · Entity 85102 | GrantStock Option (Right to Buy) · Derivative | 3,345 | $0.00 Strike: $3.42 | $0.00 |
DisclosureSEC source: 0001126234-23-000074 · wf-form4_168392791539957.xml · derivative · entry 1 Zoth Lota S. · CIK 0001278219 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 3,345 Underlying: Common Stock · 3,345 shares Expires 2033-05-09 F1 · derivative.exercise_date: Grant to the Reporting Person of a nonstatutory stock option under the Issuer's 2009 Equity Incentive Plan (the "Plan"). One hundred percent (100%) of the shares shall vest on the earlier of (i) the first anniversary of the date of grant and (ii) the date of the first Annual Meeting following the date of grant, in each case subject to the Reporting Person's continuous service as of such date. The option expires ten years after the date of grant. Read SEC document |
| February 09, 2023 Filed Feb 13, 2023 22:42 UTC | 89bio, Inc. ETNB · Entity 73682 | GrantStock Option (Right to Buy) · Derivative | 27,400 | $0.00 Strike: $14.70 | $0.00 |
DisclosureSEC source: 0000899243-23-004812 · doc4.xml · derivative · entry 1 Zoth Lota S. · CIK 0001278219 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,400 Underlying: Common Stock · 27,400 shares Expires 2033-02-09 F1 · derivative.exercise_date: This option represents a right to purchase a total of 27,400 shares of the Issuer's Common Stock, which will vest in full on February 9, 2024, subject to the Reporting Person's continued service to the Issuer through such date. Read SEC document |
| December 21, 2022 Filed Dec 24, 2022 00:00 UTC | Zymeworks Inc. ZYME · Entity 4458 | GrantStock Option (Right to Buy) · Derivative | 25,000 | $0.00 Strike: $8.75 | $0.00 |
DisclosureSEC source: 0000899243-22-039324 · doc4.xml · derivative · entry 1 Zoth Lota S. · CIK 0001278219 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 Underlying: Common Stock · 25,000 shares Expires 2032-12-20 F1 · derivative.exercise_date: Stock options vest on date of next annual general meeting following grant date of December 21, 2022. Read SEC document |
| May 16, 2022 Filed May 17, 2022 20:28 UTC | INOVIO PHARMACEUTICALS, INC. INO · Entity 6589 | GrantCommon Stock Options · Derivative | 28,000 | $0.00 Strike: $1.89 | $0.00 |
DisclosureSEC source: 0001055726-22-000039 · wf-form4_165281923227717.xml · derivative · entry 5 Zoth Lota S. · CIK 0001278219 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,000 Underlying: Common Stock · 28,000 shares Expires 2032-05-16 F4 · shares: This grant was made pursuant to the issuer's non-employee director compensation policy. F5 · derivative.exercise_date: Options to vest 100% on May 16, 2023. Read SEC document |
| May 16, 2022 Filed May 17, 2022 20:28 UTC | INOVIO PHARMACEUTICALS, INC. INO · Entity 6589 | GrantRestricted Stock Unit · Derivative | 19,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001055726-22-000039 · wf-form4_165281923227717.xml · derivative · entry 4 Zoth Lota S. · CIK 0001278219 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,000 Underlying: Common Stock · 19,000 shares Expires not disclosed F3 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock. These restricted stock units will vest 100% on May 16, 2023. F4 · shares: This grant was made pursuant to the issuer's non-employee director compensation policy. F3 · derivative.exercise_date: Each restricted stock unit represents a contingent right to receive one share of common stock. These restricted stock units will vest 100% on May 16, 2023. F3 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of common stock. These restricted stock units will vest 100% on May 16, 2023. Read SEC document |
| May 16, 2022 Filed May 17, 2022 20:28 UTC | INOVIO PHARMACEUTICALS, INC. INO · Entity 6589 | SaleCommon Stock | 3,600 | $1.98 | $7,128.00 |
DisclosureSEC source: 0001055726-22-000039 · wf-form4_165281923227717.xml · nonDerivative · entry 2 Zoth Lota S. · CIK 0001278219 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,416 F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. Read SEC document |
| May 16, 2022 Filed May 18, 2022 20:06 UTC | 89bio, Inc. ETNB · Entity 73682 | GrantStock Option (Right to Buy) · Derivative | 25,000 | $0.00 Strike: $2.64 | $0.00 |
DisclosureSEC source: 0000899243-22-018585 · doc4.xml · derivative · entry 1 Zoth Lota S. · CIK 0001278219 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 Underlying: Common Stock · 25,000 shares Expires 2032-05-16 F1 · derivative.exercise_date: This option represents a right to purchase a total of 25,000 shares of the Issuer's Common Stock, which will vest in full on May 16, 2023, subject to the Reporting Person's continued service to the Issuer through such date. Read SEC document |
| May 13, 2022 Filed May 17, 2022 20:28 UTC | INOVIO PHARMACEUTICALS, INC. INO · Entity 6589 | Exercise / conversionRestricted Stock Unit · Derivative | 18,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001055726-22-000039 · wf-form4_165281923227717.xml · derivative · entry 3 Zoth Lota S. · CIK 0001278219 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 18,000 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. F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock. These restricted stock units vested 100% on May 13, 2022. F1 · derivative.exercise_date: Each restricted stock unit represents a contingent right to receive one share of common stock. These restricted stock units vested 100% on May 13, 2022. F1 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of common stock. These restricted stock units vested 100% on May 13, 2022. Read SEC document |
| May 13, 2022 Filed May 17, 2022 20:28 UTC | INOVIO PHARMACEUTICALS, INC. INO · Entity 6589 | Exercise / conversionCommon Stock | 18,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001055726-22-000039 · wf-form4_165281923227717.xml · nonDerivative · entry 1 Zoth Lota S. · CIK 0001278219 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,016 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 · price: Each restricted stock unit represents a contingent right to receive one share of common stock. These restricted stock units vested 100% on May 13, 2022. Read SEC document |
| May 05, 2022 Filed May 9, 2022 17:14 UTC | LUMOS PHARMA, INC. (LUMO) · Entity 85102 | GrantStock Option (Right to Buy) · Derivative | 3,431 | $0.00 Strike: $8.18 | $0.00 |
DisclosureSEC source: 0001126234-22-000058 · wf-form4_165213087549756.xml · derivative · entry 1 Zoth Lota S. · CIK 0001278219 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,431 Underlying: Common Stock · 3,431 shares Expires 2032-05-04 F1 · derivative.exercise_date: Grant to the Reporting Person of a nonstatutory stock option under the Issuer's 2009 Equity Incentive Plan (the "Plan"). One hundred percent (100%) of the shares shall vest on the earlier of (i) the first anniversary of the date of grant and (ii) the date of the first Annual Meeting following the date of grant, in each case subject to the Reporting Person's continuous service as of such date. The option expires ten years after the date of grant. Read SEC document |
| January 05, 2022 Filed Jan 5, 2022 21:04 UTC | INOVIO PHARMACEUTICALS, INC. INO · Entity 6589 | SaleCommon Stock | 961 | $5.01 | $4,814.61 |
DisclosureSEC source: 0001055726-22-000001 · wf-form4_164141662488992.xml · nonDerivative · entry 2 Zoth Lota S. · CIK 0001278219 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,016 F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. Read SEC document |
| January 03, 2022 Filed Jan 5, 2022 21:04 UTC | INOVIO PHARMACEUTICALS, INC. INO · Entity 6589 | Exercise / conversionRestricted Stock Unit · Derivative | 4,090 | $0.00 | $0.00 |
DisclosureSEC source: 0001055726-22-000001 · wf-form4_164141662488992.xml · derivative · entry 3 Zoth Lota S. · CIK 0001278219 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 4,090 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. F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock. The vesting schedule for the 12,270 restricted stock units is as follows: 4,090 shares vested on January 3, 2020; 4,090 shares vested on January 3, 2021; 4,090 shares vested on January 3, 2022. Vested restricted stock units can be settled in shares of common stock, cash or a combination of both F1 · derivative.exercise_date: Each restricted stock unit represents a contingent right to receive one share of common stock. The vesting schedule for the 12,270 restricted stock units is as follows: 4,090 shares vested on January 3, 2020; 4,090 shares vested on January 3, 2021; 4,090 shares vested on January 3, 2022. Vested restricted stock units can be settled in shares of common stock, cash or a combination of both F1 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of common stock. The vesting schedule for the 12,270 restricted stock units is as follows: 4,090 shares vested on January 3, 2020; 4,090 shares vested on January 3, 2021; 4,090 shares vested on January 3, 2022. Vested restricted stock units can be settled in shares of common stock, cash or a combination of both Read SEC document |
| January 03, 2022 Filed Jan 5, 2022 21:04 UTC | INOVIO PHARMACEUTICALS, INC. INO · Entity 6589 | Exercise / conversionCommon Stock | 4,090 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001055726-22-000001 · wf-form4_164141662488992.xml · nonDerivative · entry 1 Zoth Lota S. · CIK 0001278219 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,977 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 · price: Each restricted stock unit represents a contingent right to receive one share of common stock. The vesting schedule for the 12,270 restricted stock units is as follows: 4,090 shares vested on January 3, 2020; 4,090 shares vested on January 3, 2021; 4,090 shares vested on January 3, 2022. Vested restricted stock units can be settled in shares of common stock, cash or a combination of both Read SEC document |
| May 20, 2021 Filed May 24, 2021 18:37 UTC | LUMOS PHARMA, INC. (LUMO) · Entity 85102 | GrantStock Option (Right to Buy) · Derivative | 2,910 | $0.00 Strike: $10.36 | $0.00 |
DisclosureSEC source: 0001126234-21-000084 · wf-form4_162189584308486.xml · derivative · entry 2 Zoth Lota S. · CIK 0001278219 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,910 Underlying: Common Stock · 2,910 shares Expires 2031-05-19 F3 · derivative.exercise_date: Grant to the Reporting Person of a nonstatutory stock option under the Plan. One hundred percent (100%) of the shares shall vest on the earlier of (i) the first anniversary of the date of grant and (ii) the date of the first Annual Meeting following the date of grant, in each case subject to the Reporting Person's continuous service as of such date. The option expires ten years after the date of grant. Read SEC document |
| May 20, 2021 Filed May 24, 2021 18:37 UTC | LUMOS PHARMA, INC. (LUMO) · Entity 85102 | GrantCommon Stock | 367 | $0.00 | $0.00 |
DisclosureSEC source: 0001126234-21-000084 · wf-form4_162189584308486.xml · nonDerivative · entry 1 Zoth Lota S. · CIK 0001278219 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,187 F1 · shares: Represents shares issued as restricted stock units ("RSUs") under the Issuer's 2010 Non-Employee Director Stock Award Plan (the "Plan") that were received as an award, for no consideration. The RSUs vest in a single installment on the earlier of (i) the first anniversary of the date of grant and (ii) the date of the first Annual Meeting following the date of grant, provided in each case that the Reporting Person's continuous service to the Issuer has not been terminated as defined in or as determined under the Plan. F2 · balance_after: Includes 473 RSUs previously reported as holdings of the Reporting Person granted under the Plan. The RSUs will vest, and shares will be delivered to the Reporting Person in a series of two successive annual installments with the next installment occurring on April 3, 2022, provided in each case that the Reporting Person's continuous service to the Issuer has not been terminated as defined in or as determined under the Plan. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.