Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Arcus Biosciences, Inc.RCUS · Entity 4104 | Director | June 11, 2026 | June 12, 2026 |
| Nuvation Bio Inc.NUVB · Entity 4384 | Director | May 21, 2026 | May 27, 2026 |
| Sio Gene Therapies Inc.AXON · Entity 130622 | Director | May 15, 2017 | May 16, 2017 |
| Tricida, Inc.TCDA · Entity 122050 | Director | June 15, 2022 | June 16, 2022 |
| UroGen Pharma Ltd.URGN · Entity 4466 | Director | June 07, 2021 | June 09, 2021 |
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.
Arcus Biosciences, Inc.
Report date June 11, 2026 · Filed June 12, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 44,300 |
Reported balance
After 2026-06-11 transaction · row 1
1 source rowRow 1 · 2026-06-11 · Grant · Acquired 5,700 · Balance 44,300 F1: Represents the grant of restricted stock units that vest in full on the earlier of June 11, 2027 or the next annual meeting of stockholders of the issuer. The RSUs will become fully vested in the event the Company is subject to a change in control. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $23.30 · Expires 2036-06-10 | Direct | 16,900 |
Reported balance
After 2026-06-11 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2026-06-11 · Grant · Acquired 16,900 · Balance 16,900 F3: The option will vest in full on the earlier of June 11, 2027 or the next annual meeting of stockholders of the issuer. The option will become fully vested and exercisable in the event the Company is subject to a change in control. |
| Common StockSEC Table I · non-derivative | IndirectBy Trust | 132,106 |
Reported balance
Holding disclosure · report date 2026-06-11 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 132,106 F2: Includes 30,000 shares that were previously reported as held directly by the Reporting Person. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents the grant of restricted stock units that vest in full on the earlier of June 11, 2027 or the next annual meeting of stockholders of the issuer. The RSUs will become fully vested in the event the Company is subject to a change in control.
F2: Includes 30,000 shares that were previously reported as held directly by the Reporting Person.
F3: The option will vest in full on the earlier of June 11, 2027 or the next annual meeting of stockholders of the issuer. The option will become fully vested and exercisable in the event the Company is subject to a change in control.
Nuvation Bio Inc.
Report date May 21, 2026 · Filed May 27, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $4.79 · Expires 2036-05-20 | Direct | 123,397 |
Reported balance
After 2026-05-21 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-05-21 · Grant · Acquired 123,397 · Balance 123,397 F1: 100% of the shares subject to the option shall vest on the earlier of: (i) the one-year anniversary of the grant date (May 21, 2026); or (ii) the next shareholder annual meeting, subject to the Reporting Person's continuous service through such applicable vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: 100% of the shares subject to the option shall vest on the earlier of: (i) the one-year anniversary of the grant date (May 21, 2026); or (ii) the next shareholder annual meeting, subject to the Reporting Person's continuous service through such applicable vesting date.
Sio Gene Therapies Inc.
Report date May 15, 2017 · Filed May 16, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $21.90 · Expires 2027-05-14 | Direct | 70,000 |
Reported balance
After 2017-05-15 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2017-05-15 · Grant · Acquired 70,000 · Balance 70,000 F1: This option vests over a period of three years, with one third of the common shares underlying the option vesting on each of the first, second and third anniversaries of April 7, 2017, the date of the Reporting Person's appointment to the Issuer's Board of Directors. The option allows for early exercise, subject to the Issuer's repurchase option with respect to any unvested common shares. All common shares underlying such option will become fully vested upon a change in control, as that term is defined in the Issuer's 2015 Equity Incentive Plan. |
Filing footnotes · ownership attribution and instrument terms
F1: This option vests over a period of three years, with one third of the common shares underlying the option vesting on each of the first, second and third anniversaries of April 7, 2017, the date of the Reporting Person's appointment to the Issuer's Board of Directors. The option allows for early exercise, subject to the Issuer's repurchase option with respect to any unvested common shares. All common shares underlying such option will become fully vested upon a change in control, as that term is defined in the Issuer's 2015 Equity Incentive Plan.
Tricida, Inc.
Report date June 15, 2022 · Filed June 16, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $9.87 · Expires 2032-06-14 | Direct | 27,207 |
Reported balance
After 2022-06-15 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2022-06-15 · Grant · Acquired 27,207 · Balance 27,207 F1: Subject to the Reporting Person's continuous service to the Issuer as a non-employee director through each vesting date, this option vests ratably on a monthly basis, on the monthly anniversary of June 15, 2022 ("Option Date"), over the one-year period following the Option Date so that the option shall be 100% vested and exercisable on the one-year anniversary of the Option Date ("Vesting Date"); provided, however, if the Issuer's next regularly scheduled annual meeting of stockholders that occurs following the Option Date (the "Next Annual Meeting") occurs prior to the Vesting Date, then the option shall vest in full one day prior to the Next Annual Meeting. |
Filing footnotes · ownership attribution and instrument terms
F1: Subject to the Reporting Person's continuous service to the Issuer as a non-employee director through each vesting date, this option vests ratably on a monthly basis, on the monthly anniversary of June 15, 2022 ("Option Date"), over the one-year period following the Option Date so that the option shall be 100% vested and exercisable on the one-year anniversary of the Option Date ("Vesting Date"); provided, however, if the Issuer's next regularly scheduled annual meeting of stockholders that occurs following the Option Date (the "Next Annual Meeting") occurs prior to the Vesting Date, then the option shall vest in full one day prior to the Next Annual Meeting.
UroGen Pharma Ltd.
Report date June 07, 2021 · Filed June 09, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $17.98 · Expires 2031-06-06 | Direct | 10,000 |
Reported balance
After 2021-06-07 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2021-06-07 · Grant · Acquired 10,000 · Balance 10,000 F1: The shares underlying the stock option will vest in equal quarterly installments over a period of one year. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares underlying the stock option will vest in equal quarterly installments over a period of one year.
Past disclosures · reporting ended (3)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Aimmune Therapeutics, Inc.
Report date October 10, 2020 · Filed October 14, 2020
Section 16 reporting ended · disclosed 2020-10-14. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, $0.0001 par valueSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2020-10-10 transaction · row 1
Sequence does not reconcile; account continuity is unresolved.
1 source rowRow 1 · 2020-10-10 · Other · Disposed 65,192 · Balance 0 |
| Common Stock, $0.0001 par valueSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2020-10-13 transaction · row 3
Sequence does not reconcile; account continuity is unresolved.
1 source rowRow 3 · 2020-10-13 · Disposition to issuer · Disposed 7,840 · Balance 0 F2: Disposed of to SPN MergerSub, Inc. ("Merger Sub"), which, pursuant to the Agreement and Plan of Merger, dated August 29, 2020, by and between the Issuer, Societes des Produits Nestle S.A., ("Nestle"), and Merger Sub (the "Merger Agreement"), commenced a tender offer to acquire any and all of the outstanding shares of the Issuer's common stock (other than those shares owned by Nestle and its affiliates) at a purchase price of $34.50 per share (the "Offer Price"). F3: Pursuant to the Merger Agreement, each Issuer restricted stock unit ("RSU") that was outstanding immediately prior to the date and time at which the Merger became effective (the "Effective Time") vested in full, terminated, and was converted into the right to receive a cash payment equal to (i) the Offer Price multiplied by (ii) the number of shares of common stock subject to the RSU. |
| Common Stock, $0.0001 par valueSEC Table I · non-derivative | IndirectBy: Trust | 0 |
Reported balance
After 2020-10-10 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 2 · 2020-10-10 · Other · Disposed 69,894 · Balance 0 F1: These shares are held by the Trust. Reporting Person has sole voting, investment and dispositive power over the shares held by the Trust. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $15.40 | Direct | 0 |
Reported balance
After 2020-10-13 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2020-10-13 · Disposition to issuer · Disposed 19,755 · Balance 0 F4: Pursuant to the Merger Agreement, at the Effective Time, each stock option outstanding and unexercised immediately prior to the Effective Time vested in full, terminated and was converted into the right to receive a cash payment equal to the product of (i) the number of shares of common stock that were subject to such stock option immediately prior to the Effective Time and (ii) the excess, if any, of the Offer Price over the per share exercise price of such stock option. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $18.26 | Direct | 0 |
Reported balance
After 2020-10-13 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2020-10-13 · Disposition to issuer · Disposed 17,500 · Balance 0 F4: Pursuant to the Merger Agreement, at the Effective Time, each stock option outstanding and unexercised immediately prior to the Effective Time vested in full, terminated and was converted into the right to receive a cash payment equal to the product of (i) the number of shares of common stock that were subject to such stock option immediately prior to the Effective Time and (ii) the excess, if any, of the Offer Price over the per share exercise price of such stock option. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $32.79 | Direct | 0 |
Reported balance
After 2020-10-13 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2020-10-13 · Disposition to issuer · Disposed 7,500 · Balance 0 F4: Pursuant to the Merger Agreement, at the Effective Time, each stock option outstanding and unexercised immediately prior to the Effective Time vested in full, terminated and was converted into the right to receive a cash payment equal to the product of (i) the number of shares of common stock that were subject to such stock option immediately prior to the Effective Time and (ii) the excess, if any, of the Offer Price over the per share exercise price of such stock option. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $19.90 | Direct | 0 |
Reported balance
After 2020-10-13 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2020-10-13 · Disposition to issuer · Disposed 11,432 · Balance 0 F4: Pursuant to the Merger Agreement, at the Effective Time, each stock option outstanding and unexercised immediately prior to the Effective Time vested in full, terminated and was converted into the right to receive a cash payment equal to the product of (i) the number of shares of common stock that were subject to such stock option immediately prior to the Effective Time and (ii) the excess, if any, of the Offer Price over the per share exercise price of such stock option. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $17.11 | Direct | 0 |
Reported balance
After 2020-10-13 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2020-10-13 · Disposition to issuer · Disposed 15,398 · Balance 0 F4: Pursuant to the Merger Agreement, at the Effective Time, each stock option outstanding and unexercised immediately prior to the Effective Time vested in full, terminated and was converted into the right to receive a cash payment equal to the product of (i) the number of shares of common stock that were subject to such stock option immediately prior to the Effective Time and (ii) the excess, if any, of the Offer Price over the per share exercise price of such stock option. |
Filing footnotes · ownership attribution and instrument terms
F1: These shares are held by the Trust. Reporting Person has sole voting, investment and dispositive power over the shares held by the Trust.
F2: Disposed of to SPN MergerSub, Inc. ("Merger Sub"), which, pursuant to the Agreement and Plan of Merger, dated August 29, 2020, by and between the Issuer, Societes des Produits Nestle S.A., ("Nestle"), and Merger Sub (the "Merger Agreement"), commenced a tender offer to acquire any and all of the outstanding shares of the Issuer's common stock (other than those shares owned by Nestle and its affiliates) at a purchase price of $34.50 per share (the "Offer Price").
F3: Pursuant to the Merger Agreement, each Issuer restricted stock unit ("RSU") that was outstanding immediately prior to the date and time at which the Merger became effective (the "Effective Time") vested in full, terminated, and was converted into the right to receive a cash payment equal to (i) the Offer Price multiplied by (ii) the number of shares of common stock subject to the RSU.
F4: Pursuant to the Merger Agreement, at the Effective Time, each stock option outstanding and unexercised immediately prior to the Effective Time vested in full, terminated and was converted into the right to receive a cash payment equal to the product of (i) the number of shares of common stock that were subject to such stock option immediately prior to the Effective Time and (ii) the excess, if any, of the Offer Price over the per share exercise price of such stock option.
MEDIVATION, INC.
Report date September 28, 2016 · Filed September 30, 2016
Section 16 reporting ended · disclosed 2016-09-30. 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 2016-09-28 transaction · row 1
1 source rowRow 1 · 2016-09-28 · Other · Disposed 32,742 · Balance 0 F1: Disposed of pursuant to an Agreement and Plan of Merger (the "Merger Agreement"), dated August 20, 2016, among the Issuer, Pfizer Inc., a Delaware corporation ("Parent"), and Montreal, Inc., a Delaware corporation and a wholly-owned subsidiary of Parent ("Purchaser"), in exchange for a cash consideration of $81.50 per share (without interest) subject to any required withholding of taxes. Pursuant to the Merger Agreement, the Purchaser merged with and into the Issuer, with the Issuer surviving as a wholly-owned subsidiary of Parent (the "Merger"). In connection with the Merger, Purchaser offered to purchase all of the outstanding shares of common stock, par value $0.01 per share of the Issuer, at a price of $81.50 per share, net to the seller in cash (without interest) but subject to any required withholding of taxes, upon the terms and conditions set forth in the offer to purchase dated August 30, 2016, and in the related letter of transmittal. F2: Includes 2,972 unvested shares subject to a restricted stock award. |
| Common StockSEC Table I · non-derivative | IndirectBy Trust | 0 |
Reported balance
After 2016-09-28 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 2 · 2016-09-28 · Other · Disposed 50,000 · Balance 0 F1: Disposed of pursuant to an Agreement and Plan of Merger (the "Merger Agreement"), dated August 20, 2016, among the Issuer, Pfizer Inc., a Delaware corporation ("Parent"), and Montreal, Inc., a Delaware corporation and a wholly-owned subsidiary of Parent ("Purchaser"), in exchange for a cash consideration of $81.50 per share (without interest) subject to any required withholding of taxes. Pursuant to the Merger Agreement, the Purchaser merged with and into the Issuer, with the Issuer surviving as a wholly-owned subsidiary of Parent (the "Merger"). In connection with the Merger, Purchaser offered to purchase all of the outstanding shares of common stock, par value $0.01 per share of the Issuer, at a price of $81.50 per share, net to the seller in cash (without interest) but subject to any required withholding of taxes, upon the terms and conditions set forth in the offer to purchase dated August 30, 2016, and in the related letter of transmittal. |
| Non-Qualified Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $27.18 · Expires 2023-01-31 | Direct | 0 |
Reported balance
After 2016-09-28 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2016-09-28 · Disposition to issuer · Disposed 30,000 · Balance 0 F3: This option was cancelled in the Merger in exchange for a cash payment equal to $81.50 per share (without interest) subject to any required withholding of taxes minus the per share exercise price of the option. In connection with the Merger, vesting of the option was accelerated and the option became fully vested and exercisable effective immediately prior to the effective time of the Merger. |
| Non-Qualified Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $24.60 · Expires 2023-06-28 | Direct | 0 |
Reported balance
After 2016-09-28 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2016-09-28 · Disposition to issuer · Disposed 12,232 · Balance 0 F3: This option was cancelled in the Merger in exchange for a cash payment equal to $81.50 per share (without interest) subject to any required withholding of taxes minus the per share exercise price of the option. In connection with the Merger, vesting of the option was accelerated and the option became fully vested and exercisable effective immediately prior to the effective time of the Merger. |
| Non-Qualified Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $38.89 · Expires 2024-06-27 | Direct | 0 |
Reported balance
After 2016-09-28 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2016-09-28 · Disposition to issuer · Disposed 9,584 · Balance 0 F3: This option was cancelled in the Merger in exchange for a cash payment equal to $81.50 per share (without interest) subject to any required withholding of taxes minus the per share exercise price of the option. In connection with the Merger, vesting of the option was accelerated and the option became fully vested and exercisable effective immediately prior to the effective time of the Merger. |
| Non-Qualified Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $55.45 · Expires 2025-06-16 | Direct | 0 |
Reported balance
After 2016-09-28 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2016-09-28 · Disposition to issuer · Disposed 6,284 · Balance 0 F3: This option was cancelled in the Merger in exchange for a cash payment equal to $81.50 per share (without interest) subject to any required withholding of taxes minus the per share exercise price of the option. In connection with the Merger, vesting of the option was accelerated and the option became fully vested and exercisable effective immediately prior to the effective time of the Merger. |
| Non-Qualified Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $58.89 · Expires 2026-06-22 | Direct | 0 |
Reported balance
After 2016-09-28 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2016-09-28 · Disposition to issuer · Disposed 6,228 · Balance 0 F3: This option was cancelled in the Merger in exchange for a cash payment equal to $81.50 per share (without interest) subject to any required withholding of taxes minus the per share exercise price of the option. In connection with the Merger, vesting of the option was accelerated and the option became fully vested and exercisable effective immediately prior to the effective time of the Merger. |
Filing footnotes · ownership attribution and instrument terms
F1: Disposed of pursuant to an Agreement and Plan of Merger (the "Merger Agreement"), dated August 20, 2016, among the Issuer, Pfizer Inc., a Delaware corporation ("Parent"), and Montreal, Inc., a Delaware corporation and a wholly-owned subsidiary of Parent ("Purchaser"), in exchange for a cash consideration of $81.50 per share (without interest) subject to any required withholding of taxes. Pursuant to the Merger Agreement, the Purchaser merged with and into the Issuer, with the Issuer surviving as a wholly-owned subsidiary of Parent (the "Merger"). In connection with the Merger, Purchaser offered to purchase all of the outstanding shares of common stock, par value $0.01 per share of the Issuer, at a price of $81.50 per share, net to the seller in cash (without interest) but subject to any required withholding of taxes, upon the terms and conditions set forth in the offer to purchase dated August 30, 2016, and in the related letter of transmittal.
F2: Includes 2,972 unvested shares subject to a restricted stock award.
F3: This option was cancelled in the Merger in exchange for a cash payment equal to $81.50 per share (without interest) subject to any required withholding of taxes minus the per share exercise price of the option. In connection with the Merger, vesting of the option was accelerated and the option became fully vested and exercisable effective immediately prior to the effective time of the Merger.
Trade Desk, Inc.
Report date March 23, 2026 · Filed March 26, 2026
Section 16 reporting ended · disclosed 2026-03-26. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | Direct | 0 |
Ending reported balance
After 2026-03-23 transaction · row 4
4 source rows · reconciled sequenceRow 1 · 2026-03-23 · Disposition to issuer · Disposed 1,226 · Balance 720 F1: The related shares were represented by restricted stock awards previously granted to the Reporting Person on May 27, 2025 pursuant to the Issuer's Non-Employee Director Compensation Policy as an annual director equity award that were subject to vesting based on the Reporting Person's service as a member of the board of directors. F2: In connection with the Reporting Person's resignation from the Issuer's board of directors, the unvested restricted stock awards were forfeited. Row 2 · 2026-03-23 · Disposition to issuer · Disposed 212 · Balance 508 F2: In connection with the Reporting Person's resignation from the Issuer's board of directors, the unvested restricted stock awards were forfeited. F3: The related shares were represented by restricted stock awards previously granted to the Reporting Person on May 27, 2025 pursuant to the Issuer's Non-Employee Director Compensation Policy in lieu of director retainer and meetings fees that were subject to vesting based on the Reporting Person's service as a member of the board of directors. F4: This price represents the average closing stock price for a share of the Issuer's Class A Common Stock for forty-five consecutive trading days ending on, and including, the grant date. This price was used to calculate the number of restricted stock awards granted. Row 3 · 2026-03-23 · Disposition to issuer · Disposed 296 · Balance 212 F2: In connection with the Reporting Person's resignation from the Issuer's board of directors, the unvested restricted stock awards were forfeited. F5: The related shares were represented by restricted stock awards previously granted to the Reporting Person on May 27, 2025 pursuant to the Issuer's Non-Employee Director Compensation Policy in lieu of director retainer and meetings fees that were subject to vesting based on the Reporting Person's service as a member of the audit committee. F4: This price represents the average closing stock price for a share of the Issuer's Class A Common Stock for forty-five consecutive trading days ending on, and including, the grant date. This price was used to calculate the number of restricted stock awards granted. Row 4 · 2026-03-23 · Disposition to issuer · Disposed 212 · Balance 0 F2: In connection with the Reporting Person's resignation from the Issuer's board of directors, the unvested restricted stock awards were forfeited. F6: The related shares were represented by restricted stock awards previously granted to the Reporting Person on May 27, 2025 pursuant to the Issuer's Non-Employee Director Compensation Policy in lieu of director retainer and meetings fees that were subject to vesting based on the Reporting Person's service as a member of the compensation committee. F4: This price represents the average closing stock price for a share of the Issuer's Class A Common Stock for forty-five consecutive trading days ending on, and including, the grant date. This price was used to calculate the number of restricted stock awards granted. |
Filing footnotes · ownership attribution and instrument terms
F1: The related shares were represented by restricted stock awards previously granted to the Reporting Person on May 27, 2025 pursuant to the Issuer's Non-Employee Director Compensation Policy as an annual director equity award that were subject to vesting based on the Reporting Person's service as a member of the board of directors.
F2: In connection with the Reporting Person's resignation from the Issuer's board of directors, the unvested restricted stock awards were forfeited.
F3: The related shares were represented by restricted stock awards previously granted to the Reporting Person on May 27, 2025 pursuant to the Issuer's Non-Employee Director Compensation Policy in lieu of director retainer and meetings fees that were subject to vesting based on the Reporting Person's service as a member of the board of directors.
F4: This price represents the average closing stock price for a share of the Issuer's Class A Common Stock for forty-five consecutive trading days ending on, and including, the grant date. This price was used to calculate the number of restricted stock awards granted.
F5: The related shares were represented by restricted stock awards previously granted to the Reporting Person on May 27, 2025 pursuant to the Issuer's Non-Employee Director Compensation Policy in lieu of director retainer and meetings fees that were subject to vesting based on the Reporting Person's service as a member of the audit committee.
F6: The related shares were represented by restricted stock awards previously granted to the Reporting Person on May 27, 2025 pursuant to the Issuer's Non-Employee Director Compensation Policy in lieu of director retainer and meetings fees that were subject to vesting based on the Reporting Person's service as a member of the compensation committee.
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 |
|---|---|---|---|---|---|---|
| May 16, 2022 Filed Jun 28, 2022 23:09 UTC Amendment | Nuvation Bio Inc. NUVB · Entity 4384 | GrantStock Option (Right to Buy) · Derivative | 140,713 | $0.00 Strike: $4.05 | $0.00 |
DisclosureSEC source: 0001209191-22-039678 · doc4a.xml · derivative · entry 1 FALBERG KATHRYN E · CIK 0001206977 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 140,713 Underlying: Class A Common Stock · 140,713 shares Expires 2032-05-15 F1 · derivative.exercise_date: 100% of the shares subject to the option shall vest on the earlier of: (i) the one-year anniversary of the grant date (May 16, 2023); or (ii) the next shareholder annual meeting, subject to the Reporting Person's continuous service through such applicable vesting date. Read SEC document |
| November 19, 2021 Filed Nov 23, 2021 23:46 UTC | Trade Desk, Inc. TTD · Entity 3752 | SaleClass A Common Stock | 250 | $110.44 | $27,610.00 |
DisclosureSEC source: 0001209191-21-066629 · doc4.xml · nonDerivative · entry 4 FALBERG KATHRYN E · CIK 0001206977 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Family Trust Disclosed balance after: 50,000 F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $110.42 to $110.46, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Read SEC document |
| November 19, 2021 Filed Nov 23, 2021 23:46 UTC | Trade Desk, Inc. TTD · Entity 3752 | SaleClass A Common Stock | 21,468 | $109.98 | $2,361,050.64 |
DisclosureSEC source: 0001209191-21-066629 · doc4.xml · nonDerivative · entry 3 FALBERG KATHRYN E · CIK 0001206977 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Family Trust Disclosed balance after: 50,250 F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $109.42 to $110.40, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Read SEC document |
| November 19, 2021 Filed Nov 23, 2021 23:46 UTC | Trade Desk, Inc. TTD · Entity 3752 | SaleClass A Common Stock | 47,719 | $108.90 | $5,196,599.10 |
DisclosureSEC source: 0001209191-21-066629 · doc4.xml · nonDerivative · entry 2 FALBERG KATHRYN E · CIK 0001206977 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Family Trust Disclosed balance after: 71,718 F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $108.42 to $109.41, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Read SEC document |
| November 19, 2021 Filed Nov 23, 2021 23:46 UTC | Trade Desk, Inc. TTD · Entity 3752 | SaleClass A Common Stock | 80,563 | $108.03 | $8,703,220.89 |
DisclosureSEC source: 0001209191-21-066629 · doc4.xml · nonDerivative · entry 1 FALBERG KATHRYN E · CIK 0001206977 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Family Trust Disclosed balance after: 119,437 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $107.42 to $108.41, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. F2 · balance_after: On June 16, 2021, the Issuer effected a 10-for-1 stock split of its common stock resulting in the reporting person's ownership of 180,000 additional shares of common stock. Read SEC document |
| October 29, 2021 Filed Nov 3, 2021 01:29 UTC | Nuvation Bio Inc. NUVB · Entity 4384 | GrantStock Option (Right to Buy) · Derivative | 45,229 | $0.00 Strike: $9.17 | $0.00 |
DisclosureSEC source: 0001209191-21-062586 · doc4.xml · derivative · entry 1 FALBERG KATHRYN E · CIK 0001206977 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,229 Underlying: Class A Common Stock · 45,229 shares Expires 2031-10-28 F1 · derivative.exercise_date: 100% of the shares subject to the option shall vest on the earlier of: (i) the one-year anniversary of the grant date (October 29, 2022); or (ii) the next shareholder annual meeting, subject to the Reporting Person's continuous service through such applicable vesting date. Read SEC document |
| June 10, 2021 Filed Jun 11, 2021 17:09 UTC | Tricida, Inc. TCDA · Entity 122050 | GrantStock Option (right to buy) · Derivative | 57,235 | $0.00 Strike: $4.92 | $0.00 |
DisclosureSEC source: 0001595585-21-000077 · wf-form4_162344577105495.xml · derivative · entry 2 FALBERG KATHRYN E · CIK 0001206977 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,235 Underlying: Common Stock · 57,235 shares Expires 2031-06-09 F2 · derivative.exercise_date: Subject to the Reporting Person's continuous service to the Issuer as a non-employee director through each vesting date, this option vests ratably on a monthly basis, on the monthly anniversary of June 10, 2021 ("Option Date"), over the one-year period following the Option Date so that the option shall be 100% vested and exercisable on the one-year anniversary of the Option Date ("Vesting Date"); provided, however, if the Next Annual Meeting occurs prior to the Vesting Date, then the option shall vest in full immediately prior to the Next Annual Meeting. Read SEC document |
| June 10, 2021 Filed Jun 11, 2021 17:09 UTC | Tricida, Inc. TCDA · Entity 122050 | GrantCommon Stock | 16,403 | $0.00 | $0.00 |
DisclosureSEC source: 0001595585-21-000077 · wf-form4_162344577105495.xml · nonDerivative · entry 1 FALBERG KATHRYN E · CIK 0001206977 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,163 F1 · shares: Represents restricted stock units ("RSUs") that vest on the earlier of (i) the one-year anniversary of June 10, 2021 (the "Grant Date") and (ii) the Issuer's next regularly scheduled annual meeting of stockholders that occurs following the Grant Date (the "Next Annual Meeting"), subject to the Reporting Person's continuous service as a non-employee director through such vesting date. Each RSU represents a contingent right to receive one share of Common Stock. Read SEC document |
| June 07, 2021 Filed Jun 9, 2021 17:43 UTC | UroGen Pharma Ltd. URGN · Entity 4466 | GrantStock Option (right to buy) · Derivative | 10,000 | $0.00 Strike: $17.98 | $0.00 |
DisclosureSEC source: 0001209191-21-039134 · doc4.xml · derivative · entry 1 FALBERG KATHRYN E · CIK 0001206977 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Underlying: Common Stock · 10,000 shares Expires 2031-06-06 F1 · derivative.exercise_date: The shares underlying the stock option will vest in equal quarterly installments over a period of one year. Read SEC document |
| June 03, 2021 Filed Jun 7, 2021 20:34 UTC | Arcus Biosciences, Inc. RCUS · Entity 4104 | GrantStock Option (Right to Buy) · Derivative | 14,100 | $0.00 Strike: $24.79 | $0.00 |
DisclosureSEC source: 0001209191-21-038616 · doc4.xml · derivative · entry 3 FALBERG KATHRYN E · CIK 0001206977 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,100 Underlying: Common Stock · 14,100 shares Expires 2031-06-02 F3 · derivative.exercise_date: The option will vest in full on the earlier of (i) 12 months following the date of grant or (ii) the date of the next annual stockholder meeting following the grant. The option becomes fully vested and exercisable in the event the Company is subject to a change in control. Read SEC document |
| June 03, 2021 Filed Jun 7, 2021 20:34 UTC | Arcus Biosciences, Inc. RCUS · Entity 4104 | GrantCommon Stock | 3,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-038616 · doc4.xml · nonDerivative · entry 1 FALBERG KATHRYN E · CIK 0001206977 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 86,504 F1 · shares: Represents the grant of restricted stock units that vest 100% on the earlier of June 3, 2022 or the next annual meeting of the stockholders of the issuer. The RSUs will become fully vested in the event the Company is subject to a change in control. F2 · balance_after: Includes 3,000 shares of restricted stock units (previously reported) that vested on June 3, 2021. Read SEC document |
| May 27, 2021 Filed Jun 2, 2021 00:11 UTC | Trade Desk, Inc. TTD · Entity 3752 | GrantClass A Common Stock | 7 | $639.65 | $4,477.55 |
DisclosureSEC source: 0001209191-21-036982 · doc4.xml · nonDerivative · entry 4 FALBERG KATHRYN E · CIK 0001206977 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,141 F7 · shares: Grant of restricted stock award under the Issuer's 2016 Equity Incentive Plan. The shares vest in four equal installments at the earlier of, for each such installment, (i) the date of the Issuer's applicable regularly scheduled quarterly Corporate Board meeting for the next four quarters from the date of grant or (ii) the date of each of the next four corresponding quarterly anniversaries of the date of grant, provided all then unvested shares shall vest in full on the date of the Issuer's next annual meeting of stockholders, all subject to the Reporting Person's continuous service as a member of the nominating and corporate governance committee immediately prior to such date. F4 · price: This price represents the average closing stock price for a share of the Issuer's Class A Common Stock for forty-five consecutive trading days ending on, and including, the grant date. This price was used to calculate the number of restricted stock awards granted. F8 · price: This restricted stock award was issued to the Reporting Person pursuant to the Issuer's Non-Employee Director Compensation Policy in lieu of director retainer and meeting fees of $5,000. Read SEC document |
| May 27, 2021 Filed Jun 2, 2021 00:11 UTC | Trade Desk, Inc. TTD · Entity 3752 | GrantClass A Common Stock | 25 | $639.65 | $15,991.25 |
DisclosureSEC source: 0001209191-21-036982 · doc4.xml · nonDerivative · entry 3 FALBERG KATHRYN E · CIK 0001206977 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,134 F5 · shares: Grant of restricted stock award under the Issuer's 2016 Equity Incentive Plan. The shares vest in four equal installments at the earlier of, for each such installment, (i) the date of the Issuer's applicable regularly scheduled quarterly Corporate Board meeting for the next four quarters from the date of grant or (ii) the date of each of the next four corresponding quarterly anniversaries of the date of grant, provided all then unvested shares shall vest in full on the date of the Issuer's next annual meeting of stockholders, all subject to the Reporting Person's continuous service as a member of the compensation committee immediately prior to such date. F4 · price: This price represents the average closing stock price for a share of the Issuer's Class A Common Stock for forty-five consecutive trading days ending on, and including, the grant date. This price was used to calculate the number of restricted stock awards granted. F6 · price: This restricted stock award was issued to the Reporting Person pursuant to the Issuer's Non-Employee Director Compensation Policy in lieu of director retainer and meeting fees of $16,000. Read SEC document |
| May 27, 2021 Filed Jun 2, 2021 00:11 UTC | Trade Desk, Inc. TTD · Entity 3752 | GrantClass A Common Stock | 78 | $639.65 | $49,892.70 |
DisclosureSEC source: 0001209191-21-036982 · doc4.xml · nonDerivative · entry 2 FALBERG KATHRYN E · CIK 0001206977 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,109 F1 · shares: Grant of restricted stock award under the Issuer's 2016 Equity Incentive Plan. The shares vest in four equal installments at the earlier of, for each such installment, (i) the date of the Issuer's applicable regularly scheduled quarterly Corporate Board meeting for the next four quarters from the date of grant or (ii) the date of each of the next four corresponding quarterly anniversaries of the date of grant, provided all then unvested shares shall vest in full on the date of the Issuer's next annual meeting of stockholders, all subject to the Reporting Person's continuous service as a member of the board of directors immediately prior to such date. F3 · price: This restricted stock award was issued to the Reporting Person pursuant to the Issuer's Non-Employee Director Compensation Policy in lieu of director retainer and meeting fees of $50,000. F4 · price: This price represents the average closing stock price for a share of the Issuer's Class A Common Stock for forty-five consecutive trading days ending on, and including, the grant date. This price was used to calculate the number of restricted stock awards granted. Read SEC document |
| May 27, 2021 Filed Jun 2, 2021 00:11 UTC | Trade Desk, Inc. TTD · Entity 3752 | GrantClass A Common Stock | 390 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-036982 · doc4.xml · nonDerivative · entry 1 FALBERG KATHRYN E · CIK 0001206977 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,031 F1 · shares: Grant of restricted stock award under the Issuer's 2016 Equity Incentive Plan. The shares vest in four equal installments at the earlier of, for each such installment, (i) the date of the Issuer's applicable regularly scheduled quarterly Corporate Board meeting for the next four quarters from the date of grant or (ii) the date of each of the next four corresponding quarterly anniversaries of the date of grant, provided all then unvested shares shall vest in full on the date of the Issuer's next annual meeting of stockholders, all subject to the Reporting Person's continuous service as a member of the board of directors immediately prior to such date. F2 · price: This restricted stock award was issued to the Reporting Person pursuant to the Issuer's Non-Employee Director Compensation Policy as an annual director equity grant. Read SEC document |
| March 31, 2021 Filed Apr 2, 2021 15:38 UTC | Arcus Biosciences, Inc. RCUS · Entity 4104 | PurchaseCommon Stock | 20,000 | $28.35 | $566,996.00 |
DisclosureSEC source: 0001209191-21-024405 · doc4.xml · nonDerivative · entry 1 FALBERG KATHRYN E · CIK 0001206977 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 102,106 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $27.96 to $28.58, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote. Read SEC document |
| February 10, 2021 Filed Feb 12, 2021 22:55 UTC | Nuvation Bio Inc. NUVB · Entity 4384 | GrantStock Option (Right to Buy) · Derivative | 239,361 | Not disclosed Strike: $4.60 | Not disclosed |
DisclosureSEC source: 0001209191-21-010360 · doc4.xml · derivative · entry 1 FALBERG KATHRYN E · CIK 0001206977 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 239,361 Underlying: Class A Common Stock · 239,361 shares Expires 2030-10-04 F1 · kind: Received pursuant to the Agreement and Plan of Merger, dated as of October 20, 2020, by and among Panacea Acquisition Corp. ("Panacea") and Panacea Merger Subsidiary Corp., a direct, wholly-owned subsidiary of Panacea ("Merger Sub"), and Nuvation Bio Inc. ("Legacy Nuvation") pursuant to which, as a result of a merger between Legacy Nuvation and Merger Sub, Legacy Nuvation became a direct, wholly-owned subsidiary of Panacea, which subsequently changed its name to Nuvation Bio Inc. (the "Issuer"). F3 · price: Received in exchange for an option to purchase 239,022 shares of Legacy Nuvation Class A Common Stock. F2 · derivative.exercise_date: Options vest in 48 equal monthly installments from October 12, 2020. Read SEC document |
| November 19, 2020 Filed Nov 23, 2020 22:34 UTC | Trade Desk, Inc. TTD · Entity 3752 | ConversionClass B Common Stock · Derivative | 20,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-060016 · doc4.xml · derivative · entry 19 FALBERG KATHRYN E · CIK 0001206977 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 20,000 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F11 · derivative.exercise_date: Each share of Class B Common Stock has no expiration date and is convertible for no additional consideration into one (1) share of Class A Common Stock at the option of the holder thereof at any time and upon certain other circumstances. F11 · derivative.expiration_date: Each share of Class B Common Stock has no expiration date and is convertible for no additional consideration into one (1) share of Class A Common Stock at the option of the holder thereof at any time and upon certain other circumstances. Read SEC document |
| November 19, 2020 Filed Nov 23, 2020 22:34 UTC | Trade Desk, Inc. TTD · Entity 3752 | Exercise / conversionClass B Common Stock · Derivative | 20,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-060016 · doc4.xml · derivative · entry 18 FALBERG KATHRYN E · CIK 0001206977 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Class A Common Stock · 20,000 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F11 · derivative.exercise_date: Each share of Class B Common Stock has no expiration date and is convertible for no additional consideration into one (1) share of Class A Common Stock at the option of the holder thereof at any time and upon certain other circumstances. F11 · derivative.expiration_date: Each share of Class B Common Stock has no expiration date and is convertible for no additional consideration into one (1) share of Class A Common Stock at the option of the holder thereof at any time and upon certain other circumstances. Read SEC document |
| November 19, 2020 Filed Nov 23, 2020 22:34 UTC | Trade Desk, Inc. TTD · Entity 3752 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 20,000 | $0.00 Strike: $18.03 | $0.00 |
DisclosureSEC source: 0001209191-20-060016 · doc4.xml · derivative · entry 17 FALBERG KATHRYN E · CIK 0001206977 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,303 Underlying: Class B Common Stock · 20,000 shares Expires 2026-08-02 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. F10 · derivative.exercise_date: The option was granted on August 3, 2016 (the "Grant Date"). One-fourth (1/4th) of the shares subject to the option vest on the first anniversary of the Grant Date, with one forty-eighth (1/48th ) of the shares subject to the original grant vesting on each monthly anniversary thereafter, subject to continued service as a director of the Issuer through the applicable vesting dates. Read SEC document |
| November 19, 2020 Filed Nov 23, 2020 22:34 UTC | Trade Desk, Inc. TTD · Entity 3752 | SaleClass A Common Stock | 629 | $822.00 | $517,038.00 |
DisclosureSEC source: 0001209191-20-060016 · doc4.xml · nonDerivative · entry 14 FALBERG KATHRYN E · CIK 0001206977 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,641 Read SEC document |
| November 19, 2020 Filed Nov 23, 2020 22:34 UTC | Trade Desk, Inc. TTD · Entity 3752 | SaleClass A Common Stock | 13 | $820.00 | $10,660.00 |
DisclosureSEC source: 0001209191-20-060016 · doc4.xml · nonDerivative · entry 13 FALBERG KATHRYN E · CIK 0001206977 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,270 Read SEC document |
| November 19, 2020 Filed Nov 23, 2020 22:34 UTC | Trade Desk, Inc. TTD · Entity 3752 | SaleClass A Common Stock | 825 | $819.06 | $675,724.50 |
DisclosureSEC source: 0001209191-20-060016 · doc4.xml · nonDerivative · entry 12 FALBERG KATHRYN E · CIK 0001206977 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,283 F9 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $819.00 to $819.21, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Read SEC document |
| November 19, 2020 Filed Nov 23, 2020 22:34 UTC | Trade Desk, Inc. TTD · Entity 3752 | SaleClass A Common Stock | 4,139 | $818.15 | $3,386,322.85 |
DisclosureSEC source: 0001209191-20-060016 · doc4.xml · nonDerivative · entry 11 FALBERG KATHRYN E · CIK 0001206977 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,108 F8 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $818.00 to $818.94, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Read SEC document |
| November 19, 2020 Filed Nov 23, 2020 22:34 UTC | Trade Desk, Inc. TTD · Entity 3752 | SaleClass A Common Stock | 1,891 | $815.00 | $1,541,165.00 |
DisclosureSEC source: 0001209191-20-060016 · doc4.xml · nonDerivative · entry 10 FALBERG KATHRYN E · CIK 0001206977 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,247 Read SEC document |
| November 19, 2020 Filed Nov 23, 2020 22:34 UTC | Trade Desk, Inc. TTD · Entity 3752 | SaleClass A Common Stock | 10 | $814.00 | $8,140.00 |
DisclosureSEC source: 0001209191-20-060016 · doc4.xml · nonDerivative · entry 9 FALBERG KATHRYN E · CIK 0001206977 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,138 Read SEC document |
| November 19, 2020 Filed Nov 23, 2020 22:34 UTC | Trade Desk, Inc. TTD · Entity 3752 | SaleClass A Common Stock | 891 | $813.04 | $724,418.64 |
DisclosureSEC source: 0001209191-20-060016 · doc4.xml · nonDerivative · entry 8 FALBERG KATHRYN E · CIK 0001206977 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,148 F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $813.00 to $813.40, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Read SEC document |
| November 19, 2020 Filed Nov 23, 2020 22:34 UTC | Trade Desk, Inc. TTD · Entity 3752 | SaleClass A Common Stock | 200 | $811.68 | $162,336.00 |
DisclosureSEC source: 0001209191-20-060016 · doc4.xml · nonDerivative · entry 7 FALBERG KATHRYN E · CIK 0001206977 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,039 F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $811.62 to $811.74, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Read SEC document |
| November 19, 2020 Filed Nov 23, 2020 22:34 UTC | Trade Desk, Inc. TTD · Entity 3752 | SaleClass A Common Stock | 5,670 | $811.00 | $4,598,370.00 |
DisclosureSEC source: 0001209191-20-060016 · doc4.xml · nonDerivative · entry 6 FALBERG KATHRYN E · CIK 0001206977 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,239 F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $810.56 to $811.37, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Read SEC document |
| November 19, 2020 Filed Nov 23, 2020 22:34 UTC | Trade Desk, Inc. TTD · Entity 3752 | SaleClass A Common Stock | 2,852 | $810.19 | $2,310,661.88 |
DisclosureSEC source: 0001209191-20-060016 · doc4.xml · nonDerivative · entry 5 FALBERG KATHRYN E · CIK 0001206977 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,909 F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $809.55 to $810.54, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Read SEC document |
| November 19, 2020 Filed Nov 23, 2020 22:34 UTC | Trade Desk, Inc. TTD · Entity 3752 | SaleClass A Common Stock | 1,853 | $809.03 | $1,499,132.59 |
DisclosureSEC source: 0001209191-20-060016 · doc4.xml · nonDerivative · entry 4 FALBERG KATHRYN E · CIK 0001206977 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,761 F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $808.55 to $809.54, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Read SEC document |
| November 19, 2020 Filed Nov 23, 2020 22:34 UTC | Trade Desk, Inc. TTD · Entity 3752 | SaleClass A Common Stock | 795 | $807.84 | $642,232.80 |
DisclosureSEC source: 0001209191-20-060016 · doc4.xml · nonDerivative · entry 3 FALBERG KATHRYN E · CIK 0001206977 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,614 F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $807.26 to $808.24, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Read SEC document |
| November 19, 2020 Filed Nov 23, 2020 22:34 UTC | Trade Desk, Inc. TTD · Entity 3752 | SaleClass A Common Stock | 232 | $806.63 | $187,138.16 |
DisclosureSEC source: 0001209191-20-060016 · doc4.xml · nonDerivative · entry 2 FALBERG KATHRYN E · CIK 0001206977 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,409 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $806.22 to $807.14, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Read SEC document |
| November 19, 2020 Filed Nov 23, 2020 22:34 UTC | Trade Desk, Inc. TTD · Entity 3752 | ConversionClass A Common Stock | 20,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-060016 · doc4.xml · nonDerivative · entry 1 FALBERG KATHRYN E · CIK 0001206977 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,641 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| October 13, 2020 Filed Oct 14, 2020 16:15 UTC | Aimmune Therapeutics, Inc. AIMT · Entity 145931 | Disposition to issuerStock Option (right to buy) · Derivative | 15,398 | $17.39 Strike: $17.11 | $267,771.22 |
DisclosureSEC source: 0000899243-20-028172 · doc4.xml · derivative · entry 8 FALBERG KATHRYN E · CIK 0001206977 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 15,398 shares Expires not disclosed F4 · derivative.exercise_date: Pursuant to the Merger Agreement, at the Effective Time, each stock option outstanding and unexercised immediately prior to the Effective Time vested in full, terminated and was converted into the right to receive a cash payment equal to the product of (i) the number of shares of common stock that were subject to such stock option immediately prior to the Effective Time and (ii) the excess, if any, of the Offer Price over the per share exercise price of such stock option. F4 · derivative.expiration_date: Pursuant to the Merger Agreement, at the Effective Time, each stock option outstanding and unexercised immediately prior to the Effective Time vested in full, terminated and was converted into the right to receive a cash payment equal to the product of (i) the number of shares of common stock that were subject to such stock option immediately prior to the Effective Time and (ii) the excess, if any, of the Offer Price over the per share exercise price of such stock option. Read SEC document |
| October 13, 2020 Filed Oct 14, 2020 16:15 UTC | Aimmune Therapeutics, Inc. AIMT · Entity 145931 | Disposition to issuerStock Option (right to buy) · Derivative | 11,432 | $14.60 Strike: $19.90 | $166,907.20 |
DisclosureSEC source: 0000899243-20-028172 · doc4.xml · derivative · entry 7 FALBERG KATHRYN E · CIK 0001206977 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 11,432 shares Expires not disclosed F4 · derivative.exercise_date: Pursuant to the Merger Agreement, at the Effective Time, each stock option outstanding and unexercised immediately prior to the Effective Time vested in full, terminated and was converted into the right to receive a cash payment equal to the product of (i) the number of shares of common stock that were subject to such stock option immediately prior to the Effective Time and (ii) the excess, if any, of the Offer Price over the per share exercise price of such stock option. F4 · derivative.expiration_date: Pursuant to the Merger Agreement, at the Effective Time, each stock option outstanding and unexercised immediately prior to the Effective Time vested in full, terminated and was converted into the right to receive a cash payment equal to the product of (i) the number of shares of common stock that were subject to such stock option immediately prior to the Effective Time and (ii) the excess, if any, of the Offer Price over the per share exercise price of such stock option. Read SEC document |
| October 13, 2020 Filed Oct 14, 2020 16:15 UTC | Aimmune Therapeutics, Inc. AIMT · Entity 145931 | Disposition to issuerStock Option (right to buy) · Derivative | 7,500 | $1.71 Strike: $32.79 | $12,825.00 |
DisclosureSEC source: 0000899243-20-028172 · doc4.xml · derivative · entry 6 FALBERG KATHRYN E · CIK 0001206977 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 7,500 shares Expires not disclosed F4 · derivative.exercise_date: Pursuant to the Merger Agreement, at the Effective Time, each stock option outstanding and unexercised immediately prior to the Effective Time vested in full, terminated and was converted into the right to receive a cash payment equal to the product of (i) the number of shares of common stock that were subject to such stock option immediately prior to the Effective Time and (ii) the excess, if any, of the Offer Price over the per share exercise price of such stock option. F4 · derivative.expiration_date: Pursuant to the Merger Agreement, at the Effective Time, each stock option outstanding and unexercised immediately prior to the Effective Time vested in full, terminated and was converted into the right to receive a cash payment equal to the product of (i) the number of shares of common stock that were subject to such stock option immediately prior to the Effective Time and (ii) the excess, if any, of the Offer Price over the per share exercise price of such stock option. Read SEC document |
| October 13, 2020 Filed Oct 14, 2020 16:15 UTC | Aimmune Therapeutics, Inc. AIMT · Entity 145931 | Disposition to issuerStock Option (right to buy) · Derivative | 17,500 | $16.24 Strike: $18.26 | $284,200.00 |
DisclosureSEC source: 0000899243-20-028172 · doc4.xml · derivative · entry 5 FALBERG KATHRYN E · CIK 0001206977 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 17,500 shares Expires not disclosed F4 · derivative.exercise_date: Pursuant to the Merger Agreement, at the Effective Time, each stock option outstanding and unexercised immediately prior to the Effective Time vested in full, terminated and was converted into the right to receive a cash payment equal to the product of (i) the number of shares of common stock that were subject to such stock option immediately prior to the Effective Time and (ii) the excess, if any, of the Offer Price over the per share exercise price of such stock option. F4 · derivative.expiration_date: Pursuant to the Merger Agreement, at the Effective Time, each stock option outstanding and unexercised immediately prior to the Effective Time vested in full, terminated and was converted into the right to receive a cash payment equal to the product of (i) the number of shares of common stock that were subject to such stock option immediately prior to the Effective Time and (ii) the excess, if any, of the Offer Price over the per share exercise price of such stock option. Read SEC document |
| October 13, 2020 Filed Oct 14, 2020 16:15 UTC | Aimmune Therapeutics, Inc. AIMT · Entity 145931 | Disposition to issuerStock Option (right to buy) · Derivative | 19,755 | $19.10 Strike: $15.40 | $377,320.50 |
DisclosureSEC source: 0000899243-20-028172 · doc4.xml · derivative · entry 4 FALBERG KATHRYN E · CIK 0001206977 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 19,755 shares Expires not disclosed F4 · derivative.exercise_date: Pursuant to the Merger Agreement, at the Effective Time, each stock option outstanding and unexercised immediately prior to the Effective Time vested in full, terminated and was converted into the right to receive a cash payment equal to the product of (i) the number of shares of common stock that were subject to such stock option immediately prior to the Effective Time and (ii) the excess, if any, of the Offer Price over the per share exercise price of such stock option. F4 · derivative.expiration_date: Pursuant to the Merger Agreement, at the Effective Time, each stock option outstanding and unexercised immediately prior to the Effective Time vested in full, terminated and was converted into the right to receive a cash payment equal to the product of (i) the number of shares of common stock that were subject to such stock option immediately prior to the Effective Time and (ii) the excess, if any, of the Offer Price over the per share exercise price of such stock option. Read SEC document |
| October 13, 2020 Filed Oct 14, 2020 16:15 UTC | Aimmune Therapeutics, Inc. AIMT · Entity 145931 | Disposition to issuerCommon Stock, $0.0001 par value | 7,840 | $34.50 | $270,480.00 |
DisclosureSEC source: 0000899243-20-028172 · doc4.xml · nonDerivative · entry 3 FALBERG KATHRYN E · CIK 0001206977 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F2 · shares: Disposed of to SPN MergerSub, Inc. ("Merger Sub"), which, pursuant to the Agreement and Plan of Merger, dated August 29, 2020, by and between the Issuer, Societes des Produits Nestle S.A., ("Nestle"), and Merger Sub (the "Merger Agreement"), commenced a tender offer to acquire any and all of the outstanding shares of the Issuer's common stock (other than those shares owned by Nestle and its affiliates) at a purchase price of $34.50 per share (the "Offer Price"). F3 · shares: Pursuant to the Merger Agreement, each Issuer restricted stock unit ("RSU") that was outstanding immediately prior to the date and time at which the Merger became effective (the "Effective Time") vested in full, terminated, and was converted into the right to receive a cash payment equal to (i) the Offer Price multiplied by (ii) the number of shares of common stock subject to the RSU. Read SEC document |
| October 10, 2020 Filed Oct 14, 2020 16:15 UTC | Aimmune Therapeutics, Inc. AIMT · Entity 145931 | OtherCommon Stock, $0.0001 par value | 69,894 | $34.50 | $2,411,343.00 |
DisclosureSEC source: 0000899243-20-028172 · doc4.xml · nonDerivative · entry 2 FALBERG KATHRYN E · CIK 0001206977 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By: Trust Disclosed balance after: 0 F1 · ownership.nature: These shares are held by the Trust. Reporting Person has sole voting, investment and dispositive power over the shares held by the Trust. Read SEC document |
| October 10, 2020 Filed Oct 14, 2020 16:15 UTC | Aimmune Therapeutics, Inc. AIMT · Entity 145931 | OtherCommon Stock, $0.0001 par value | 65,192 | $34.50 | $2,249,124.00 |
DisclosureSEC source: 0000899243-20-028172 · doc4.xml · nonDerivative · entry 1 FALBERG KATHRYN E · CIK 0001206977 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Read SEC document |
| June 11, 2020 Filed Jun 15, 2020 19:41 UTC | Tricida, Inc. TCDA · Entity 122050 | GrantStock Option (right to buy) · Derivative | 22,967 | $0.00 Strike: $25.40 | $0.00 |
DisclosureSEC source: 0001595585-20-000085 · wf-form4_159226447475819.xml · derivative · entry 2 FALBERG KATHRYN E · CIK 0001206977 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,967 Underlying: Common Stock · 22,967 shares Expires 2030-06-10 F2 · derivative.exercise_date: Subject to the Reporting Person's continuous service to the Issuer as a non-employee director through each vesting date, this option vests ratably on a monthly basis, on the monthly anniversary of June 11, 2020 ("Option Date"), over the one-year period following the Option Date so that the option shall be 100% vested and exercisable on the one-year anniversary of the Option Date ("Vesting Date"); provided, however, if the Next Annual Meeting occurs prior to the Vesting Date, then the option shall vest in full immediately prior to the Next Annual Meeting. Read SEC document |
| June 11, 2020 Filed Jun 15, 2020 19:41 UTC | Tricida, Inc. TCDA · Entity 122050 | GrantCommon Stock | 5,670 | $0.00 | $0.00 |
DisclosureSEC source: 0001595585-20-000085 · wf-form4_159226447475819.xml · nonDerivative · entry 1 FALBERG KATHRYN E · CIK 0001206977 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,760 F1 · shares: Represents restricted stock units ("RSUs") that vest on the earlier of (i) the one-year anniversary of June 11, 2020 (the "Grant Date") and (ii) the Issuer's next regularly scheduled annual meeting of stockholders that occurs following the Grant Date (the "Next Annual Meeting"), subject to the Reporting Person's continuous service as a non-employee director through such vesting date. Each RSU represents a contingent right to receive one share of Common Stock. Read SEC document |
| June 08, 2020 Filed Jun 10, 2020 22:39 UTC | UroGen Pharma Ltd. URGN · Entity 4466 | GrantStock Option (right to buy) · Derivative | 10,000 | $0.00 Strike: $28.24 | $0.00 |
DisclosureSEC source: 0001209191-20-035679 · doc4.xml · derivative · entry 1 FALBERG KATHRYN E · CIK 0001206977 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Underlying: Ordinary Shares · 10,000 shares Expires 2030-06-07 F1 · derivative.exercise_date: The shares underlying the stock option will vest in equal quarterly installments over a period of one year. Read SEC document |
| June 04, 2020 Filed Jun 8, 2020 20:25 UTC | Arcus Biosciences, Inc. RCUS · Entity 4104 | GrantStock Option (Right to Buy) · Derivative | 14,000 | $0.00 Strike: $30.05 | $0.00 |
DisclosureSEC source: 0001209191-20-034977 · doc4.xml · derivative · entry 3 FALBERG KATHRYN E · CIK 0001206977 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,000 Underlying: Common Stock · 14,000 shares Expires 2030-06-03 F2 · derivative.exercise_date: The option will vest in full on the earlier of (i) 12 months following the date of grant or (ii) the date of the next annual stockholder meeting following the grant. The option becomes fully vested and exercisable in the event the Company is subject to a change in control. Read SEC document |
| June 04, 2020 Filed Jun 8, 2020 20:25 UTC | Arcus Biosciences, Inc. RCUS · Entity 4104 | GrantCommon Stock | 3,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-034977 · doc4.xml · nonDerivative · entry 1 FALBERG KATHRYN E · CIK 0001206977 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 83,504 F1 · shares: Represents the grant of restricted stock units that vest 100% on the earlier of June 4, 2021 or the next annual meeting of the stockholders of the issuer. The RSUs will become fully vested in the event the Company is subject to a change in control. Read SEC document |
| May 27, 2020 Filed May 29, 2020 19:15 UTC | Aimmune Therapeutics, Inc. AIMT · Entity 145931 | GrantStock Option (right to buy) · Derivative | 15,398 | $0.00 Strike: $17.11 | $0.00 |
DisclosureSEC source: 0000899243-20-014615 · doc4.xml · derivative · entry 3 FALBERG KATHRYN E · CIK 0001206977 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,398 Underlying: Common Stock · 15,398 shares Expires 2030-05-26 F3 · derivative.exercise_date: The shares subject to the option will vest and become exercisable as to 100% of the total number of shares subject to the option on the earlier of (i) the first anniversary of the grant date or (ii) the date of the 2021 Annual Meeting of the Issuer's stockholders, assuming continuous service as a director until such vesting date. Read SEC document |
| May 27, 2020 Filed May 29, 2020 19:15 UTC | Aimmune Therapeutics, Inc. AIMT · Entity 145931 | GrantCommon Stock, $0.0001 par value | 7,840 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-20-014615 · doc4.xml · nonDerivative · entry 1 FALBERG KATHRYN E · CIK 0001206977 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 73,032 F1 · shares: These shares represent restricted stock units ("RSUs") and will be settled in common stock upon vesting. The RSUs vest on the earlier of (i) the first anniversary of the grant date or (ii) the date of the 2021 Annual Meeting of the Issuer's stockholders, assuming continuous service as a director until such vesting date. Read SEC document |
| May 26, 2020 Filed May 29, 2020 00:26 UTC | Trade Desk, Inc. TTD · Entity 3752 | GrantClass A Common Stock | 20 | $249.66 | $4,993.20 |
DisclosureSEC source: 0001209191-20-032793 · doc4.xml · nonDerivative · entry 4 FALBERG KATHRYN E · CIK 0001206977 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,641 F7 · shares: Grant of restricted stock award under the Issuer's 2016 Equity Incentive Plan. The shares vest in four equal installments at the earlier of, for each such installment, (i) the date of the Issuer's applicable regularly scheduled quarterly Corporate Board meeting for the next four quarters from the date of grant or (ii) the date of each of the next four corresponding quarterly anniversaries of the date of grant, provided all then unvested shares shall vest in full on the date of the Issuer's next annual meeting of stockholders, all subject to the Reporting Person's continuous service as a member of the nominating and corporate governance committee immediately prior to such date. F4 · price: This price represents the average closing stock price for a share of the Issuer's Class A Common Stock for forty-five consecutive trading days ending on, and including, the grant date. This price was used to calculate the number of restricted stock awards granted. F8 · price: This restricted stock award was issued to the Reporting Person pursuant to the Issuer's Non-Employee Director Compensation Policy in lieu of director retainer and meeting fees of $5,000. 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.