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 26, 2020 Filed May 29, 2020 00:26 UTC | Trade Desk, Inc. TTD · Entity 3752 | GrantClass A Common Stock | 64 | $249.66 | $15,978.24 |
DisclosureSEC source: 0001209191-20-032793 · doc4.xml · nonDerivative · entry 3 FALBERG KATHRYN E · CIK 0001206977 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,621 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 26, 2020 Filed May 29, 2020 00:26 UTC | Trade Desk, Inc. TTD · Entity 3752 | GrantClass A Common Stock | 180 | $249.66 | $44,938.80 |
DisclosureSEC source: 0001209191-20-032793 · doc4.xml · nonDerivative · entry 2 FALBERG KATHRYN E · CIK 0001206977 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,557 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 $45,000. 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 26, 2020 Filed May 29, 2020 00:26 UTC | Trade Desk, Inc. TTD · Entity 3752 | GrantClass A Common Stock | 901 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-032793 · doc4.xml · nonDerivative · entry 1 FALBERG KATHRYN E · CIK 0001206977 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,377 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 |
| November 11, 2019 Filed Nov 13, 2019 22:24 UTC | Trade Desk, Inc. TTD · Entity 3752 | SaleClass A Common Stock | 19,500 | $206.95 | $4,035,565.95 |
DisclosureSEC source: 0001209191-19-056430 · doc4.xml · nonDerivative · entry 2 FALBERG KATHRYN E · CIK 0001206977 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 20,000 F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $206.75 to $207.45, 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 11, 2019 Filed Nov 13, 2019 22:24 UTC | Trade Desk, Inc. TTD · Entity 3752 | SaleClass A Common Stock | 10,286 | $207.08 | $2,130,018.71 |
DisclosureSEC source: 0001209191-19-056430 · doc4.xml · nonDerivative · entry 1 FALBERG KATHRYN E · CIK 0001206977 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,476 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $206.71 to $207.54, 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 |
| June 13, 2019 Filed Jun 14, 2019 18:24 UTC | Arcus Biosciences, Inc. RCUS · Entity 4104 | PurchaseCommon Stock | 12,935 | $8.52 | $110,151.87 |
DisclosureSEC source: 0001209191-19-037024 · doc4.xml · nonDerivative · entry 1 FALBERG KATHRYN E · CIK 0001206977 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 82,106 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $8.45 to $8.55, 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 |
| June 12, 2019 Filed Jun 14, 2019 00:01 UTC | Arcus Biosciences, Inc. RCUS · Entity 4104 | PurchaseCommon Stock | 10,000 | $8.49 | $84,928.00 |
DisclosureSEC source: 0001209191-19-036960 · doc4.xml · nonDerivative · entry 2 FALBERG KATHRYN E · CIK 0001206977 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 69,171 F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $8.39 to $8.50, 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 |
| June 11, 2019 Filed Jun 14, 2019 00:01 UTC | Arcus Biosciences, Inc. RCUS · Entity 4104 | PurchaseCommon Stock | 10,000 | $7.90 | $79,000.00 |
DisclosureSEC source: 0001209191-19-036960 · doc4.xml · nonDerivative · entry 1 FALBERG KATHRYN E · CIK 0001206977 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 59,171 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.85 to $7.95, 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 |
| June 10, 2019 Filed Jun 12, 2019 00:19 UTC | Arcus Biosciences, Inc. RCUS · Entity 4104 | PurchaseCommon Stock | 10,000 | $8.25 | $82,500.00 |
DisclosureSEC source: 0001209191-19-036275 · doc4.xml · nonDerivative · entry 2 FALBERG KATHRYN E · CIK 0001206977 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 49,171 Read SEC document |
| June 07, 2019 Filed Jun 12, 2019 00:19 UTC | Arcus Biosciences, Inc. RCUS · Entity 4104 | PurchaseCommon Stock | 22,065 | $7.99 | $176,297.14 |
DisclosureSEC source: 0001209191-19-036275 · doc4.xml · nonDerivative · entry 1 FALBERG KATHRYN E · CIK 0001206977 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 39,171 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.96 to $8.00, 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 |
| June 06, 2019 Filed Jun 10, 2019 19:04 UTC | Arcus Biosciences, Inc. RCUS · Entity 4104 | GrantStock Option (right to buy) · Derivative | 35,000 | $0.00 Strike: $7.99 | $0.00 |
DisclosureSEC source: 0001209191-19-035743 · doc4.xml · derivative · entry 1 FALBERG KATHRYN E · CIK 0001206977 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,000 Underlying: Common Stock · 35,000 shares Expires 2029-06-05 F1 · 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, 2019 Filed Jun 5, 2019 20:59 UTC | UroGen Pharma Ltd. URGN · Entity 4466 | GrantStock Option (Right to Buy) · Derivative | 10,000 | $0.00 Strike: $34.83 | $0.00 |
DisclosureSEC source: 0001209191-19-034790 · 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 2029-06-02 F1 · derivative.exercise_date: The shares underlying the stock option will vest in equal quarterly installments over a period of two years. Read SEC document |
| May 31, 2019 Filed Jun 4, 2019 20:28 UTC | Tricida, Inc. TCDA · Entity 122050 | GrantStock Option (right to buy) · Derivative | 7,068 | $0.00 Strike: $36.74 | $0.00 |
DisclosureSEC source: 0001595585-19-000105 · wf-form4_155969447599154.xml · derivative · entry 2 FALBERG KATHRYN E · CIK 0001206977 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,068 Underlying: Common Stock · 7,068 shares Expires 2029-05-31 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 May 31, 2019 ("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 |
| May 31, 2019 Filed Jun 4, 2019 20:28 UTC | Tricida, Inc. TCDA · Entity 122050 | GrantCommon Stock | 1,879 | $0.00 | $0.00 |
DisclosureSEC source: 0001595585-19-000105 · wf-form4_155969447599154.xml · nonDerivative · entry 1 FALBERG KATHRYN E · CIK 0001206977 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,090 F1 · shares: Represents restricted stock units ("RSUs") that vest on the earlier of (i) the one-year anniversary of May 31, 2019 (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 |
| May 23, 2019 Filed May 28, 2019 21:22 UTC | Aimmune Therapeutics, Inc. AIMT · Entity 145931 | GrantStock Option (right to buy) · Derivative | 11,432 | $0.00 Strike: $19.90 | $0.00 |
DisclosureSEC source: 0000899243-19-014969 · doc4.xml · derivative · entry 4 FALBERG KATHRYN E · CIK 0001206977 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,432 Underlying: Common Stock · 11,432 shares Expires 2029-05-23 F5 · 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 2020 Annual Meeting of the Issuer's stockholders, assuming continuous service as a director until such vesting date. Read SEC document |
| May 23, 2019 Filed May 28, 2019 21:22 UTC | Aimmune Therapeutics, Inc. AIMT · Entity 145931 | GrantCommon Stock, $0.0001 par value | 6,442 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-19-014969 · doc4.xml · nonDerivative · entry 3 FALBERG KATHRYN E · CIK 0001206977 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,192 F4 · 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 2020 Annual Meeting of the Issuer's stockholders, assuming continuous service as a director until such vesting date. F2 · balance_after: A portion of these shares is subject to a right of repurchase held by the Issuer. Read SEC document |
| April 30, 2019 Filed May 3, 2019 00:47 UTC | Trade Desk, Inc. TTD · Entity 3752 | GrantClass A Common Stock | 48 | $207.03 | $9,937.44 |
DisclosureSEC source: 0001209191-19-027145 · doc4.xml · nonDerivative · entry 5 FALBERG KATHRYN E · CIK 0001206977 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,762 F9 · 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 fifteen 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 $10,000. Read SEC document |
| April 30, 2019 Filed May 3, 2019 00:47 UTC | Trade Desk, Inc. TTD · Entity 3752 | GrantClass A Common Stock | 77 | $207.03 | $15,941.31 |
DisclosureSEC source: 0001209191-19-027145 · doc4.xml · nonDerivative · entry 4 FALBERG KATHRYN E · CIK 0001206977 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,714 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 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 fifteen 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 $16,000. Read SEC document |
| April 30, 2019 Filed May 3, 2019 00:47 UTC | Trade Desk, Inc. TTD · Entity 3752 | GrantClass A Common Stock | 48 | $207.03 | $9,937.44 |
DisclosureSEC source: 0001209191-19-027145 · doc4.xml · nonDerivative · entry 3 FALBERG KATHRYN E · CIK 0001206977 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,637 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 audit 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 fifteen 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 $10,000. Read SEC document |
| April 30, 2019 Filed May 3, 2019 00:47 UTC | Trade Desk, Inc. TTD · Entity 3752 | GrantClass A Common Stock | 217 | $207.03 | $44,925.51 |
DisclosureSEC source: 0001209191-19-027145 · doc4.xml · nonDerivative · entry 2 FALBERG KATHRYN E · CIK 0001206977 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,589 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 $45,000. F4 · price: This price represents the average closing stock price for a share of the Issuer's Class A Common Stock for fifteen 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 |
| April 30, 2019 Filed May 3, 2019 00:47 UTC | Trade Desk, Inc. TTD · Entity 3752 | GrantClass A Common Stock | 1,086 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-027145 · doc4.xml · nonDerivative · entry 1 FALBERG KATHRYN E · CIK 0001206977 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,372 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 11, 2019 Filed Mar 13, 2019 23:31 UTC | Trade Desk, Inc. TTD · Entity 3752 | SaleClass A Common Stock | 40,000 | $205.47 | $8,218,964.00 |
DisclosureSEC source: 0001209191-19-019253 · doc4.xml · nonDerivative · entry 1 FALBERG KATHRYN E · CIK 0001206977 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Family Trust Disclosed balance after: 20,000 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $205.27 to $206.015, 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 28, 2018 Filed Dec 1, 2018 00:52 UTC | Trade Desk, Inc. TTD · Entity 3752 | SaleClass A Common Stock | 20,000 | $134.83 | $2,696,692.00 |
DisclosureSEC source: 0001209191-18-060488 · doc4.xml · nonDerivative · entry 2 FALBERG KATHRYN E · CIK 0001206977 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Family Trust Disclosed balance after: 60,000 F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $134.63 to $135.165, 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 01, 2018 Filed May 28, 2019 21:22 UTC | Aimmune Therapeutics, Inc. AIMT · Entity 145931 | GiftCommon Stock, $0.0001 par value | 69,894 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-19-014969 · doc4.xml · nonDerivative · entry 2 FALBERG KATHRYN E · CIK 0001206977 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 69,894 F1 · kind: This transaction involved a gift of securities previously held directly by Kathryn E. Falberg ("Reporting Person"). Such shares were transferred from Reporting Person to Kathryn E. Falberg, Trustee U/A dtd 06/12/95 Kathryn E. Falberg Trust (the "Trust") on November 1, 2018. F3 · 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 |
| November 01, 2018 Filed May 28, 2019 21:22 UTC | Aimmune Therapeutics, Inc. AIMT · Entity 145931 | GiftCommon Stock, $0.0001 par value | 69,894 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-19-014969 · doc4.xml · nonDerivative · entry 1 FALBERG KATHRYN E · CIK 0001206977 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,750 F1 · kind: This transaction involved a gift of securities previously held directly by Kathryn E. Falberg ("Reporting Person"). Such shares were transferred from Reporting Person to Kathryn E. Falberg, Trustee U/A dtd 06/12/95 Kathryn E. Falberg Trust (the "Trust") on November 1, 2018. F2 · balance_after: A portion of these shares is subject to a right of repurchase held by the Issuer. Read SEC document |
| September 21, 2018 Filed Dec 1, 2018 00:52 UTC | Trade Desk, Inc. TTD · Entity 3752 | GiftClass A Common Stock | 500 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-060488 · doc4.xml · nonDerivative · entry 1 FALBERG KATHRYN E · CIK 0001206977 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,786 F1 · kind: Bona fide gift not for value of Class A Common Stock to a charity. Read SEC document |
| July 02, 2018 Filed Jul 2, 2018 21:02 UTC | Tricida, Inc. TCDA · Entity 122050 | GrantStock Option (right to buy) · Derivative | 13,147 | $0.00 Strike: $19.00 | $0.00 |
DisclosureSEC source: 0001140361-18-031055 · form4.xml · derivative · entry 3 FALBERG KATHRYN E · CIK 0001206977 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,147 Underlying: Common Stock · 13,147 shares Expires 2028-06-27 F2 · derivative.exercise_date: Subject to the Reporting Person's continuous service to the Issuer as a non-employee director through each vesting date, and subject to the Issuer's IPO closing on or before July 16, 2018, this option vests ratably on a monthly basis, on the monthly anniversary of June 27, 2018 ("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 |
| July 02, 2018 Filed Jul 2, 2018 21:02 UTC | Tricida, Inc. TCDA · Entity 122050 | GrantCommon Stock | 3,632 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-18-031055 · form4.xml · nonDerivative · entry 2 FALBERG KATHRYN E · CIK 0001206977 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,211 F1 · security: Represents restricted stock units ("RSUs") that, subject to the Issuer's initial public offering ("IPO") closing on or before July 16, 2018, vest on the earlier of (i) the one-year anniversary of June 27, 2018 (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. F1 · shares: Represents restricted stock units ("RSUs") that, subject to the Issuer's initial public offering ("IPO") closing on or before July 16, 2018, vest on the earlier of (i) the one-year anniversary of June 27, 2018 (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 |
| July 02, 2018 Filed Jul 2, 2018 21:02 UTC | Tricida, Inc. TCDA · Entity 122050 | PurchaseCommon Stock | 31,579 | $19.00 | $600,001.00 |
DisclosureSEC source: 0001140361-18-031055 · form4.xml · nonDerivative · entry 1 FALBERG KATHRYN E · CIK 0001206977 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,579 Read SEC document |
| May 23, 2018 Filed May 24, 2018 17:06 UTC | Aimmune Therapeutics, Inc. AIMT · Entity 145931 | GrantStock Option (right to buy) · Derivative | 7,500 | $0.00 Strike: $32.79 | $0.00 |
DisclosureSEC source: 0000899243-18-013924 · doc4.xml · derivative · entry 2 FALBERG KATHRYN E · CIK 0001206977 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,500 Underlying: Common Stock · 7,500 shares Expires 2028-05-23 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 2019 Annual Meeting of the Issuer's stockholders, assuming continuous service as a director until such vesting date. Read SEC document |
| May 23, 2018 Filed May 24, 2018 17:06 UTC | Aimmune Therapeutics, Inc. AIMT · Entity 145931 | GrantCommon Stock, $0.0001 par value | 3,750 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-013924 · doc4.xml · nonDerivative · entry 1 FALBERG KATHRYN E · CIK 0001206977 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 128,644 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 2019 Annual Meeting of the Issuer's stockholders, assuming continuous service as a director until such vesting date. F2 · balance_after: A portion of these shares is subject to a right of repurchase held by the Issuer. Read SEC document |
| May 03, 2018 Filed May 8, 2018 00:00 UTC | Trade Desk, Inc. TTD · Entity 3752 | GrantClass A Common Stock | 1,638 | $49.44 | $80,982.72 |
DisclosureSEC source: 0001209191-18-028469 · doc4.xml · nonDerivative · entry 2 FALBERG KATHRYN E · CIK 0001206977 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,286 F1 · shares: Grant of restricted stock award under the Issuer's 2016 Equity Incentive Plan. The shares vest in quarterly installments over the one-year period following the grant or, if earlier, will vest in full on the date of the Issuer's next annual meeting of stockholders, subject to the Reporting Person's continuous service as a board member through 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 $81,000. Read SEC document |
| May 03, 2018 Filed May 8, 2018 00:00 UTC | Trade Desk, Inc. TTD · Entity 3752 | GrantClass A Common Stock | 4,045 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-028469 · doc4.xml · nonDerivative · entry 1 FALBERG KATHRYN E · CIK 0001206977 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,648 F1 · shares: Grant of restricted stock award under the Issuer's 2016 Equity Incentive Plan. The shares vest in quarterly installments over the one-year period following the grant or, if earlier, will vest in full on the date of the Issuer's next annual meeting of stockholders, subject to the Reporting Person's continuous service as a board member through 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 19, 2018 Filed Mar 19, 2018 21:23 UTC | Arcus Biosciences, Inc. RCUS · Entity 4104 | ConversionSeries C Convertible Preferred Stock · Derivative | 17,106 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-18-007983 · doc4.xml · derivative · entry 3 FALBERG KATHRYN E · CIK 0001206977 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 0 Underlying: Common Stock · 17,106 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: The reported security converted into the Issuer's Common Stock on a 1-for-1 basis automatically immediately prior to the closing of the Issuer's initial public offering without payment of further consideration. The shares have no expiration date. F2 · price: The reported security converted into the Issuer's Common Stock on a 1-for-1 basis automatically immediately prior to the closing of the Issuer's initial public offering without payment of further consideration. The shares have no expiration date. F2 · derivative.exercise_date: The reported security converted into the Issuer's Common Stock on a 1-for-1 basis automatically immediately prior to the closing of the Issuer's initial public offering without payment of further consideration. The shares have no expiration date. F2 · derivative.expiration_date: The reported security converted into the Issuer's Common Stock on a 1-for-1 basis automatically immediately prior to the closing of the Issuer's initial public offering without payment of further consideration. The shares have no expiration date. F5 · derivative.underlying_shares: Represents shares of Series C Convertible Preferred Stock indirectly owned by the Reporting Person as a result of a trust's purchase of such shares from the Issuer on November 6, 2017 for $11.6915 per share. Read SEC document |
| March 19, 2018 Filed Mar 19, 2018 21:23 UTC | Arcus Biosciences, Inc. RCUS · Entity 4104 | PurchaseCommon Stock | 30,000 | $15.00 | $450,000.00 |
DisclosureSEC source: 0000899243-18-007983 · doc4.xml · nonDerivative · entry 2 FALBERG KATHRYN E · CIK 0001206977 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,504 F3 · shares: Represents shares purchased in the Issuer's initial public offering. F4 · balance_after: The total includes 25,252 shares of Common Stock purchased by the Reporting Person on September 21, 2017 for $2.58 per share pursuant to the exercise of an option granted on September 19, 2017 and an additional 25,252 shares of Common Stock purchased on January 25, 2018 for $5.39 per share pursuant to the exercise of a separate option granted on January 4, 2018. Read SEC document |
| March 19, 2018 Filed Mar 19, 2018 21:23 UTC | Arcus Biosciences, Inc. RCUS · Entity 4104 | ConversionCommon Stock | 17,106 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-18-007983 · doc4.xml · nonDerivative · entry 1 FALBERG KATHRYN E · CIK 0001206977 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 17,106 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: The total represents shares received upon conversion of shares of Series C Convertible Preferred Stock. F2 · price: The reported security converted into the Issuer's Common Stock on a 1-for-1 basis automatically immediately prior to the closing of the Issuer's initial public offering without payment of further consideration. The shares have no expiration date. Read SEC document |
| February 26, 2018 Filed Feb 26, 2018 16:05 UTC | Aimmune Therapeutics, Inc. AIMT · Entity 145931 | PurchaseCommon Stock, $0.0001 par value | 30,000 | $32.00 | $960,000.00 |
DisclosureSEC source: 0000899243-18-005464 · doc4.xml · nonDerivative · entry 1 FALBERG KATHRYN E · CIK 0001206977 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 124,894 F1 · kind: Reporting Person purchased 30,000 shares of Issuer's common stock in connection with a public offering at the offering price of $32.00 per share. F2 · balance_after: A portion of these shares is subject to a right of repurchase held by the Issuer. Read SEC document |
| July 20, 2017 Filed Jul 24, 2017 23:46 UTC | Trade Desk, Inc. TTD · Entity 3752 | GrantClass A Common Stock | 1,302 | $54.52 | $70,985.04 |
DisclosureSEC source: 0001209191-17-046120 · doc4.xml · nonDerivative · entry 2 FALBERG KATHRYN E · CIK 0001206977 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,603 F1 · shares: Grant of restricted stock award under the Issuer's 2016 Equity Incentive Plan. The shares vest in quarterly installments over the one-year period following the grant or, if earlier, will vest in full on the date of the Issuer's next annual meeting of stockholders, subject to the Reporting Person's continuous service as a board member through 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 $71,000.00. Read SEC document |
| July 20, 2017 Filed Jul 24, 2017 23:46 UTC | Trade Desk, Inc. TTD · Entity 3752 | GrantClass A Common Stock | 3,301 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-046120 · doc4.xml · nonDerivative · entry 1 FALBERG KATHRYN E · CIK 0001206977 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,301 F1 · shares: Grant of restricted stock award under the Issuer's 2016 Equity Incentive Plan. The shares vest in quarterly installments over the one-year period following the grant or, if earlier, will vest in full on the date of the Issuer's next annual meeting of stockholders, subject to the Reporting Person's continuous service as a board member through 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 |
| June 15, 2017 Filed Jun 16, 2017 20:07 UTC | Trade Desk, Inc. TTD · Entity 3752 | PurchaseClass A Common Stock | 20,000 | $48.06 | $961,154.00 |
DisclosureSEC source: 0001209191-17-040448 · doc4.xml · nonDerivative · entry 1 FALBERG KATHRYN E · CIK 0001206977 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Family Trust Disclosed balance after: 80,000 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $47.565 to $48.50, 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 |
| May 25, 2017 Filed May 30, 2017 16:06 UTC | Aimmune Therapeutics, Inc. AIMT · Entity 145931 | GrantStock Option (right to buy) · Derivative | 17,500 | $0.00 Strike: $18.26 | $0.00 |
DisclosureSEC source: 0000899243-17-014693 · doc4.xml · derivative · entry 2 FALBERG KATHRYN E · CIK 0001206977 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,500 Underlying: Common Stock · 17,500 shares Expires 2027-05-25 F2 · 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 2018 Annual Meeting of the Issuer's stockholders, assuming continuous service as a director until such vesting date. Read SEC document |
| May 15, 2017 Filed May 16, 2017 17:03 UTC | Sio Gene Therapies Inc. AXON · Entity 130622 | GrantStock Option (Right to Buy) · Derivative | 70,000 | $0.00 Strike: $21.90 | $0.00 |
DisclosureSEC source: 0001636050-17-000019 · wf-form4_149496861177440.xml · derivative · entry 1 FALBERG KATHRYN E · CIK 0001206977 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,000 Underlying: Common Shares · 70,000 shares Expires 2027-05-14 F1 · derivative.exercise_date: 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. Read SEC document |
| April 17, 2017 Filed Apr 19, 2017 16:07 UTC | Sio Gene Therapies Inc. AXON · Entity 130622 | PurchaseCommon Shares | 53,937 | $18.54 | $999,991.98 |
DisclosureSEC source: 0001209191-17-027437 · doc4.xml · nonDerivative · entry 1 FALBERG KATHRYN E · CIK 0001206977 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,937 Read SEC document |
| March 01, 2017 Filed Mar 3, 2017 21:42 UTC | Trade Desk, Inc. TTD · Entity 3752 | PurchaseClass A Common Stock | 20,000 | $43.38 | $867,664.00 |
DisclosureSEC source: 0001209191-17-017645 · doc4.xml · nonDerivative · entry 1 FALBERG KATHRYN E · CIK 0001206977 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Family Trust Disclosed balance after: 60,000 F1 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $42.99 to $43.70, 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 |
| November 15, 2016 Filed Nov 16, 2016 22:03 UTC | Trade Desk, Inc. TTD · Entity 3752 | PurchaseClass A Common Stock | 20,000 | $25.49 | $509,800.00 |
DisclosureSEC source: 0001179110-16-031703 · edgar.xml · nonDerivative · entry 2 FALBERG KATHRYN E · CIK 0001206977 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 Read SEC document |
| November 14, 2016 Filed Nov 16, 2016 22:03 UTC | Trade Desk, Inc. TTD · Entity 3752 | PurchaseClass A Common Stock | 40,000 | $25.99 | $1,039,600.00 |
DisclosureSEC source: 0001179110-16-031703 · edgar.xml · nonDerivative · entry 3 FALBERG KATHRYN E · CIK 0001206977 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Family Trust Disclosed balance after: 40,000 Read SEC document |
| November 14, 2016 Filed Nov 16, 2016 22:03 UTC | Trade Desk, Inc. TTD · Entity 3752 | PurchaseClass A Common Stock | 20,000 | $25.92 | $518,400.00 |
DisclosureSEC source: 0001179110-16-031703 · edgar.xml · nonDerivative · entry 1 FALBERG KATHRYN E · CIK 0001206977 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Read SEC document |
| September 28, 2016 Filed Sep 30, 2016 17:42 UTC | MEDIVATION, INC. MDVN · Entity 181987 | Disposition to issuerNon-Qualified Stock Option (right to buy) · Derivative | 6,228 | Not disclosed Strike: $58.89 | Not disclosed |
DisclosureSEC source: 0001209191-16-143376 · 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 · 6,228 shares Expires 2026-06-22 F3 · price: 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. F3 · derivative.exercise_date: 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. Read SEC document |
| September 28, 2016 Filed Sep 30, 2016 17:42 UTC | MEDIVATION, INC. MDVN · Entity 181987 | Disposition to issuerNon-Qualified Stock Option (right to buy) · Derivative | 6,284 | Not disclosed Strike: $55.45 | Not disclosed |
DisclosureSEC source: 0001209191-16-143376 · 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 · 6,284 shares Expires 2025-06-16 F3 · price: 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. F3 · derivative.exercise_date: 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. Read SEC document |
| September 28, 2016 Filed Sep 30, 2016 17:42 UTC | MEDIVATION, INC. MDVN · Entity 181987 | Disposition to issuerNon-Qualified Stock Option (right to buy) · Derivative | 9,584 | Not disclosed Strike: $38.89 | Not disclosed |
DisclosureSEC source: 0001209191-16-143376 · 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 · 9,584 shares Expires 2024-06-27 F3 · price: 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. F3 · derivative.exercise_date: 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. 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.