Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Adverum Biotechnologies, Inc.ADVM · Entity 71889 | President and CFO | February 16, 2021 | February 19, 2021 |
| Climb Bio, Inc.ELYM · Entity 5064 | Director | May 19, 2022 | June 01, 2022 |
| Kalaris Therapeutics, Inc.KLRS · Entity 6805 | Director | June 03, 2026 | June 04, 2026 |
| Nkarta, Inc.NKTX · Entity 6346 | Director | June 10, 2026 | June 11, 2026 |
| Tenaya Therapeutics, Inc.TNYA · Entity 6506 | Chief Fin. and Bus. Officer | February 23, 2024 | February 28, 2024 |
| Zymeworks Inc.ZYME · Entity 4458 | EVP, Chief Bus & Fin Officer | January 06, 2026 | January 08, 2026 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Adverum Biotechnologies, Inc.
Report date February 16, 2021 · Filed February 19, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $13.44 · Expires 2031-02-15 | Direct | 240,000 |
Reported balance
After 2021-02-16 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2021-02-16 · Grant · Acquired 240,000 · Balance 240,000 F1: Twenty-five percent (25%) of the total number of shares subject to the option vest and become exercisable on the first anniversary of February 16, 2021 (the "Vesting Commencement Date"), and 1/48 of the total number of shares subject to the option vest and become exercisable each month thereafter, such that all of the shares subject to the option shall become vested and exercisable as of the fourth anniversary of the Vesting Commencement Date, subject to the Reporting Person's continued service with the Issuer on each such vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: Twenty-five percent (25%) of the total number of shares subject to the option vest and become exercisable on the first anniversary of February 16, 2021 (the "Vesting Commencement Date"), and 1/48 of the total number of shares subject to the option vest and become exercisable each month thereafter, such that all of the shares subject to the option shall become vested and exercisable as of the fourth anniversary of the Vesting Commencement Date, subject to the Reporting Person's continued service with the Issuer on each such vesting date.
Climb Bio, Inc.
Report date May 19, 2022 · Filed June 01, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right To Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.46 · Expires 2032-05-18 | Direct | 10,000 |
Reported balance
After 2022-05-19 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2022-05-19 · Grant · Acquired 10,000 · Balance 10,000 F1: The shares subject to the option will vest on the earlier of May 19, 2023 or the day immediately prior to the next annual meeting of stockholders, subject to the Reporting Person's continuous service through such date. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares subject to the option will vest on the earlier of May 19, 2023 or the day immediately prior to the next annual meeting of stockholders, subject to the Reporting Person's continuous service through such date.
Kalaris Therapeutics, Inc.
Report date June 03, 2026 · Filed June 04, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $4.72 · Expires 2036-06-02 | Direct | 9,000 |
Reported balance
After 2026-06-03 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-06-03 · Grant · Acquired 9,000 · Balance 9,000 F1: The option was granted on June 3, 2026. The shares underlying the option are scheduled to vest in full on the earlier of (i) June 3, 2027 or (ii) the date of the Issuer's 2027 Annual Meeting of Stockholders, subject to continued service. |
Filing footnotes · ownership attribution and instrument terms
F1: The option was granted on June 3, 2026. The shares underlying the option are scheduled to vest in full on the earlier of (i) June 3, 2027 or (ii) the date of the Issuer's 2027 Annual Meeting of Stockholders, subject to continued service.
Nkarta, Inc.
Report date June 10, 2026 · Filed June 11, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.46 · Expires 2036-06-09 | Direct | 37,000 |
Reported balance
After 2026-06-10 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-06-10 · Grant · Acquired 37,000 · Balance 37,000 F1: All shares subject to the option vest 100% on the first to occur of (i) June 10, 2027 or (ii) the day immediately preceding the first annual meeting of the Issuer's stockholders to occur after the date of grant of the award. Each grant, to the extent outstanding and otherwise unvested, will become fully vested should a "change in control" of the Issuer occur (as described in the applicable award agreement) or upon the Reporting Person's separation from service with the Issuer due to the Reporting Person's death or "disability" (as described in the applicable award agreement). |
Filing footnotes · ownership attribution and instrument terms
F1: All shares subject to the option vest 100% on the first to occur of (i) June 10, 2027 or (ii) the day immediately preceding the first annual meeting of the Issuer's stockholders to occur after the date of grant of the award. Each grant, to the extent outstanding and otherwise unvested, will become fully vested should a "change in control" of the Issuer occur (as described in the applicable award agreement) or upon the Reporting Person's separation from service with the Issuer due to the Reporting Person's death or "disability" (as described in the applicable award agreement).
Tenaya Therapeutics, Inc.
Report date February 23, 2024 · Filed February 28, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 95,755 |
Reported balance
After 2024-02-23 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2024-02-23 · Grant · Acquired 35,000 · Balance 95,755 F1: Represents shares of Tenaya Therapeutics, Inc. common stock that will be issued to the Reporting Person upon vesting of restricted stock units. Each restricted stock unit is the economic equivalent of one share of Tenaya Therapeutics, Inc. common stock. F2: The restricted stock units were granted to the Reporting Person on the Transaction Date pursuant to the Tenaya Therapeutics, Inc. 2021 Equity Incentive Plan. The restricted stock units will vest as to 1/8th of the total number of shares subject to the restricted stock unit award on August 15, 2024, and 1/8th of the total number of shares subject to the restricted stock unit award every six months thereafter until fully vested. F3: Includes 75,000 shares of Tenaya Therapeutics, Inc. common stock that will be issued to the Reporting Person upon vesting of restricted stock units. |
| Stock Option (Right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.22 · Expires 2034-02-22 | Direct | 205,000 |
Reported balance
After 2024-02-23 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2024-02-23 · Grant · Acquired 205,000 · Balance 205,000 F4: Option granted pursuant to the Tenaya Therapeutics, Inc. 2021 Equity Incentive Plan. Option will vest as to 1/48th of the total number of shares subject to the option on the one month anniversary of the Transaction Date and 1/48th of the total number of shares subject to the option on each monthly anniversary thereafter until fully vested. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents shares of Tenaya Therapeutics, Inc. common stock that will be issued to the Reporting Person upon vesting of restricted stock units. Each restricted stock unit is the economic equivalent of one share of Tenaya Therapeutics, Inc. common stock.
F2: The restricted stock units were granted to the Reporting Person on the Transaction Date pursuant to the Tenaya Therapeutics, Inc. 2021 Equity Incentive Plan. The restricted stock units will vest as to 1/8th of the total number of shares subject to the restricted stock unit award on August 15, 2024, and 1/8th of the total number of shares subject to the restricted stock unit award every six months thereafter until fully vested.
F3: Includes 75,000 shares of Tenaya Therapeutics, Inc. common stock that will be issued to the Reporting Person upon vesting of restricted stock units.
F4: Option granted pursuant to the Tenaya Therapeutics, Inc. 2021 Equity Incentive Plan. Option will vest as to 1/48th of the total number of shares subject to the option on the one month anniversary of the Transaction Date and 1/48th of the total number of shares subject to the option on each monthly anniversary thereafter until fully vested.
Zymeworks Inc.
Report date January 06, 2026 · Filed January 08, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 459 |
Reported balance
After 2026-01-06 transaction · row 1
1 source rowRow 1 · 2026-01-06 · Grant · Acquired 459 · Balance 459 F1: Shares of common stock purchased pursuant to the Issuer's Amended and Restated Employee Stock Purchase Plan (ESPP) for the ESPP purchase period July 1, 2025 through December 31, 2025. In accordance with the ESPP, the shares of common stock were purchased at a price equal to 85% of the closing price of the Issuer's common stock on July 1, 2025. |
Filing footnotes · ownership attribution and instrument terms
F1: Shares of common stock purchased pursuant to the Issuer's Amended and Restated Employee Stock Purchase Plan (ESPP) for the ESPP purchase period July 1, 2025 through December 31, 2025. In accordance with the ESPP, the shares of common stock were purchased at a price equal to 85% of the closing price of the Issuer's common stock on July 1, 2025.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| June 10, 2026 Filed Jun 11, 2026 20:07 UTC | Nkarta, Inc. NKTX · Entity 6346 | GrantStock Option (right to buy) · Derivative | 37,000 | $0.00 Strike: $2.46 | $0.00 |
DisclosureSEC source: 0001193125-26-267521 · ownership.xml · derivative · entry 1 PATTERSON LEONE D · CIK 0001233539 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 37,000 Underlying: Common Stock · 37,000 shares Expires 2036-06-09 F1 · derivative.exercise_date: All shares subject to the option vest 100% on the first to occur of (i) June 10, 2027 or (ii) the day immediately preceding the first annual meeting of the Issuer's stockholders to occur after the date of grant of the award. Each grant, to the extent outstanding and otherwise unvested, will become fully vested should a "change in control" of the Issuer occur (as described in the applicable award agreement) or upon the Reporting Person's separation from service with the Issuer due to the Reporting Person's death or "disability" (as described in the applicable award agreement). Read SEC document |
| June 03, 2026 Filed Jun 4, 2026 20:19 UTC | Kalaris Therapeutics, Inc. KLRS · Entity 6805 | GrantStock Option (Right to Buy) · Derivative | 9,000 | $0.00 Strike: $4.72 | $0.00 |
DisclosureSEC source: 0001193125-26-257445 · ownership.xml · derivative · entry 1 PATTERSON LEONE D · CIK 0001233539 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 9,000 Underlying: Common Stock · 9,000 shares Expires 2036-06-02 F1 · derivative.exercise_date: The option was granted on June 3, 2026. The shares underlying the option are scheduled to vest in full on the earlier of (i) June 3, 2027 or (ii) the date of the Issuer's 2027 Annual Meeting of Stockholders, subject to continued service. Read SEC document |
| January 06, 2026 Filed Jan 8, 2026 00:37 UTC | Zymeworks Inc. ZYME · Entity 4458 | GrantCommon Stock | 459 | $10.55 | $4,842.45 |
DisclosureSEC source: 0001193125-26-006727 · ownership.xml · nonDerivative · entry 1 PATTERSON LEONE D · CIK 0001233539 · EVP, Chief Bus & Fin Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 459 F1 · kind: Shares of common stock purchased pursuant to the Issuer's Amended and Restated Employee Stock Purchase Plan (ESPP) for the ESPP purchase period July 1, 2025 through December 31, 2025. In accordance with the ESPP, the shares of common stock were purchased at a price equal to 85% of the closing price of the Issuer's common stock on July 1, 2025. Read SEC document |
| June 05, 2025 Filed Jun 9, 2025 20:01 UTC | Nkarta, Inc. NKTX · Entity 6346 | GrantStock Option (right to buy) · Derivative | 46,000 | $0.00 Strike: $1.83 | $0.00 |
DisclosureSEC source: 0000950170-25-083681 · ownership.xml · derivative · entry 1 PATTERSON LEONE D · CIK 0001233539 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 46,000 Underlying: Common Stock · 46,000 shares Expires 2035-06-04 F1 · derivative.exercise_date: All shares subject to the option vest 100% on the first to occur of (i) June 5, 2026 or (ii) the day immediately preceding the first annual meeting of the Issuer's stockholders to occur after the date of grant of the award. Each grant, to the extent outstanding and otherwise unvested, will become fully vested should a "change in control" of the Issuer occur (as described in the applicable award agreement) or upon the Reporting Person's separation from service with the Issuer due to the Reporting Person's death or "disability" (as described in the applicable award agreement). Read SEC document |
| April 10, 2025 Filed Apr 11, 2025 20:48 UTC | Kalaris Therapeutics, Inc. KLRS · Entity 6805 | GrantStock Option (Right to Buy) · Derivative | 18,000 | $0.00 Strike: $7.31 | $0.00 |
DisclosureSEC source: 0000950170-25-053330 · ownership.xml · derivative · entry 1 PATTERSON LEONE D · CIK 0001233539 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 18,000 Underlying: Common Stock · 18,000 shares Expires 2035-04-09 F1 · derivative.exercise_date: The option was granted on April 10, 2025. The shares underlying the option are scheduled to vest over three years in equal monthly installments from April 3, 2025 through April 3, 2028, subject to continuous service. Read SEC document |
| January 10, 2025 Filed Jan 10, 2025 23:11 UTC | Zymeworks Inc. ZYME · Entity 4458 | GrantRestricted Stock Unit · Derivative | 53,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000950170-25-004358 · ownership.xml · derivative · entry 2 PATTERSON LEONE D · CIK 0001233539 · EVP, Chief Bus & Fin Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 53,000 Underlying: Common Stock · 53,000 shares Expires not disclosed F2 · derivative.exercise_price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of Issuer's common stock. F3 · derivative.exercise_date: RSUs vest in three equal annual installments beginning on first anniversary of grant date. F3 · derivative.expiration_date: RSUs vest in three equal annual installments beginning on first anniversary of grant date. Read SEC document |
| January 10, 2025 Filed Jan 10, 2025 23:11 UTC | Zymeworks Inc. ZYME · Entity 4458 | GrantStock Option (Right to Buy) · Derivative | 79,000 | $0.00 Strike: $13.22 | $0.00 |
DisclosureSEC source: 0000950170-25-004358 · ownership.xml · derivative · entry 1 PATTERSON LEONE D · CIK 0001233539 · EVP, Chief Bus & Fin Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 79,000 Underlying: Common Stock · 79,000 shares Expires 2035-01-09 F1 · derivative.exercise_date: Stock options vest as follows: (i) 25% of underlying shares of common stock on first anniversary of grant date and (ii) remainder of underlying shares of common stock in 36 equal monthly installments on last day of month following first anniversary of grant date. Read SEC document |
| September 01, 2024 Filed Sep 3, 2024 21:50 UTC | Zymeworks Inc. ZYME · Entity 4458 | GrantStock Option (Right to Buy) · Derivative | 360,000 | $0.00 Strike: $11.73 | $0.00 |
DisclosureSEC source: 0000950170-24-102982 · ownership.xml · derivative · entry 1 PATTERSON LEONE D · CIK 0001233539 · EVP, Chief Bus & Fin Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 360,000 Underlying: Common Stock · 360,000 shares Expires 2034-08-31 F1 · derivative.exercise_date: Stock options vest as follows: (i) 25% of underlying shares on first anniversary of grant date and (ii) remainder of underlying shares in 36 equal monthly installments on last day of month following first anniversary of grant date. Read SEC document |
| June 13, 2024 Filed Jun 14, 2024 20:09 UTC | Nkarta, Inc. NKTX · Entity 6346 | GrantStock Option (right to buy) · Derivative | 22,500 | $0.00 Strike: $6.23 | $0.00 |
DisclosureSEC source: 0000950170-24-073643 · ownership.xml · derivative · entry 1 PATTERSON LEONE D · CIK 0001233539 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 22,500 Underlying: Common Stock · 22,500 shares Expires 2034-06-12 F1 · derivative.exercise_date: All shares subject to the option vest 100% on the first to occur of (i) June 13, 2025 or (ii) the day immediately preceding the first annual meeting of the Issuer's stockholders to occur after the date of grant of the award. Each grant, to the extent outstanding and otherwise unvested, will become fully vested should a "change in control" of the Issuer occur (as described in the applicable award agreement) or upon the Reporting Person's separation from service with the Issuer due to the Reporting Person's death or "disability" (as described in the applicable award agreement). Read SEC document |
| February 23, 2024 Filed Feb 28, 2024 00:29 UTC | Tenaya Therapeutics, Inc. TNYA · Entity 6506 | GrantStock Option (Right to buy) · Derivative | 205,000 | $0.00 Strike: $5.22 | $0.00 |
DisclosureSEC source: 0000950170-24-021547 · ownership.xml · derivative · entry 2 PATTERSON LEONE D · CIK 0001233539 · Chief Fin. and Bus. Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 205,000 Underlying: Common Stock · 205,000 shares Expires 2034-02-22 F4 · derivative.exercise_date: Option granted pursuant to the Tenaya Therapeutics, Inc. 2021 Equity Incentive Plan. Option will vest as to 1/48th of the total number of shares subject to the option on the one month anniversary of the Transaction Date and 1/48th of the total number of shares subject to the option on each monthly anniversary thereafter until fully vested. Read SEC document |
| February 23, 2024 Filed Feb 28, 2024 00:29 UTC | Tenaya Therapeutics, Inc. TNYA · Entity 6506 | GrantCommon Stock | 35,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000950170-24-021547 · ownership.xml · nonDerivative · entry 1 PATTERSON LEONE D · CIK 0001233539 · Chief Fin. and Bus. Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 95,755 F1 · security: Represents shares of Tenaya Therapeutics, Inc. common stock that will be issued to the Reporting Person upon vesting of restricted stock units. Each restricted stock unit is the economic equivalent of one share of Tenaya Therapeutics, Inc. common stock. F2 · date: The restricted stock units were granted to the Reporting Person on the Transaction Date pursuant to the Tenaya Therapeutics, Inc. 2021 Equity Incentive Plan. The restricted stock units will vest as to 1/8th of the total number of shares subject to the restricted stock unit award on August 15, 2024, and 1/8th of the total number of shares subject to the restricted stock unit award every six months thereafter until fully vested. F3 · balance_after: Includes 75,000 shares of Tenaya Therapeutics, Inc. common stock that will be issued to the Reporting Person upon vesting of restricted stock units. Read SEC document |
| February 16, 2024 Filed Feb 17, 2024 01:32 UTC | Tenaya Therapeutics, Inc. TNYA · Entity 6506 | SaleCommon Stock | 5,201 | $5.86 | $30,477.86 |
DisclosureSEC source: 0000950170-24-016667 · ownership.xml · nonDerivative · entry 1 PATTERSON LEONE D · CIK 0001233539 · Chief Fin. and Bus. Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 60,755 F1 · kind: Shares sold to cover tax withholding obligations in connection with the vesting of restricted stock units awarded on February 15, 2023. F2 · price: Represents the weighted average sales price. The shares were sold in multiple transactions at prices ranging from $5.61 to $6.15. Reporting Person undertakes to provide Tenaya Therapeutics, Inc., any security holder of Tenaya Therapeutics, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. F3 · balance_after: Includes 40,000 shares of Tenaya Therapeutics, Inc. common stock that will be issued to the Reporting Person upon vesting of restricted stock units and 1,414 shares of common stock acquired pursuant to the Tenaya Therapeutics, Inc. 2021 Employee Stock Purchase Plan on December 10, 2023. Read SEC document |
| August 16, 2023 Filed Aug 18, 2023 22:31 UTC | Tenaya Therapeutics, Inc. TNYA · Entity 6506 | SaleCommon Stock | 4,452 | $3.81 | $16,962.12 |
DisclosureSEC source: 0001209191-23-046640 · doc4.xml · nonDerivative · entry 1 PATTERSON LEONE D · CIK 0001233539 · Chief Fin. and Bus. Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 64,542 F1 · kind: Shares sold to cover tax withholding obligations in connection with the vesting of restricted stock units awarded on February 15, 2023. F2 · price: Represents the weighted average sales price. The shares were sold in multiple transactions at prices ranging from $3.76 to $3.87. Reporting Person undertakes to provide Tenaya Therapeutics, Inc., any security holder of Tenaya Therapeutics, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. F3 · balance_after: Includes 52,500 shares of Tenaya Therapeutics, Inc. common stock that will be issued to the Reporting Person upon vesting of restricted stock units and 1,994 shares of common stock acquired pursuant to the Tenaya Therapeutics, Inc. 2021 Employee Stock Purchase Plan on June 10, 2023. Read SEC document |
| June 07, 2023 Filed Jun 9, 2023 20:07 UTC | Nkarta, Inc. NKTX · Entity 6346 | GrantStock Option (right to buy) · Derivative | 22,500 | $0.00 Strike: $4.86 | $0.00 |
DisclosureSEC source: 0001209191-23-035750 · doc4.xml · derivative · entry 1 PATTERSON LEONE D · CIK 0001233539 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 22,500 Underlying: Common Stock · 22,500 shares Expires 2033-06-06 F1 · derivative.exercise_date: All shares subject to the option vest 100% on the first to occur of (i) June 7, 2024 or (ii) the day immediately preceding the first annual meeting of the Issuer's stockholders to occur after the date of grant of the award. Each grant, to the extent outstanding and otherwise unvested, will become fully vested should a "change in control" of the Issuer occur (as described in the applicable award agreement) or upon the Reporting Person's separation from service with the Issuer due to the Reporting Person's death or "disability" (as described in the applicable award agreement). Read SEC document |
| February 15, 2023 Filed Feb 17, 2023 23:45 UTC | Tenaya Therapeutics, Inc. TNYA · Entity 6506 | GrantStock Option (Right to buy) · Derivative | 190,000 | $0.00 Strike: $3.06 | $0.00 |
DisclosureSEC source: 0001209191-23-010881 · doc4.xml · derivative · entry 3 PATTERSON LEONE D · CIK 0001233539 · Chief Fin. and Bus. Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 190,000 Underlying: Common Stock · 190,000 shares Expires 2033-02-14 F6 · derivative.exercise_date: Option granted pursuant to the Tenaya Therapeutics, Inc. 2021 Equity Incentive Plan. Option will vest as to 1/48th of the total number of shares subject to the option on the one month anniversary of the Transaction Date and 1/48th of the total number of shares subject to the option on each monthly anniversary thereafter until fully vested. Read SEC document |
| February 15, 2023 Filed Feb 17, 2023 23:45 UTC | Tenaya Therapeutics, Inc. TNYA · Entity 6506 | GrantCommon Stock | 35,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-23-010881 · doc4.xml · nonDerivative · entry 2 PATTERSON LEONE D · CIK 0001233539 · Chief Fin. and Bus. Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 67,000 F1 · security: Represents shares of Tenaya Therapeutics, Inc. common stock that will be issued to the Reporting Person upon vesting of restricted stock units. Each restricted stock unit is the economic equivalent of one share of Tenaya Therapeutics, Inc. common stock. F4 · date: The restricted stock units were granted to the Reporting Person on the Transaction Date pursuant to the Tenaya Therapeutics, Inc. 2021 Equity Incentive Plan. The restricted stock units will vest as to 1/4th of the total number of shares subject to the restricted stock unit award on each of August 15, 2023, February 15, 2024, August 15, 2024 and February 15, 2025. F5 · balance_after: Includes 65,000 shares of Tenaya Therapeutics, Inc. common stock that will be issued to the Reporting Person upon vesting of restricted stock units. Read SEC document |
| February 15, 2023 Filed Feb 17, 2023 23:45 UTC | Tenaya Therapeutics, Inc. TNYA · Entity 6506 | GrantCommon Stock | 30,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-23-010881 · doc4.xml · nonDerivative · entry 1 PATTERSON LEONE D · CIK 0001233539 · Chief Fin. and Bus. Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,000 F1 · security: Represents shares of Tenaya Therapeutics, Inc. common stock that will be issued to the Reporting Person upon vesting of restricted stock units. Each restricted stock unit is the economic equivalent of one share of Tenaya Therapeutics, Inc. common stock. F2 · date: The restricted stock units were granted to the Reporting Person on the Transaction Date pursuant to the Tenaya Therapeutics, Inc. 2021 Equity Incentive Plan. The restricted stock units will vest as to 1/8th of the total number of shares subject to the restricted stock unit award on the six month anniversary of the Transaction Date, and 1/8th of the total number of shares subject to the restricted stock unit award every six months thereafter until fully vested. F3 · balance_after: Includes 30,000 shares of Tenaya Therapeutics, Inc. common stock that will be issued to the Reporting Person upon vesting of restricted stock units and 2,000 shares of common stock acquired pursuant to the Tenaya Therapeutics, Inc. 2021 Employee Stock Purchase Plan on December 10, 2022. Read SEC document |
| June 08, 2022 Filed Jun 10, 2022 20:08 UTC | Nkarta, Inc. NKTX · Entity 6346 | GrantStock Option (right to buy) · Derivative | 16,000 | $0.00 Strike: $14.95 | $0.00 |
DisclosureSEC source: 0001209191-22-035828 · doc4.xml · derivative · entry 1 PATTERSON LEONE D · CIK 0001233539 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,000 Underlying: Common Stock · 16,000 shares Expires 2032-06-07 F1 · derivative.exercise_date: All shares subject to the option vest 100% on the first to occur of (i) June 8, 2023 or (ii) the day immediately preceding the first annual meeting of the Issuer's stockholders to occur after the date of grant of the award. Each grant, to the extent outstanding and otherwise unvested, will become fully vested should a "change in control" of the Issuer occur (as described in the applicable award agreement) or upon the Reporting Person's separation from service with the Issuer due to the Reporting Person's death or "disability" (as described in the applicable award agreement). Read SEC document |
| May 19, 2022 Filed Jun 1, 2022 21:12 UTC | Climb Bio, Inc. ELYM · Entity 5064 | GrantStock Option (Right To Buy) · Derivative | 10,000 | $0.00 Strike: $3.46 | $0.00 |
DisclosureSEC source: 0001209191-22-033217 · doc4.xml · derivative · entry 1 PATTERSON LEONE D · CIK 0001233539 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Underlying: Common Stock · 10,000 shares Expires 2032-05-18 F1 · derivative.exercise_date: The shares subject to the option will vest on the earlier of May 19, 2023 or the day immediately prior to the next annual meeting of stockholders, subject to the Reporting Person's continuous service through such date. Read SEC document |
| February 15, 2022 Filed Feb 17, 2022 22:41 UTC | Tenaya Therapeutics, Inc. TNYA · Entity 6506 | GrantStock Option (Right to buy) · Derivative | 66,000 | $0.00 Strike: $15.19 | $0.00 |
DisclosureSEC source: 0001209191-22-010920 · doc4.xml · derivative · entry 1 PATTERSON LEONE D · CIK 0001233539 · Chief Fin. and Bus. Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,000 Underlying: Common Stock · 66,000 shares Expires 2032-02-14 F1 · derivative.exercise_date: Option granted pursuant to the Tenaya Therapeutics, Inc. 2021 Equity Incentive Plan. Option will vest as to 1/48th of the total number of shares subject to the option on the one (1) month anniversary of the Transaction Date and 1/48th of the total number of shares subject to the option on each monthly anniversary thereafter, subject to the Reporting Person continuing to be a service provider to the Issuer through each applicable vesting date. Read SEC document |
| June 13, 2021 Filed Jun 15, 2021 14:26 UTC | Nkarta, Inc. NKTX · Entity 6346 | GrantStock Option (right to buy) · Derivative | 16,511 | $0.00 Strike: $25.03 | $0.00 |
DisclosureSEC source: 0000899243-21-023798 · doc4.xml · derivative · entry 1 PATTERSON LEONE D · CIK 0001233539 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,511 Underlying: Common Stock · 16,511 shares Expires 2031-06-12 F1 · derivative.exercise_date: All shares subject to the option vest 100% on the first to occur of (i) June 13, 2022, or (ii) the day immediately preceding the first annual meeting of the Issuer's stockholders to occur after the date of grant of the award. Each grant, to the extent outstanding and otherwise unvested, will become fully vested should a "change in control" of the Issuer occur (as described in the applicable award agreement) or upon the Reporting Person's separation from service with the Issuer due to the Reporting Person's death or "disability" (as described in the applicable award agreement). Read SEC document |
| February 16, 2021 Filed Feb 19, 2021 02:03 UTC | Adverum Biotechnologies, Inc. ADVM · Entity 71889 | GrantStock Option (Right to Buy) · Derivative | 240,000 | $0.00 Strike: $13.44 | $0.00 |
DisclosureSEC source: 0001209191-21-012211 · doc4.xml · derivative · entry 1 PATTERSON LEONE D · CIK 0001233539 · President and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 240,000 Underlying: Common Stock · 240,000 shares Expires 2031-02-15 F1 · derivative.exercise_date: Twenty-five percent (25%) of the total number of shares subject to the option vest and become exercisable on the first anniversary of February 16, 2021 (the "Vesting Commencement Date"), and 1/48 of the total number of shares subject to the option vest and become exercisable each month thereafter, such that all of the shares subject to the option shall become vested and exercisable as of the fourth anniversary of the Vesting Commencement Date, subject to the Reporting Person's continued service with the Issuer on each such vesting date. Read SEC document |
| February 09, 2021 Filed Feb 12, 2021 00:47 UTC | Adverum Biotechnologies, Inc. ADVM · Entity 71889 | SaleCommon Stock | 62 | $14.14 | $876.64 |
DisclosureSEC source: 0001209191-21-009908 · doc4.xml · nonDerivative · entry 2 PATTERSON LEONE D · CIK 0001233539 · President and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 97,955 F1 · shares: The shares were sold pursuant to an irrevocable election previously made by the Reporting Person to sell shares of common stock necessary to cover the federal, state and local tax withholding obligations, as well as related brokerage commission fees. Read SEC document |
| February 09, 2021 Filed Feb 12, 2021 00:47 UTC | Adverum Biotechnologies, Inc. ADVM · Entity 71889 | SaleCommon Stock | 12,471 | $14.10 | $175,841.10 |
DisclosureSEC source: 0001209191-21-009908 · doc4.xml · nonDerivative · entry 1 PATTERSON LEONE D · CIK 0001233539 · President and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 98,017 F1 · shares: The shares were sold pursuant to an irrevocable election previously made by the Reporting Person to sell shares of common stock necessary to cover the federal, state and local tax withholding obligations, as well as related brokerage commission fees. Read SEC document |
| July 09, 2020 Filed Jul 14, 2020 01:42 UTC | Nkarta, Inc. NKTX · Entity 6346 | GrantStock Option (right to buy) · Derivative | 18,300 | $0.00 Strike: $18.00 | $0.00 |
DisclosureSEC source: 0000899243-20-019026 · doc4.xml · derivative · entry 2 PATTERSON LEONE D · CIK 0001233539 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,300 Underlying: Common Stock · 18,300 shares Expires 2030-07-08 F2 · derivative.exercise_date: All shares subject to the option vest 100% on the first anniversary of July 1, 2020, or, if earlier, on the day immediately preceding the first annual meeting of the Issuer's stockholders in 2021 at which one or more members of the Issuer's board of directors are to be elected. Each grant, to the extent outstanding and otherwise unvested, will become fully vest should a "change in control" of the Issuer occur (as described in the applicable award agreement) or upon the Reporting Person's separation from service with the Issuer due to the Reporting Person's death or "disability" (as described in the applicable award agreement). Read SEC document |
| July 09, 2020 Filed Jul 14, 2020 01:42 UTC | Nkarta, Inc. NKTX · Entity 6346 | GrantStock Option (right to buy) · Derivative | 10,700 | $0.00 Strike: $18.00 | $0.00 |
DisclosureSEC source: 0000899243-20-019026 · doc4.xml · derivative · entry 1 PATTERSON LEONE D · CIK 0001233539 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,700 Underlying: Common Stock · 10,700 shares Expires 2030-07-08 F1 · derivative.exercise_date: All shares subject to the option vest 100% on the first anniversary of July 9, 2020, or, if earlier, on the day immediately preceding the first annual meeting of the Issuer's stockholders in 2021 at which one or more members of the Issuer's board of directors are to be elected. Each grant, to the extent outstanding and otherwise unvested, will become fully vest should a "change in control" of the Issuer occur (as described in the applicable award agreement) or upon the Reporting Person's separation from service with the Issuer due to the Reporting Person's death or "disability" (as described in the applicable award agreement). Read SEC document |
| June 16, 2020 Filed Jun 17, 2020 21:47 UTC | Adverum Biotechnologies, Inc. ADVM · Entity 71889 | SaleCommon Stock | 13,171 | $24.68 | $325,060.28 |
DisclosureSEC source: 0001209191-20-037369 · doc4.xml · nonDerivative · entry 1 PATTERSON LEONE D · CIK 0001233539 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 110,488 F1 · shares: The shares were sold pursuant to an irrevocable election previously made by the Reporting Person to sell shares of common stock necessary to cover the federal, state and local tax withholding obligations, as well as related brokerage commission fees. Read SEC document |
| May 06, 2020 Filed May 8, 2020 22:25 UTC | Adverum Biotechnologies, Inc. ADVM · Entity 71889 | Exercise / conversionStock Option (Right to Buy) · Derivative | 20,000 | $0.00 Strike: $3.44 | $0.00 |
DisclosureSEC source: 0001209191-20-028070 · doc4.xml · derivative · entry 3 PATTERSON LEONE D · CIK 0001233539 · Director · CEO, President and Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 155,576 Underlying: Common Stock · 20,000 shares Expires 2026-06-15 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_date: Twenty-Five Percent (25%) of the total shares subject to the option vest and become exercisable on the first anniversary of the Vesting Commencement Date, and 1/48 of the total shares subject to the option shall vest and become exercisable each month thereafter, such that all of the shares subject to the option shall be vested and exercisable as of the fourth anniversary of the Vesting Commencement Date, subject to the Reporting Person's continued service with the Issuer on each such vesting date. Read SEC document |
| May 06, 2020 Filed May 8, 2020 22:25 UTC | Adverum Biotechnologies, Inc. ADVM · Entity 71889 | SaleCommon Stock | 20,000 | $20.02 | $400,400.00 |
DisclosureSEC source: 0001209191-20-028070 · doc4.xml · nonDerivative · entry 2 PATTERSON LEONE D · CIK 0001233539 · Director · CEO, President and Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 123,659 F2 · kind: This transaction was pursuant to a 10b5-1 Plan. F3 · price: Represents weighted average sales price. The shares were sold at prices ranging from $20.00 to $20.09. The Reporting Person will provide upon request, to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares sold at each separate price. F1 · balance_after: The balance of shares reflected in Reporting Person's prior Form 4 was inadvertently reflected as 123,429 shares and should have been reflected as 123,659 shares. The Form 4 originally reflecting the incorrect balance, filed with the SEC on 2/10/2020, has been amended to reflect the correct end of period balance in Column 5 of Table I in that filing. Read SEC document |
| May 06, 2020 Filed May 8, 2020 22:25 UTC | Adverum Biotechnologies, Inc. ADVM · Entity 71889 | Exercise / conversionCommon Stock | 20,000 | $3.44 | $68,800.00 |
DisclosureSEC source: 0001209191-20-028070 · doc4.xml · nonDerivative · entry 1 PATTERSON LEONE D · CIK 0001233539 · Director · CEO, President and Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 143,659 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 · balance_after: The balance of shares reflected in Reporting Person's prior Form 4 was inadvertently reflected as 123,429 shares and should have been reflected as 123,659 shares. The Form 4 originally reflecting the incorrect balance, filed with the SEC on 2/10/2020, has been amended to reflect the correct end of period balance in Column 5 of Table I in that filing. Read SEC document |
| March 20, 2020 Filed Mar 25, 2020 21:28 UTC | Adverum Biotechnologies, Inc. ADVM · Entity 71889 | Exercise / conversionStock Option (Right to Buy) · Derivative | 24,424 | $0.00 Strike: $3.44 | $0.00 |
DisclosureSEC source: 0001209191-20-021159 · doc4.xml · derivative · entry 3 PATTERSON LEONE D · CIK 0001233539 · Director · CEO, President and Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 175,576 Underlying: Common Stock · 24,424 shares Expires 2026-06-15 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_date: Twenty-Five Percent (25%) of the total shares subject to the option vest and become exercisable on the first anniversary of the Vesting Commencement Date, and 1/48 of the total shares subject to the option shall vest and become exercisable each month thereafter, such that all of the shares subject to the option shall be vested and exercisable as of the fourth anniversary of the Vesting Commencement Date, subject to the Reporting Person's continued service with the Issuer on each such vesting date. Read SEC document |
| March 20, 2020 Filed Mar 25, 2020 21:28 UTC | Adverum Biotechnologies, Inc. ADVM · Entity 71889 | SaleCommon Stock | 39,526 | $10.17 | $401,908.27 |
DisclosureSEC source: 0001209191-20-021159 · doc4.xml · nonDerivative · entry 2 PATTERSON LEONE D · CIK 0001233539 · Director · CEO, President and Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 123,429 F1 · kind: This transaction was pursuant to a 10b5-1 Plan. F2 · price: Represents weighted average sales price. The shares were sold at prices ranging from $10.00 to $10.58. The Reporting Person will provide upon request, to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares sold at each separate price. Read SEC document |
| March 20, 2020 Filed Mar 25, 2020 21:28 UTC | Adverum Biotechnologies, Inc. ADVM · Entity 71889 | Exercise / conversionCommon Stock | 24,424 | $3.44 | $84,018.56 |
DisclosureSEC source: 0001209191-20-021159 · doc4.xml · nonDerivative · entry 1 PATTERSON LEONE D · CIK 0001233539 · Director · CEO, President and Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 162,955 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| March 17, 2020 Filed Mar 18, 2020 23:33 UTC | Adverum Biotechnologies, Inc. ADVM · Entity 71889 | SaleCommon Stock | 474 | $10.02 | $4,749.24 |
DisclosureSEC source: 0001209191-20-020107 · doc4.xml · nonDerivative · entry 1 PATTERSON LEONE D · CIK 0001233539 · Director · CEO, President and Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 138,531 F1 · kind: This transaction was pursuant to a 10b5-1 Plan. F2 · price: Represents weighted average sales price. The shares were sold at prices ranging from $10.01 to $10.03. The Reporting Person will provide upon request, to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares sold at each separate price. Read SEC document |
| February 20, 2020 Filed Feb 22, 2020 00:15 UTC | Adverum Biotechnologies, Inc. ADVM · Entity 71889 | GrantStock Option (Right to Buy) · Derivative | 300,000 | $0.00 Strike: $15.75 | $0.00 |
DisclosureSEC source: 0001209191-20-011783 · doc4.xml · derivative · entry 1 PATTERSON LEONE D · CIK 0001233539 · Director · CEO, President and Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 300,000 Underlying: Common Stock · 300,000 shares Expires 2030-02-19 F1 · derivative.exercise_date: Twenty-five percent (25%) of the total number of shares subject to the option vest and become exercisable on the first anniversary of February 20, 2020 (the "Vesting Commencement Date"), and 1/48 of the total number of shares subject to the option vest and become exercisable each month thereafter, such that all of the shares subject to the option shall become vested and exercisable as of the fourth anniversary of the Vesting Commencement Date, subject to the Reporting Person's continued service with the Issuer on each such vesting date. Read SEC document |
| February 09, 2020 Filed Feb 10, 2020 12:56 UTC | Adverum Biotechnologies, Inc. ADVM · Entity 71889 | Tax withholdingCommon Stock | 11,215 | $10.24 | $114,841.60 |
DisclosureSEC source: 0001209191-20-007758 · doc4.xml · nonDerivative · entry 1 PATTERSON LEONE D · CIK 0001233539 · Director · CEO, President and Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 139,005 F1 · shares: Reflects shares withheld by the Issuer upon vesting of restricted stock units to satisfy withholding tax obligations. Read SEC document |
| February 09, 2020 Filed May 8, 2020 22:24 UTC Amendment | Adverum Biotechnologies, Inc. ADVM · Entity 71889 | Tax withholdingCommon Stock | 10,985 | $10.24 | $112,486.40 |
DisclosureSEC source: 0001209191-20-028067 · doc4a.xml · nonDerivative · entry 1 PATTERSON LEONE D · CIK 0001233539 · Director · CEO, President and Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 139,235 F1 · shares: Reflects shares withheld by the Issuer upon vesting of restricted stock units to satisfy withholding tax obligations. Read SEC document |
| December 23, 2019 Filed Dec 26, 2019 21:47 UTC | Adverum Biotechnologies, Inc. ADVM · Entity 71889 | SaleCommon Stock | 40,000 | $10.72 | $428,800.00 |
DisclosureSEC source: 0001209191-19-061950 · doc4.xml · nonDerivative · entry 1 PATTERSON LEONE D · CIK 0001233539 · Director · CEO, President and Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 228,496 F1 · kind: This transaction was pursuant to a 10b5-1 Plan. F2 · price: Represents weighted average sales price. The shares were sold at prices ranging from $10.30 to $11.055. The Reporting Person will provide upon request, to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares sold at each separate price. Read SEC document |
| December 23, 2019 Filed Feb 10, 2020 12:54 UTC Amendment | Adverum Biotechnologies, Inc. ADVM · Entity 71889 | SaleCommon Stock | 40,000 | $10.72 | $428,800.00 |
DisclosureSEC source: 0001209191-20-007756 · doc4a.xml · nonDerivative · entry 1 PATTERSON LEONE D · CIK 0001233539 · Director · CEO, President and Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 150,220 F1 · kind: This transaction was pursuant to a 10b5-1 Plan. F2 · price: Represents weighted average sales price. The shares were sold at prices ranging from $10.30 to $11.055. The Reporting Person will provide upon request, to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares sold at each separate price. F3 · balance_after: This Form 4 amendment is being filed solely to correct the number of shares held by the undersigned following this transaction. Read SEC document |
| June 15, 2019 Filed Feb 10, 2020 12:51 UTC | Adverum Biotechnologies, Inc. ADVM · Entity 71889 | Tax withholdingCommon Stock | 35,282 | $10.82 | $381,751.24 |
DisclosureSEC source: 0001209191-20-007754 · doc4.xml · nonDerivative · entry 6 PATTERSON LEONE D · CIK 0001233539 · Director · CEO, President and Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 190,220 F1 · shares: Constitutes shares withheld to cover withholding tax obligations. F2 · balance_after: Does not tie to prior filings as the prior filings did not take into account this transaction. The Form 4 for the latest transaction by the undersigned will be amended to reflect the then current ownership following the transaction reported on that latest filing. Read SEC document |
| June 15, 2019 Filed Feb 10, 2020 12:51 UTC | Adverum Biotechnologies, Inc. ADVM · Entity 71889 | Tax withholdingCommon Stock | 8,570 | $10.82 | $92,727.40 |
DisclosureSEC source: 0001209191-20-007754 · doc4.xml · nonDerivative · entry 5 PATTERSON LEONE D · CIK 0001233539 · Director · CEO, President and Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 225,502 F1 · shares: Constitutes shares withheld to cover withholding tax obligations. F2 · balance_after: Does not tie to prior filings as the prior filings did not take into account this transaction. The Form 4 for the latest transaction by the undersigned will be amended to reflect the then current ownership following the transaction reported on that latest filing. Read SEC document |
| February 14, 2019 Filed Feb 19, 2019 21:15 UTC | Adverum Biotechnologies, Inc. ADVM · Entity 71889 | GrantStock Option (Right to Buy) · Derivative | 800,000 | $0.00 Strike: $3.50 | $0.00 |
DisclosureSEC source: 0001209191-19-011063 · doc4.xml · derivative · entry 1 PATTERSON LEONE D · CIK 0001233539 · Director · CEO, CFO and Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 800,000 Underlying: Common Stock · 800,000 shares Expires 2028-02-13 F1 · derivative.exercise_date: Twenty-five percent (25%) of the total number of shares subject to the option vest and become exercisable on the first anniversary of February 14, 2019 (the "Vesting Commencement Date"), and 1/48 of the total number of shares subject to the option vest and become exercisable each month thereafter, such that all of the shares subject to the option shall become vested and exercisable as of the fourth anniversary of the Vesting Commencement Date, subject to the Reporting Person's continued service with the Issuer on each such vesting date. Read SEC document |
| February 09, 2019 Filed Feb 10, 2020 12:51 UTC | Adverum Biotechnologies, Inc. ADVM · Entity 71889 | Tax withholdingCommon Stock | 8,176 | $3.33 | $27,226.08 |
DisclosureSEC source: 0001209191-20-007754 · doc4.xml · nonDerivative · entry 4 PATTERSON LEONE D · CIK 0001233539 · Director · CEO, President and Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 234,072 F1 · shares: Constitutes shares withheld to cover withholding tax obligations. F2 · balance_after: Does not tie to prior filings as the prior filings did not take into account this transaction. The Form 4 for the latest transaction by the undersigned will be amended to reflect the then current ownership following the transaction reported on that latest filing. Read SEC document |
| October 18, 2018 Filed Oct 22, 2018 20:17 UTC | Adverum Biotechnologies, Inc. ADVM · Entity 71889 | GrantStock Option (Right to Buy) · Derivative | 150,000 | $0.00 Strike: $4.70 | $0.00 |
DisclosureSEC source: 0001209191-18-055834 · doc4.xml · derivative · entry 1 PATTERSON LEONE D · CIK 0001233539 · President, CEO and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 150,000 Underlying: Common Stock · 150,000 shares Expires 2028-10-17 F1 · derivative.exercise_date: Twenty-five percent (25%) of the total number of shares subject to the option vest and become exercisable on the first anniversary of October 18, 2018 (the "Vesting Commencement Date"), and 1/48 of the total number of shares subject to the option vest and become exercisable each month thereafter, such that all of the shares subject to the option shall become vested and exercisable as of the fourth anniversary of the Vesting Commencement Date, subject to the Reporting Person's continued service with the Issuer on each such vesting date. Read SEC document |
| June 15, 2018 Filed Jun 18, 2018 20:37 UTC | Adverum Biotechnologies, Inc. ADVM · Entity 71889 | GrantCommon Stock | 88,496 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-038333 · doc4.xml · nonDerivative · entry 1 PATTERSON LEONE D · CIK 0001233539 · SVP, CFO, Interim Pres and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 268,496 F1 · shares: Represents Restricted Stock Units ("RSUs"). The Reporting Person is entitled to receive one (1) share of Common Stock of the Issuer for each one (1) RSU upon the vesting thereof. Such RSUs vest with respect to 100% of the shares on June 15, 2019, subject to the Reporting Person's continued service with the Issuer on the applicable vesting date. Read SEC document |
| June 15, 2018 Filed Feb 10, 2020 12:51 UTC | Adverum Biotechnologies, Inc. ADVM · Entity 71889 | Tax withholdingCommon Stock | 8,645 | $5.55 | $47,979.75 |
DisclosureSEC source: 0001209191-20-007754 · doc4.xml · nonDerivative · entry 3 PATTERSON LEONE D · CIK 0001233539 · Director · CEO, President and Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 242,248 F1 · shares: Constitutes shares withheld to cover withholding tax obligations. F2 · balance_after: Does not tie to prior filings as the prior filings did not take into account this transaction. The Form 4 for the latest transaction by the undersigned will be amended to reflect the then current ownership following the transaction reported on that latest filing. Read SEC document |
| February 15, 2018 Filed Feb 21, 2018 00:17 UTC | Adverum Biotechnologies, Inc. ADVM · Entity 71889 | GrantStock Option (Right to Buy) · Derivative | 160,000 | $0.00 Strike: $6.40 | $0.00 |
DisclosureSEC source: 0001209191-18-011603 · doc4.xml · derivative · entry 1 PATTERSON LEONE D · CIK 0001233539 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 160,000 Underlying: Common Stock · 160,000 shares Expires 2028-02-14 F1 · derivative.exercise_date: Twenty-five percent (25%) of the total number of shares subject to the option vest and become exercisable on the first anniversary of February 15, 2018 (the "Vesting Commencement Date"), and 1/48 of the total number of shares subject to the option vest and become exercisable each month thereafter, such that all of the shares subject to the option shall become vested and exercisable as of the fourth anniversary of the Vesting Commencement Date, subject to the Reporting Person's continued service with the Issuer on each such vesting date. Read SEC document |
| February 09, 2018 Filed Feb 10, 2020 12:51 UTC | Adverum Biotechnologies, Inc. ADVM · Entity 71889 | Tax withholdingCommon Stock | 8,208 | $7.05 | $57,866.40 |
DisclosureSEC source: 0001209191-20-007754 · doc4.xml · nonDerivative · entry 2 PATTERSON LEONE D · CIK 0001233539 · Director · CEO, President and Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 162,397 F1 · shares: Constitutes shares withheld to cover withholding tax obligations. F2 · balance_after: Does not tie to prior filings as the prior filings did not take into account this transaction. The Form 4 for the latest transaction by the undersigned will be amended to reflect the then current ownership following the transaction reported on that latest filing. Read SEC document |
| June 15, 2017 Filed Feb 10, 2020 12:51 UTC | Adverum Biotechnologies, Inc. ADVM · Entity 71889 | Tax withholdingCommon Stock | 9,395 | $2.70 | $25,366.50 |
DisclosureSEC source: 0001209191-20-007754 · doc4.xml · nonDerivative · entry 1 PATTERSON LEONE D · CIK 0001233539 · Director · CEO, President and Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 170,605 F1 · shares: Constitutes shares withheld to cover withholding tax obligations. F2 · balance_after: Does not tie to prior filings as the prior filings did not take into account this transaction. The Form 4 for the latest transaction by the undersigned will be amended to reflect the then current ownership following the transaction reported on that latest filing. Read SEC document |
| February 09, 2017 Filed Feb 13, 2017 22:43 UTC | Adverum Biotechnologies, Inc. ADVM · Entity 71889 | GrantStock Option (Right to Buy) · Derivative | 116,000 | $0.00 Strike: $2.70 | $0.00 |
DisclosureSEC source: 0001209191-17-010118 · doc4.xml · derivative · entry 2 PATTERSON LEONE D · CIK 0001233539 · CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 116,000 Underlying: Common Stock · 116,000 shares Expires 2027-02-08 F2 · derivative.exercise_date: Twenty-five percent (25%) of the total number of shares subject to the option vest and become exercisable on the first anniversary of the Vesting Commencement Date, and 1/48th of the total number of shares subject to the option vest and become exercisable each month thereafter, such that all of the shares subject to the option shall become vested and exercisable as of the fourth anniversary of the Vesting Commencement Date, subject to the Reporting Person's continued service with the Issuer on each such vesting date. 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.