Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Arno Therapeutics, IncARNI · Entity 179806 | 10% owner | January 25, 2013 | September 08, 2016 |
| Eloxx Pharmaceuticals, Inc.ELOX · Entity 7180 | Director | June 15, 2022 | June 17, 2022 |
| LB PHARMACEUTICALS INCLBRX · Entity 4678 | Director | June 03, 2026 | June 05, 2026 |
| UroGen Pharma Ltd.URGN · Entity 4466 | Director | June 06, 2022 | February 28, 2023 |
| VBI Vaccines Inc/BCVBIV · Entity 111039 | Director | October 30, 2017 | October 31, 2017 |
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.
Arno Therapeutics, Inc
Report date January 25, 2013 · Filed September 08, 2016 · Amendment
Jointly reported with Kariv Tomer, Pontifax Management II, L.P., Pontifax Management 2 G.P. (2007) Ltd.
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy Pontifax (Cayman) II L.P. | 187,156 |
Reported balance
Holding disclosure · report date 2013-01-25 · row 1
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 1 · Balance 187,156 F1: This amendment is being filed to include Pontifax Management II, L.P. ("PM"), Pontifax Management 2 G.P. (2007) Ltd. ("PMGP") and Ran Nussbaum ("Nussbaum") as additional reporting persons to the Form 3 filed by Tomer Kariv ("Kariv") on 1/29/13 and to reflect Kariv as a 10% owner. The reporting persons have re-reported the securities held in Table I solely to gain access to the EDGAR filing system and the Amount of Securities Beneficially Owned has been adjusted to reflect a 1-for-8 combination of the Issuer's common stock completed on 10/29/13. F2: PM is the general partner of each of Pontifax (Cayman) II L.P. ("PC"), Pontifax (Israel) II L.P. ("PI") and Pontifax (Israel) II - Individual Investors L.P. ("PIII" and together with PC and PI, the "Pontifax Funds"). PMGP is the general partner of PM. Each of Kariv and Nussbaum are directors of PMGP. PM and PMGP, through the Pontifax Funds, share a contractual right to designate one member of the Issuer's board of directors and may be deemed to be directors by deputization for purposes of Section 16 of the Exchange Act. The purpose of this amendment is to add PM, PMGP and Nussbaum as reporting persons to the Form 3 originally filed by Kariv on 1/29/13 in order to reflect that the securities shown on such form as held by the Pontifax Funds are beneficially owned by PM, PMGP, Nussbaum and Kariv. F3: This form is also intended to amend the Form 4 statements filed by Kariv on each of 4/10/13, 5/7/13, 6/5/13, 10/31/13, 1/14/16 and 8/17/16, and a Form 5 filed on 2/17/15 (the "Prior Statements") to reflect that the securities shown therein as indirectly held by Kariv through the Pontifax Funds are also beneficially owned by PMII, PMGP and Nussbaum. Each of the reporting persons disclaims beneficial ownership of the securities held by the Pontifax Funds except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission by any reporting person that such person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act or for any other purpose. F4: Each of PM, PMGP and Nussbaum disclaims beneficial ownership of the securities directly held by Kariv as reflected in the Prior Statements, except to the extent of his or its pecuniary interest therein, and this Form 3/A shall not be deemed an admission by PM, PMGP or Nussbaum that any is a beneficial owner of any securities held by Kariv for purposes of Section 16 or any other purpose. |
| Common StockSEC Table I · non-derivative | IndirectBy Pontifax (Israel) II L.P. | 140,977 |
Reported balance
Holding disclosure · report date 2013-01-25 · row 2
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 2 · Balance 140,977 F1: This amendment is being filed to include Pontifax Management II, L.P. ("PM"), Pontifax Management 2 G.P. (2007) Ltd. ("PMGP") and Ran Nussbaum ("Nussbaum") as additional reporting persons to the Form 3 filed by Tomer Kariv ("Kariv") on 1/29/13 and to reflect Kariv as a 10% owner. The reporting persons have re-reported the securities held in Table I solely to gain access to the EDGAR filing system and the Amount of Securities Beneficially Owned has been adjusted to reflect a 1-for-8 combination of the Issuer's common stock completed on 10/29/13. F2: PM is the general partner of each of Pontifax (Cayman) II L.P. ("PC"), Pontifax (Israel) II L.P. ("PI") and Pontifax (Israel) II - Individual Investors L.P. ("PIII" and together with PC and PI, the "Pontifax Funds"). PMGP is the general partner of PM. Each of Kariv and Nussbaum are directors of PMGP. PM and PMGP, through the Pontifax Funds, share a contractual right to designate one member of the Issuer's board of directors and may be deemed to be directors by deputization for purposes of Section 16 of the Exchange Act. The purpose of this amendment is to add PM, PMGP and Nussbaum as reporting persons to the Form 3 originally filed by Kariv on 1/29/13 in order to reflect that the securities shown on such form as held by the Pontifax Funds are beneficially owned by PM, PMGP, Nussbaum and Kariv. F3: This form is also intended to amend the Form 4 statements filed by Kariv on each of 4/10/13, 5/7/13, 6/5/13, 10/31/13, 1/14/16 and 8/17/16, and a Form 5 filed on 2/17/15 (the "Prior Statements") to reflect that the securities shown therein as indirectly held by Kariv through the Pontifax Funds are also beneficially owned by PMII, PMGP and Nussbaum. Each of the reporting persons disclaims beneficial ownership of the securities held by the Pontifax Funds except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission by any reporting person that such person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act or for any other purpose. F4: Each of PM, PMGP and Nussbaum disclaims beneficial ownership of the securities directly held by Kariv as reflected in the Prior Statements, except to the extent of his or its pecuniary interest therein, and this Form 3/A shall not be deemed an admission by PM, PMGP or Nussbaum that any is a beneficial owner of any securities held by Kariv for purposes of Section 16 or any other purpose. |
| Common StockSEC Table I · non-derivative | IndirectBy Pontifax (Israel) II - Individual Investors L.P. | 54,725 |
Reported balance
Holding disclosure · report date 2013-01-25 · row 3
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 3 · Balance 54,725 F1: This amendment is being filed to include Pontifax Management II, L.P. ("PM"), Pontifax Management 2 G.P. (2007) Ltd. ("PMGP") and Ran Nussbaum ("Nussbaum") as additional reporting persons to the Form 3 filed by Tomer Kariv ("Kariv") on 1/29/13 and to reflect Kariv as a 10% owner. The reporting persons have re-reported the securities held in Table I solely to gain access to the EDGAR filing system and the Amount of Securities Beneficially Owned has been adjusted to reflect a 1-for-8 combination of the Issuer's common stock completed on 10/29/13. F2: PM is the general partner of each of Pontifax (Cayman) II L.P. ("PC"), Pontifax (Israel) II L.P. ("PI") and Pontifax (Israel) II - Individual Investors L.P. ("PIII" and together with PC and PI, the "Pontifax Funds"). PMGP is the general partner of PM. Each of Kariv and Nussbaum are directors of PMGP. PM and PMGP, through the Pontifax Funds, share a contractual right to designate one member of the Issuer's board of directors and may be deemed to be directors by deputization for purposes of Section 16 of the Exchange Act. The purpose of this amendment is to add PM, PMGP and Nussbaum as reporting persons to the Form 3 originally filed by Kariv on 1/29/13 in order to reflect that the securities shown on such form as held by the Pontifax Funds are beneficially owned by PM, PMGP, Nussbaum and Kariv. F3: This form is also intended to amend the Form 4 statements filed by Kariv on each of 4/10/13, 5/7/13, 6/5/13, 10/31/13, 1/14/16 and 8/17/16, and a Form 5 filed on 2/17/15 (the "Prior Statements") to reflect that the securities shown therein as indirectly held by Kariv through the Pontifax Funds are also beneficially owned by PMII, PMGP and Nussbaum. Each of the reporting persons disclaims beneficial ownership of the securities held by the Pontifax Funds except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission by any reporting person that such person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act or for any other purpose. F4: Each of PM, PMGP and Nussbaum disclaims beneficial ownership of the securities directly held by Kariv as reflected in the Prior Statements, except to the extent of his or its pecuniary interest therein, and this Form 3/A shall not be deemed an admission by PM, PMGP or Nussbaum that any is a beneficial owner of any securities held by Kariv for purposes of Section 16 or any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: This amendment is being filed to include Pontifax Management II, L.P. ("PM"), Pontifax Management 2 G.P. (2007) Ltd. ("PMGP") and Ran Nussbaum ("Nussbaum") as additional reporting persons to the Form 3 filed by Tomer Kariv ("Kariv") on 1/29/13 and to reflect Kariv as a 10% owner. The reporting persons have re-reported the securities held in Table I solely to gain access to the EDGAR filing system and the Amount of Securities Beneficially Owned has been adjusted to reflect a 1-for-8 combination of the Issuer's common stock completed on 10/29/13.
F2: PM is the general partner of each of Pontifax (Cayman) II L.P. ("PC"), Pontifax (Israel) II L.P. ("PI") and Pontifax (Israel) II - Individual Investors L.P. ("PIII" and together with PC and PI, the "Pontifax Funds"). PMGP is the general partner of PM. Each of Kariv and Nussbaum are directors of PMGP. PM and PMGP, through the Pontifax Funds, share a contractual right to designate one member of the Issuer's board of directors and may be deemed to be directors by deputization for purposes of Section 16 of the Exchange Act. The purpose of this amendment is to add PM, PMGP and Nussbaum as reporting persons to the Form 3 originally filed by Kariv on 1/29/13 in order to reflect that the securities shown on such form as held by the Pontifax Funds are beneficially owned by PM, PMGP, Nussbaum and Kariv.
F3: This form is also intended to amend the Form 4 statements filed by Kariv on each of 4/10/13, 5/7/13, 6/5/13, 10/31/13, 1/14/16 and 8/17/16, and a Form 5 filed on 2/17/15 (the "Prior Statements") to reflect that the securities shown therein as indirectly held by Kariv through the Pontifax Funds are also beneficially owned by PMII, PMGP and Nussbaum. Each of the reporting persons disclaims beneficial ownership of the securities held by the Pontifax Funds except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission by any reporting person that such person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act or for any other purpose.
F4: Each of PM, PMGP and Nussbaum disclaims beneficial ownership of the securities directly held by Kariv as reflected in the Prior Statements, except to the extent of his or its pecuniary interest therein, and this Form 3/A shall not be deemed an admission by PM, PMGP or Nussbaum that any is a beneficial owner of any securities held by Kariv for purposes of Section 16 or any other purpose.
Eloxx Pharmaceuticals, Inc.
Report date June 15, 2022 · Filed June 17, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Options (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.26 · Expires 2032-06-15 | Direct | 20,000 |
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 20,000 · Balance 20,000 F1: The stock option vests as to 50% of the underlying shares on June 15, 2023 and the remainder in twelve (12) equal monthly installments thereafter. F2: The Reporting Person will assign the economic interests of this grant to the Pontifax funds, where he serves as a director of the General Partner. |
Filing footnotes · ownership attribution and instrument terms
F1: The stock option vests as to 50% of the underlying shares on June 15, 2023 and the remainder in twelve (12) equal monthly installments thereafter.
F2: The Reporting Person will assign the economic interests of this grant to the Pontifax funds, where he serves as a director of the General Partner.
LB PHARMACEUTICALS INC
Report date June 03, 2026 · Filed June 05, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $27.95 · Expires 2036-06-02 | Direct | 10,000 |
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 10,000 · Balance 10,000 F1: 100% of the shares underlying the option vest on the earlier of (i) June 3, 2027 or (ii) the date of the Issuer's next annual meeting of stockholders, subject to the Reporting Person's continuous service through such vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: 100% of the shares underlying the option vest on the earlier of (i) June 3, 2027 or (ii) the date of the Issuer's next annual meeting of stockholders, subject to the Reporting Person's continuous service through such vesting date.
UroGen Pharma Ltd.
Report date June 06, 2022 · Filed February 28, 2023 · Amendment
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Ordinary SharesSEC Table I · non-derivative | IndirectManaging member of entities affiliated with Pontifax Management III G.P. (2011) Ltd. | 1,434,958 |
Reported balance
After 2022-06-06 transaction · row 1
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 1 · 2022-06-06 · Exercise / conversion · Acquired 1,030 · Balance 1,434,958 F1: On August 25, 2022, the reporting person filed a Form 4 that inadvertently reported 1,433,928 shares of securities beneficially owned following reported transaction instead of 1,434,958 shares. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.00 · Expires 2022-09-01 | IndirectBy Pontifax Cayman III Limited Partnership | 0 |
Reported balance
After 2022-06-06 transaction · row 2
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 2 · 2022-06-06 · Exercise / conversion · Disposed 1,030 · Balance 0 F2: On August 25, 2022, the reporting person filed a Form 4 that inadvertently list the expiration date as August 31, 2022. |
Filing footnotes · ownership attribution and instrument terms
F1: On August 25, 2022, the reporting person filed a Form 4 that inadvertently reported 1,433,928 shares of securities beneficially owned following reported transaction instead of 1,434,958 shares.
F2: On August 25, 2022, the reporting person filed a Form 4 that inadvertently list the expiration date as August 31, 2022.
VBI Vaccines Inc/BC
Report date October 30, 2017 · Filed October 31, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Shares, no par value per shareSEC Table I · non-derivative | IndirectBy Pontifax (Israel) IV Limited Partnership | 1,131,972 |
Reported balance
Holding disclosure · report date 2017-10-30 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 1,131,972 F1: Mr. Nussmaun is the general partner of each of Pontifax (Israel) IV Limited Partnership, Pontifax (Cayman) IV Limited Partnership and Pontifax (China) IV Limited Partnership and may be deemed to beneficially own the securities held by such entities. Mr. Nussbaum disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein. Mr. Nussbaum states that neither the filing of this statement nor anything herein shall be deemed an admission that Mr. Nussbaum is, for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise, the beneficial owner of these securities. |
| Common Shares, no par value per shareSEC Table I · non-derivative | IndirectBy Pontifax (Cayman) IV Limited Partnership | 551,089 |
Reported balance
Holding disclosure · report date 2017-10-30 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 551,089 F1: Mr. Nussmaun is the general partner of each of Pontifax (Israel) IV Limited Partnership, Pontifax (Cayman) IV Limited Partnership and Pontifax (China) IV Limited Partnership and may be deemed to beneficially own the securities held by such entities. Mr. Nussbaum disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein. Mr. Nussbaum states that neither the filing of this statement nor anything herein shall be deemed an admission that Mr. Nussbaum is, for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise, the beneficial owner of these securities. |
| Common Shares, no par value per shareSEC Table I · non-derivative | IndirectBy Pontifax (China) IV Limited Partnership | 612,022 |
Reported balance
Holding disclosure · report date 2017-10-30 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 612,022 F1: Mr. Nussmaun is the general partner of each of Pontifax (Israel) IV Limited Partnership, Pontifax (Cayman) IV Limited Partnership and Pontifax (China) IV Limited Partnership and may be deemed to beneficially own the securities held by such entities. Mr. Nussbaum disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein. Mr. Nussbaum states that neither the filing of this statement nor anything herein shall be deemed an admission that Mr. Nussbaum is, for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise, the beneficial owner of these securities. |
| Warrant (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.34 · Expires 2021-10-30 | IndirectBy Pontifax (Israel) IV Limited Partnership | Not disclosed |
Reported balance
Holding disclosure · report date 2017-10-30 · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · Balance Not disclosed F1: Mr. Nussmaun is the general partner of each of Pontifax (Israel) IV Limited Partnership, Pontifax (Cayman) IV Limited Partnership and Pontifax (China) IV Limited Partnership and may be deemed to beneficially own the securities held by such entities. Mr. Nussbaum disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein. Mr. Nussbaum states that neither the filing of this statement nor anything herein shall be deemed an admission that Mr. Nussbaum is, for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise, the beneficial owner of these securities. |
| Warrant (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.34 · Expires 2021-10-30 | IndirectBy Pontifax (Cayman) IV Limited Partnership | Not disclosed |
Reported balance
Holding disclosure · report date 2017-10-30 · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · Balance Not disclosed F1: Mr. Nussmaun is the general partner of each of Pontifax (Israel) IV Limited Partnership, Pontifax (Cayman) IV Limited Partnership and Pontifax (China) IV Limited Partnership and may be deemed to beneficially own the securities held by such entities. Mr. Nussbaum disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein. Mr. Nussbaum states that neither the filing of this statement nor anything herein shall be deemed an admission that Mr. Nussbaum is, for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise, the beneficial owner of these securities. |
| Warrant (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.34 · Expires 2021-10-30 | IndirectBy Pontifax (China) IV Limited Partnership | Not disclosed |
Reported balance
Holding disclosure · report date 2017-10-30 · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · Balance Not disclosed F1: Mr. Nussmaun is the general partner of each of Pontifax (Israel) IV Limited Partnership, Pontifax (Cayman) IV Limited Partnership and Pontifax (China) IV Limited Partnership and may be deemed to beneficially own the securities held by such entities. Mr. Nussbaum disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein. Mr. Nussbaum states that neither the filing of this statement nor anything herein shall be deemed an admission that Mr. Nussbaum is, for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise, the beneficial owner of these securities. |
Filing footnotes · ownership attribution and instrument terms
F1: Mr. Nussmaun is the general partner of each of Pontifax (Israel) IV Limited Partnership, Pontifax (Cayman) IV Limited Partnership and Pontifax (China) IV Limited Partnership and may be deemed to beneficially own the securities held by such entities. Mr. Nussbaum disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein. Mr. Nussbaum states that neither the filing of this statement nor anything herein shall be deemed an admission that Mr. Nussbaum is, for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise, the beneficial owner of these securities.
Past disclosures · reporting ended (4)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
ARQULE INC
Report date January 16, 2020 · Filed January 16, 2020
Section 16 reporting ended · disclosed 2020-01-16. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy Pontifax Fund | 0 |
Reported balance
After 2020-01-16 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2020-01-16 · Other · Disposed 2,319,920 · Balance 0 F1: On December 6, 2019, ArQule, Inc. (the "Company") entered into an Agreement and Plan of Merger (as amended, supplemented or otherwise modified from time to time, the "Merger Agreement") with Merck Sharpe & Dohme Corp. ("MSD") and Argon Merger Sub, Inc., a wholly-owned subsidiary of MSD ("Merger Sub"), pursuant to which MSD acquired the Company by a tender offer for all shares of Company common stock (the "Offer") and a subsequent merger (the "Merger"), each of which became effective on January 16, 2020. Pursuant to the Merger Agreement, (i) Merger Sub purchased all shares of Company common stock that were validly tendered pursuant to the Offer for a cash payment equal to $20.00 per share (the "Offer Price") and (ii) all shares of Company common stock outstanding immediately prior to the effective time of the Merger (the "Effective Time"), were cancelled and converted automatically into the right to receive the Offer Price. F2: Represents shares of the Issuer held by Pontifax (China) IV, L.P. ("China IV"), a member of the Pontifax Group. Mr. Nussbaum is a Managing Partner of the Pontifax Group. By virtue of this relationship, Mr. Nussbaum may be deemed to share voting and dispositive power with respect to the shares held by China IV. Mr. Nussbaum disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of the shares in this report shall not be deemed to be an admission of beneficial ownership of the reported shares for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise. |
| Common StockSEC Table I · non-derivative | IndirectBy Pontifax Fund | 0 |
Reported balance
After 2020-01-16 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 2 · 2020-01-16 · Other · Disposed 4,290,550 · Balance 0 F1: On December 6, 2019, ArQule, Inc. (the "Company") entered into an Agreement and Plan of Merger (as amended, supplemented or otherwise modified from time to time, the "Merger Agreement") with Merck Sharpe & Dohme Corp. ("MSD") and Argon Merger Sub, Inc., a wholly-owned subsidiary of MSD ("Merger Sub"), pursuant to which MSD acquired the Company by a tender offer for all shares of Company common stock (the "Offer") and a subsequent merger (the "Merger"), each of which became effective on January 16, 2020. Pursuant to the Merger Agreement, (i) Merger Sub purchased all shares of Company common stock that were validly tendered pursuant to the Offer for a cash payment equal to $20.00 per share (the "Offer Price") and (ii) all shares of Company common stock outstanding immediately prior to the effective time of the Merger (the "Effective Time"), were cancelled and converted automatically into the right to receive the Offer Price. F3: Represents shares of the Issuer held by Pontifax (Israel) IV, L.P. ("Israel IV"), a member of the Pontifax Group. Mr. Nussbaum is a Managing Partner of the Pontifax Group. By virtue of this relationship, Mr. Nussbaum may be deemed to share voting and dispositive power with respect to the shares held by Israel IV. Mr. Nussbaum disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of the shares in this report shall not be deemed to be an admission of beneficial ownership of the reported shares for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise. |
| Common StockSEC Table I · non-derivative | IndirectBy Pontifax Fund | 0 |
Reported balance
After 2020-01-16 transaction · row 3
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 3 · 2020-01-16 · Other · Disposed 2,088,816 · Balance 0 F1: On December 6, 2019, ArQule, Inc. (the "Company") entered into an Agreement and Plan of Merger (as amended, supplemented or otherwise modified from time to time, the "Merger Agreement") with Merck Sharpe & Dohme Corp. ("MSD") and Argon Merger Sub, Inc., a wholly-owned subsidiary of MSD ("Merger Sub"), pursuant to which MSD acquired the Company by a tender offer for all shares of Company common stock (the "Offer") and a subsequent merger (the "Merger"), each of which became effective on January 16, 2020. Pursuant to the Merger Agreement, (i) Merger Sub purchased all shares of Company common stock that were validly tendered pursuant to the Offer for a cash payment equal to $20.00 per share (the "Offer Price") and (ii) all shares of Company common stock outstanding immediately prior to the effective time of the Merger (the "Effective Time"), were cancelled and converted automatically into the right to receive the Offer Price. F4: Represents shares of the Issuer held by Pontifax (Cayman) IV, L.P. ("Cayman IV"), a member of the Pontifax Group. Mr. Nussbaum is a Managing Partner of the Pontifax Group. By virtue of this relationship, Mr. Nussbaum may be deemed to share voting and dispositive power with respect to the shares held by Cayman IV. Mr. Nussbaum disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of the shares in this report shall not be deemed to be an admission of beneficial ownership of the reported shares for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise. |
| Common StockSEC Table I · non-derivative | IndirectBy Pontifax Fund | 0 |
Reported balance
After 2020-01-16 transaction · row 4
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 4 · 2020-01-16 · Other · Disposed 36,923 · Balance 0 F1: On December 6, 2019, ArQule, Inc. (the "Company") entered into an Agreement and Plan of Merger (as amended, supplemented or otherwise modified from time to time, the "Merger Agreement") with Merck Sharpe & Dohme Corp. ("MSD") and Argon Merger Sub, Inc., a wholly-owned subsidiary of MSD ("Merger Sub"), pursuant to which MSD acquired the Company by a tender offer for all shares of Company common stock (the "Offer") and a subsequent merger (the "Merger"), each of which became effective on January 16, 2020. Pursuant to the Merger Agreement, (i) Merger Sub purchased all shares of Company common stock that were validly tendered pursuant to the Offer for a cash payment equal to $20.00 per share (the "Offer Price") and (ii) all shares of Company common stock outstanding immediately prior to the effective time of the Merger (the "Effective Time"), were cancelled and converted automatically into the right to receive the Offer Price. F5: Represents shares of the Issuer held by Pontifax Late stage Fund L.P., a member of the Pontifax Group. Mr. Nussbaum is a Managing Partner of the Pontifax Group. By virtue of this relationship, Mr. Nussbaum may be deemed to share voting and dispositive power with respect to the shares held by Pontifax Late stage Fund L.P. Mr. Nussbaum disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of the shares in this report shall not be deemed to be an admission of beneficial ownership of the reported shares for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise. |
| Common StockSEC Table I · non-derivative | IndirectBy Pontifax Fund | 0 |
Reported balance
After 2020-01-16 transaction · row 5
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 5 · 2020-01-16 · Other · Disposed 8,611 · Balance 0 F1: On December 6, 2019, ArQule, Inc. (the "Company") entered into an Agreement and Plan of Merger (as amended, supplemented or otherwise modified from time to time, the "Merger Agreement") with Merck Sharpe & Dohme Corp. ("MSD") and Argon Merger Sub, Inc., a wholly-owned subsidiary of MSD ("Merger Sub"), pursuant to which MSD acquired the Company by a tender offer for all shares of Company common stock (the "Offer") and a subsequent merger (the "Merger"), each of which became effective on January 16, 2020. Pursuant to the Merger Agreement, (i) Merger Sub purchased all shares of Company common stock that were validly tendered pursuant to the Offer for a cash payment equal to $20.00 per share (the "Offer Price") and (ii) all shares of Company common stock outstanding immediately prior to the effective time of the Merger (the "Effective Time"), were cancelled and converted automatically into the right to receive the Offer Price. F6: Represents shares of the Issuer held by Pontifax III Management of Fund (2011) Ltd., a member of the Pontifax Group. Mr. Nussbaum is a Managing Partner of the Pontifax Group. By virtue of this relationship, Mr. Nussbaum may be deemed to share voting and dispositive power with respect to the shares held by Pontifax III Management Fund (2011) Ltd. Mr. Nussbaum disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of the shares in this report shall not be deemed to be an admission of beneficial ownership of the reported shares for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.10 · Expires 2027-11-08 | Direct | 0 |
Reported balance
After 2020-01-16 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2020-01-16 · Disposition to issuer · Disposed 30,000 · Balance 0 F7: Pursuant to the Merger Agreement, immediately prior to the Effective Time, all outstanding Company stock options, to the extent unvested, became fully vested, and at the Effective Time, each outstanding Company stock option was cancelled and converted into the right to receive an amount of cash (subject to any applicable withholding or other taxes required by applicable law) determined by multiplying (i) the number of shares of Company common stock subject to such stock option immediately prior to such cancellation by (ii) the excess, if any, of an amount in cash equal to the Offer Price, without any interest, over the exercise price per share of Company common sotck subject to such stock option, less any applicable tax withholding. Any such option that had an exercise price that equaled or exceeded the Offer Price was cancelled for no consideration. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.48 · Expires 2028-05-08 | Direct | 0 |
Reported balance
After 2020-01-16 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2020-01-16 · Disposition to issuer · Disposed 20,000 · Balance 0 F7: Pursuant to the Merger Agreement, immediately prior to the Effective Time, all outstanding Company stock options, to the extent unvested, became fully vested, and at the Effective Time, each outstanding Company stock option was cancelled and converted into the right to receive an amount of cash (subject to any applicable withholding or other taxes required by applicable law) determined by multiplying (i) the number of shares of Company common stock subject to such stock option immediately prior to such cancellation by (ii) the excess, if any, of an amount in cash equal to the Offer Price, without any interest, over the exercise price per share of Company common sotck subject to such stock option, less any applicable tax withholding. Any such option that had an exercise price that equaled or exceeded the Offer Price was cancelled for no consideration. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $6.21 · Expires 2029-05-13 | Direct | 0 |
Reported balance
After 2020-01-16 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2020-01-16 · Disposition to issuer · Disposed 40,000 · Balance 0 F7: Pursuant to the Merger Agreement, immediately prior to the Effective Time, all outstanding Company stock options, to the extent unvested, became fully vested, and at the Effective Time, each outstanding Company stock option was cancelled and converted into the right to receive an amount of cash (subject to any applicable withholding or other taxes required by applicable law) determined by multiplying (i) the number of shares of Company common stock subject to such stock option immediately prior to such cancellation by (ii) the excess, if any, of an amount in cash equal to the Offer Price, without any interest, over the exercise price per share of Company common sotck subject to such stock option, less any applicable tax withholding. Any such option that had an exercise price that equaled or exceeded the Offer Price was cancelled for no consideration. |
Filing footnotes · ownership attribution and instrument terms
F1: On December 6, 2019, ArQule, Inc. (the "Company") entered into an Agreement and Plan of Merger (as amended, supplemented or otherwise modified from time to time, the "Merger Agreement") with Merck Sharpe & Dohme Corp. ("MSD") and Argon Merger Sub, Inc., a wholly-owned subsidiary of MSD ("Merger Sub"), pursuant to which MSD acquired the Company by a tender offer for all shares of Company common stock (the "Offer") and a subsequent merger (the "Merger"), each of which became effective on January 16, 2020. Pursuant to the Merger Agreement, (i) Merger Sub purchased all shares of Company common stock that were validly tendered pursuant to the Offer for a cash payment equal to $20.00 per share (the "Offer Price") and (ii) all shares of Company common stock outstanding immediately prior to the effective time of the Merger (the "Effective Time"), were cancelled and converted automatically into the right to receive the Offer Price.
F2: Represents shares of the Issuer held by Pontifax (China) IV, L.P. ("China IV"), a member of the Pontifax Group. Mr. Nussbaum is a Managing Partner of the Pontifax Group. By virtue of this relationship, Mr. Nussbaum may be deemed to share voting and dispositive power with respect to the shares held by China IV. Mr. Nussbaum disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of the shares in this report shall not be deemed to be an admission of beneficial ownership of the reported shares for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise.
F3: Represents shares of the Issuer held by Pontifax (Israel) IV, L.P. ("Israel IV"), a member of the Pontifax Group. Mr. Nussbaum is a Managing Partner of the Pontifax Group. By virtue of this relationship, Mr. Nussbaum may be deemed to share voting and dispositive power with respect to the shares held by Israel IV. Mr. Nussbaum disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of the shares in this report shall not be deemed to be an admission of beneficial ownership of the reported shares for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise.
F4: Represents shares of the Issuer held by Pontifax (Cayman) IV, L.P. ("Cayman IV"), a member of the Pontifax Group. Mr. Nussbaum is a Managing Partner of the Pontifax Group. By virtue of this relationship, Mr. Nussbaum may be deemed to share voting and dispositive power with respect to the shares held by Cayman IV. Mr. Nussbaum disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of the shares in this report shall not be deemed to be an admission of beneficial ownership of the reported shares for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise.
F5: Represents shares of the Issuer held by Pontifax Late stage Fund L.P., a member of the Pontifax Group. Mr. Nussbaum is a Managing Partner of the Pontifax Group. By virtue of this relationship, Mr. Nussbaum may be deemed to share voting and dispositive power with respect to the shares held by Pontifax Late stage Fund L.P. Mr. Nussbaum disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of the shares in this report shall not be deemed to be an admission of beneficial ownership of the reported shares for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise.
F6: Represents shares of the Issuer held by Pontifax III Management of Fund (2011) Ltd., a member of the Pontifax Group. Mr. Nussbaum is a Managing Partner of the Pontifax Group. By virtue of this relationship, Mr. Nussbaum may be deemed to share voting and dispositive power with respect to the shares held by Pontifax III Management Fund (2011) Ltd. Mr. Nussbaum disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of the shares in this report shall not be deemed to be an admission of beneficial ownership of the reported shares for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise.
F7: Pursuant to the Merger Agreement, immediately prior to the Effective Time, all outstanding Company stock options, to the extent unvested, became fully vested, and at the Effective Time, each outstanding Company stock option was cancelled and converted into the right to receive an amount of cash (subject to any applicable withholding or other taxes required by applicable law) determined by multiplying (i) the number of shares of Company common stock subject to such stock option immediately prior to such cancellation by (ii) the excess, if any, of an amount in cash equal to the Offer Price, without any interest, over the exercise price per share of Company common sotck subject to such stock option, less any applicable tax withholding. Any such option that had an exercise price that equaled or exceeded the Offer Price was cancelled for no consideration.
Keros Therapeutics, Inc.
Report date October 15, 2025 · Filed October 17, 2025
Jointly reported with Pontifax Management 4 G.P. (2015) Ltd., Pontifax (Israel) IV, L.P., Pontifax (Cayman) IV L.P., Pontifax (China) IV L.P., Pontifax Late Stage Fund L.P., Pontifax Late Stage GP Ltd., Kariv Tomer
Section 16 reporting ended · disclosed 2025-10-17. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, $0.0001 par value per shareSEC Table I · non-derivative | IndirectBy Pontifax (Israel) IV, L.P. | 0 |
Reported balance
After 2025-10-15 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2025-10-15 · Sale · Disposed 2,284,612 · Balance 0 F1: The securities are held by Pontifax (Israel) IV, L.P. ("Israel IV"). Pontifax Management 4 G.P. (2015) Ltd. ("Management 4") is the ultimate general partner of Israel IV. As a result, Management 4 may be deemed to share voting and dispositive power with respect to the shares held by Israel IV. Each of Tomer Kariv and Ran Nussbaum is a Managing Partner of Management 4 and, as a result, Messrs. Kariv and Nussbaum may be deemed to share voting and investment power with respect to the shares held by Israel IV. Management 4 and Messrs. Kariv and Nussbaum disclaim beneficial ownership of such shares, except to the extent of his or its pecuniary interest therein, and the inclusion of the shares in this report shall not be deemed to be an admission of beneficial ownership of the reported shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise. |
| Common Stock, $0.0001 par value per shareSEC Table I · non-derivative | IndirectBy Pontifax (Cayman) IV, L.P. | 0 |
Reported balance
After 2025-10-15 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2025-10-15 · Sale · Disposed 1,121,045 · Balance 0 F2: The securities are held by Pontifax (Cayman) IV, L.P. ("Cayman IV"). Management 4 is the ultimate general partner of Cayman IV. As a result, Management 4 may be deemed to share voting and dispositive power with respect to the shares held by Cayman IV. Each of Tomer Kariv and Ran Nussbaum is a Managing Partner of Management 4 and, as a result, Messrs. Kariv and Nussbaum may be deemed to share voting and investment power with respect to the shares held by Cayman IV. Management 4 and Messrs. Kariv and Nussbaum disclaim beneficial ownership of such shares, except to the extent of his or its pecuniary interest therein, and the inclusion of the shares in this report shall not be deemed to be an admission of beneficial ownership of the reported shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise. |
| Common Stock, $0.0001 par value per shareSEC Table I · non-derivative | IndirectBy Pontifax (China) IV, L.P. | 0 |
Reported balance
After 2025-10-15 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2025-10-15 · Sale · Disposed 1,226,412 · Balance 0 F3: The securities are held by Pontifax (China) IV, L.P. ("China IV"). Management 4 is the ultimate general partner of China IV. As a result, Management 4 may be deemed to share voting and dispositive power with respect to the shares held by China IV. Each of Tomer Kariv and Ran Nussbaum is a Managing Partner of Management 4 and, as a result, Messrs. Kariv and Nussbaum may be deemed to share voting and investment power with respect to the shares held by China IV. Management 4 and Messrs. Kariv and Nussbaum disclaim beneficial ownership of such shares, except to the extent of his or its pecuniary interest therein, and the inclusion of the shares in this report shall not be deemed to be an admission of beneficial ownership of the reported shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise. |
| Common Stock, $0.0001 par value per shareSEC Table I · non-derivative | IndirectBy Pontifax Late Stage Fund, L.P. | 0 |
Reported balance
After 2025-10-15 transaction · row 4
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 4 · 2025-10-15 · Sale · Disposed 155,262 · Balance 0 F4: The securities are held by Pontifax Late Stage Fund, L.P. ("Late Stage"). Pontifax Late Stage GP Ltd. ("Late Stage GP") is the general partner of Late Stage and the sole shareholder of Late Stage GP is Mr. Shlomo Karako. Pursuant to the Strategic Alliance Agreement, dated August 9, 2018, between Late Stage, Israel IV, Cayman IV and China IV (collectively the, "Pontifax IV Funds"), Late Stage invests side-by-side with the Pontifax IV Funds. By virtue of the strategic relationship, Management 4 and Tomer Kariv and Ran Nussbaum may be deemed to share voting and dispositive power with respect to the shares held by Late Stage in a manner similar to the voting and investment power with respect to the shares held by each of the Pontifax IV Funds. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of his or its pecuniary interest therein. |
| Common Stock, $0.0001 par value per shareSEC Table I · non-derivative | IndirectBy Tomer Kariv | 5,250 |
Reported balance
Holding disclosure · report date 2025-10-15 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 5,250 F5: In connection with the Stock Purchase Agreement, dated October 15, 2025, by and among certain of the Reporting Persons and the Issuer and the resignations of each of Tomer Kariv and Ran Nussbaum from the Issuer's board of directors, the Issuer accelerated the vesting of the restricted stock unit awards and certain options held by Messrs. Kariv and Nussbaum that were previously reported in their respective Form 4 filings. |
| Common Stock, $0.0001 par value per shareSEC Table I · non-derivative | IndirectBy Ran Nussbaum | 5,250 |
Reported balance
Holding disclosure · report date 2025-10-15 · row 6
Holding and transaction disclosures are not merged.
1 source rowRow 6 · Balance 5,250 F5: In connection with the Stock Purchase Agreement, dated October 15, 2025, by and among certain of the Reporting Persons and the Issuer and the resignations of each of Tomer Kariv and Ran Nussbaum from the Issuer's board of directors, the Issuer accelerated the vesting of the restricted stock unit awards and certain options held by Messrs. Kariv and Nussbaum that were previously reported in their respective Form 4 filings. |
Filing footnotes · ownership attribution and instrument terms
F1: The securities are held by Pontifax (Israel) IV, L.P. ("Israel IV"). Pontifax Management 4 G.P. (2015) Ltd. ("Management 4") is the ultimate general partner of Israel IV. As a result, Management 4 may be deemed to share voting and dispositive power with respect to the shares held by Israel IV. Each of Tomer Kariv and Ran Nussbaum is a Managing Partner of Management 4 and, as a result, Messrs. Kariv and Nussbaum may be deemed to share voting and investment power with respect to the shares held by Israel IV. Management 4 and Messrs. Kariv and Nussbaum disclaim beneficial ownership of such shares, except to the extent of his or its pecuniary interest therein, and the inclusion of the shares in this report shall not be deemed to be an admission of beneficial ownership of the reported shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise.
F2: The securities are held by Pontifax (Cayman) IV, L.P. ("Cayman IV"). Management 4 is the ultimate general partner of Cayman IV. As a result, Management 4 may be deemed to share voting and dispositive power with respect to the shares held by Cayman IV. Each of Tomer Kariv and Ran Nussbaum is a Managing Partner of Management 4 and, as a result, Messrs. Kariv and Nussbaum may be deemed to share voting and investment power with respect to the shares held by Cayman IV. Management 4 and Messrs. Kariv and Nussbaum disclaim beneficial ownership of such shares, except to the extent of his or its pecuniary interest therein, and the inclusion of the shares in this report shall not be deemed to be an admission of beneficial ownership of the reported shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise.
F3: The securities are held by Pontifax (China) IV, L.P. ("China IV"). Management 4 is the ultimate general partner of China IV. As a result, Management 4 may be deemed to share voting and dispositive power with respect to the shares held by China IV. Each of Tomer Kariv and Ran Nussbaum is a Managing Partner of Management 4 and, as a result, Messrs. Kariv and Nussbaum may be deemed to share voting and investment power with respect to the shares held by China IV. Management 4 and Messrs. Kariv and Nussbaum disclaim beneficial ownership of such shares, except to the extent of his or its pecuniary interest therein, and the inclusion of the shares in this report shall not be deemed to be an admission of beneficial ownership of the reported shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise.
F4: The securities are held by Pontifax Late Stage Fund, L.P. ("Late Stage"). Pontifax Late Stage GP Ltd. ("Late Stage GP") is the general partner of Late Stage and the sole shareholder of Late Stage GP is Mr. Shlomo Karako. Pursuant to the Strategic Alliance Agreement, dated August 9, 2018, between Late Stage, Israel IV, Cayman IV and China IV (collectively the, "Pontifax IV Funds"), Late Stage invests side-by-side with the Pontifax IV Funds. By virtue of the strategic relationship, Management 4 and Tomer Kariv and Ran Nussbaum may be deemed to share voting and dispositive power with respect to the shares held by Late Stage in a manner similar to the voting and investment power with respect to the shares held by each of the Pontifax IV Funds. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of his or its pecuniary interest therein.
F5: In connection with the Stock Purchase Agreement, dated October 15, 2025, by and among certain of the Reporting Persons and the Issuer and the resignations of each of Tomer Kariv and Ran Nussbaum from the Issuer's board of directors, the Issuer accelerated the vesting of the restricted stock unit awards and certain options held by Messrs. Kariv and Nussbaum that were previously reported in their respective Form 4 filings.
Kite Pharma, Inc.
Report date October 03, 2017 · Filed October 05, 2017
Section 16 reporting ended · disclosed 2017-10-05. 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 2017-10-03 transaction · row 1
1 source rowRow 1 · 2017-10-03 · Disposition to issuer · Disposed 4,360 · Balance 0 F1: On August 27, 2017, Kite Pharma, Inc., a Delaware corporation (the "Company"), entered into an Agreement and Plan of Merger (the "Merger Agreement") with Gilead Sciences, Inc., a Delaware corporation ("Parent"), and Dodgers Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Purchaser"). F2: On October 3, 2017, Purchaser merged with and into the Company pursuant to Section 251(h) of the General Corporation Law of the State of Delaware, with the Company being the surviving corporation and becoming a wholly-owned subsidiary of Parent (the "Merger"), and, pursuant to the terms of the Merger Agreement, each share of Company common stock held by the Reporting Person, other than the shares described in Note 3 below, was converted into the right to receive an amount in cash equal to $180.00 (the "per-share merger consideration"), without interest and subject to any required withholding of taxes. F3: Includes 1,807 shares of Company common stock underlying restricted stock units with respect to Company common stock, including all time-vesting and all performance-vesting restricted stock units, held by a non-employee director of the Company (each a "Director Restricted Stock Unit"). Pursuant to the terms of the Merger Agreement, each Director Restricted Stock Unit held by the Reporting Person fully vested and was cancelled and converted into the right to receive a cash payment equal to the product of (A) $180.00, multiplied by (B) the total number of shares of Company common stock subject to such Director Restricted Stock Unit. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 0 |
Reported balance
After 2017-10-03 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 2 · 2017-10-03 · Disposition to issuer · Disposed 3,520 · Balance 0 F1: On August 27, 2017, Kite Pharma, Inc., a Delaware corporation (the "Company"), entered into an Agreement and Plan of Merger (the "Merger Agreement") with Gilead Sciences, Inc., a Delaware corporation ("Parent"), and Dodgers Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Purchaser"). F2: On October 3, 2017, Purchaser merged with and into the Company pursuant to Section 251(h) of the General Corporation Law of the State of Delaware, with the Company being the surviving corporation and becoming a wholly-owned subsidiary of Parent (the "Merger"), and, pursuant to the terms of the Merger Agreement, each share of Company common stock held by the Reporting Person, other than the shares described in Note 3 below, was converted into the right to receive an amount in cash equal to $180.00 (the "per-share merger consideration"), without interest and subject to any required withholding of taxes. F4: The reporting person is a director of Pontifax Management 2 G.P. (2007) Ltd., which is the general partner of Pontifax Management II L.P., which is the general partner of Pontifax (Cayman) II, L.P., Pontifax (Israel) II, L.P. and Pontifax (Israel) II - Individual Investors, L.P. F5: The securities are held in the name of Pontifax (Cayman) II L.P. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 0 |
Reported balance
After 2017-10-03 transaction · row 3
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 3 · 2017-10-03 · Disposition to issuer · Disposed 2,651 · Balance 0 F1: On August 27, 2017, Kite Pharma, Inc., a Delaware corporation (the "Company"), entered into an Agreement and Plan of Merger (the "Merger Agreement") with Gilead Sciences, Inc., a Delaware corporation ("Parent"), and Dodgers Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Purchaser"). F2: On October 3, 2017, Purchaser merged with and into the Company pursuant to Section 251(h) of the General Corporation Law of the State of Delaware, with the Company being the surviving corporation and becoming a wholly-owned subsidiary of Parent (the "Merger"), and, pursuant to the terms of the Merger Agreement, each share of Company common stock held by the Reporting Person, other than the shares described in Note 3 below, was converted into the right to receive an amount in cash equal to $180.00 (the "per-share merger consideration"), without interest and subject to any required withholding of taxes. F4: The reporting person is a director of Pontifax Management 2 G.P. (2007) Ltd., which is the general partner of Pontifax Management II L.P., which is the general partner of Pontifax (Cayman) II, L.P., Pontifax (Israel) II, L.P. and Pontifax (Israel) II - Individual Investors, L.P. F6: The securities are held in the name of Pontifax (Israel) II, L.P. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 0 |
Reported balance
After 2017-10-03 transaction · row 4
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 4 · 2017-10-03 · Disposition to issuer · Disposed 1,029 · Balance 0 F1: On August 27, 2017, Kite Pharma, Inc., a Delaware corporation (the "Company"), entered into an Agreement and Plan of Merger (the "Merger Agreement") with Gilead Sciences, Inc., a Delaware corporation ("Parent"), and Dodgers Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Purchaser"). F2: On October 3, 2017, Purchaser merged with and into the Company pursuant to Section 251(h) of the General Corporation Law of the State of Delaware, with the Company being the surviving corporation and becoming a wholly-owned subsidiary of Parent (the "Merger"), and, pursuant to the terms of the Merger Agreement, each share of Company common stock held by the Reporting Person, other than the shares described in Note 3 below, was converted into the right to receive an amount in cash equal to $180.00 (the "per-share merger consideration"), without interest and subject to any required withholding of taxes. F4: The reporting person is a director of Pontifax Management 2 G.P. (2007) Ltd., which is the general partner of Pontifax Management II L.P., which is the general partner of Pontifax (Cayman) II, L.P., Pontifax (Israel) II, L.P. and Pontifax (Israel) II - Individual Investors, L.P. F7: The securities are held in the name of Pontifax (Israel) II - Individual Investors L.P. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 0 |
Reported balance
After 2017-10-03 transaction · row 5
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 5 · 2017-10-03 · Disposition to issuer · Disposed 2,632 · Balance 0 F1: On August 27, 2017, Kite Pharma, Inc., a Delaware corporation (the "Company"), entered into an Agreement and Plan of Merger (the "Merger Agreement") with Gilead Sciences, Inc., a Delaware corporation ("Parent"), and Dodgers Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Purchaser"). F2: On October 3, 2017, Purchaser merged with and into the Company pursuant to Section 251(h) of the General Corporation Law of the State of Delaware, with the Company being the surviving corporation and becoming a wholly-owned subsidiary of Parent (the "Merger"), and, pursuant to the terms of the Merger Agreement, each share of Company common stock held by the Reporting Person, other than the shares described in Note 3 below, was converted into the right to receive an amount in cash equal to $180.00 (the "per-share merger consideration"), without interest and subject to any required withholding of taxes. F8: The shares are held in the name of Magna 100 Ltd., of which the reporting person is President and Sultan. |
| Director Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.35 · Expires 2024-03-24 | Direct | 0 |
Reported balance
After 2017-10-03 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2017-10-03 · Disposition to issuer · Disposed 50,000 · Balance 0 F1: On August 27, 2017, Kite Pharma, Inc., a Delaware corporation (the "Company"), entered into an Agreement and Plan of Merger (the "Merger Agreement") with Gilead Sciences, Inc., a Delaware corporation ("Parent"), and Dodgers Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Purchaser"). F2: On October 3, 2017, Purchaser merged with and into the Company pursuant to Section 251(h) of the General Corporation Law of the State of Delaware, with the Company being the surviving corporation and becoming a wholly-owned subsidiary of Parent (the "Merger"), and, pursuant to the terms of the Merger Agreement, each share of Company common stock held by the Reporting Person, other than the shares described in Note 3 below, was converted into the right to receive an amount in cash equal to $180.00 (the "per-share merger consideration"), without interest and subject to any required withholding of taxes. F10: This option was cancelled at the effective time of the Merger in exchange for a cash payment equal to the per-share merger consideration less the exercise price of the option. F9: This option provided for vesting of 1/36th of the shares subject thereto on February 28, 2014, and for vesting of the remaining shares subject thereto in 35 equal monthly installments commencing March 30, 2014. |
| Director Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $59.23 · Expires 2025-06-08 | Direct | 0 |
Reported balance
After 2017-10-03 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2017-10-03 · Disposition to issuer · Disposed 10,000 · Balance 0 F1: On August 27, 2017, Kite Pharma, Inc., a Delaware corporation (the "Company"), entered into an Agreement and Plan of Merger (the "Merger Agreement") with Gilead Sciences, Inc., a Delaware corporation ("Parent"), and Dodgers Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Purchaser"). F2: On October 3, 2017, Purchaser merged with and into the Company pursuant to Section 251(h) of the General Corporation Law of the State of Delaware, with the Company being the surviving corporation and becoming a wholly-owned subsidiary of Parent (the "Merger"), and, pursuant to the terms of the Merger Agreement, each share of Company common stock held by the Reporting Person, other than the shares described in Note 3 below, was converted into the right to receive an amount in cash equal to $180.00 (the "per-share merger consideration"), without interest and subject to any required withholding of taxes. F10: This option was cancelled at the effective time of the Merger in exchange for a cash payment equal to the per-share merger consideration less the exercise price of the option. F11: This option provided for vesting in 12 equal monthly installments following June 9, 2015. |
| Director Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $50.87 · Expires 2026-05-31 | Direct | 0 |
Reported balance
After 2017-10-03 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2017-10-03 · Disposition to issuer · Disposed 7,000 · Balance 0 F1: On August 27, 2017, Kite Pharma, Inc., a Delaware corporation (the "Company"), entered into an Agreement and Plan of Merger (the "Merger Agreement") with Gilead Sciences, Inc., a Delaware corporation ("Parent"), and Dodgers Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Purchaser"). F2: On October 3, 2017, Purchaser merged with and into the Company pursuant to Section 251(h) of the General Corporation Law of the State of Delaware, with the Company being the surviving corporation and becoming a wholly-owned subsidiary of Parent (the "Merger"), and, pursuant to the terms of the Merger Agreement, each share of Company common stock held by the Reporting Person, other than the shares described in Note 3 below, was converted into the right to receive an amount in cash equal to $180.00 (the "per-share merger consideration"), without interest and subject to any required withholding of taxes. F10: This option was cancelled at the effective time of the Merger in exchange for a cash payment equal to the per-share merger consideration less the exercise price of the option. F12: This option provided for vesting in 12 equal monthly installments following June 1, 2016. |
| Director Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $91.21 · Expires 2027-06-19 | Direct | 0 |
Reported balance
After 2017-10-03 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2017-10-03 · Disposition to issuer · Disposed 8,810 · Balance 0 F1: On August 27, 2017, Kite Pharma, Inc., a Delaware corporation (the "Company"), entered into an Agreement and Plan of Merger (the "Merger Agreement") with Gilead Sciences, Inc., a Delaware corporation ("Parent"), and Dodgers Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Purchaser"). F2: On October 3, 2017, Purchaser merged with and into the Company pursuant to Section 251(h) of the General Corporation Law of the State of Delaware, with the Company being the surviving corporation and becoming a wholly-owned subsidiary of Parent (the "Merger"), and, pursuant to the terms of the Merger Agreement, each share of Company common stock held by the Reporting Person, other than the shares described in Note 3 below, was converted into the right to receive an amount in cash equal to $180.00 (the "per-share merger consideration"), without interest and subject to any required withholding of taxes. F10: This option was cancelled at the effective time of the Merger in exchange for a cash payment equal to the per-share merger consideration less the exercise price of the option. F13: This option provided for vesting in 12 equal monthly installments following June 20, 2017. |
Filing footnotes · ownership attribution and instrument terms
F1: On August 27, 2017, Kite Pharma, Inc., a Delaware corporation (the "Company"), entered into an Agreement and Plan of Merger (the "Merger Agreement") with Gilead Sciences, Inc., a Delaware corporation ("Parent"), and Dodgers Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Purchaser").
F2: On October 3, 2017, Purchaser merged with and into the Company pursuant to Section 251(h) of the General Corporation Law of the State of Delaware, with the Company being the surviving corporation and becoming a wholly-owned subsidiary of Parent (the "Merger"), and, pursuant to the terms of the Merger Agreement, each share of Company common stock held by the Reporting Person, other than the shares described in Note 3 below, was converted into the right to receive an amount in cash equal to $180.00 (the "per-share merger consideration"), without interest and subject to any required withholding of taxes.
F3: Includes 1,807 shares of Company common stock underlying restricted stock units with respect to Company common stock, including all time-vesting and all performance-vesting restricted stock units, held by a non-employee director of the Company (each a "Director Restricted Stock Unit"). Pursuant to the terms of the Merger Agreement, each Director Restricted Stock Unit held by the Reporting Person fully vested and was cancelled and converted into the right to receive a cash payment equal to the product of (A) $180.00, multiplied by (B) the total number of shares of Company common stock subject to such Director Restricted Stock Unit.
F4: The reporting person is a director of Pontifax Management 2 G.P. (2007) Ltd., which is the general partner of Pontifax Management II L.P., which is the general partner of Pontifax (Cayman) II, L.P., Pontifax (Israel) II, L.P. and Pontifax (Israel) II - Individual Investors, L.P.
F5: The securities are held in the name of Pontifax (Cayman) II L.P.
F6: The securities are held in the name of Pontifax (Israel) II, L.P.
F7: The securities are held in the name of Pontifax (Israel) II - Individual Investors L.P.
F8: The shares are held in the name of Magna 100 Ltd., of which the reporting person is President and Sultan.
F9: This option provided for vesting of 1/36th of the shares subject thereto on February 28, 2014, and for vesting of the remaining shares subject thereto in 35 equal monthly installments commencing March 30, 2014.
F10: This option was cancelled at the effective time of the Merger in exchange for a cash payment equal to the per-share merger consideration less the exercise price of the option.
F11: This option provided for vesting in 12 equal monthly installments following June 9, 2015.
F12: This option provided for vesting in 12 equal monthly installments following June 1, 2016.
F13: This option provided for vesting in 12 equal monthly installments following June 20, 2017.
Prevail Therapeutics Inc.
Report date January 22, 2021 · Filed January 26, 2021
Section 16 reporting ended · disclosed 2021-01-26. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 0 |
Reported balance
After 2021-01-22 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2021-01-22 · Other · Disposed 1,576,881 · Balance 0 F1: Pursuant to the terms of the Merger Agreement, these shares were tendered and disposed of at the Acceptance Time in exchange for the right to receive (i) $22.50 per share of common stock, net to the seller in cash, without interest (the "Closing Amount"), plus (ii) one contingent value right per share (a "CVR"), which shall represent the right to receive certain consideration based on the achievement of net sales milestones. F2: Includes (a) 242,141 shares held by Pontifax (Cayman) V L.P., (b) 352,209 shares held by Pontifax (China) V L.P., (c) 906,537 shares held by Pontifax (Israel) V Limited Partnership, and (d) 75,994 shares held by Pontifax Late Stage Fund, L.P. (together, the "Pontifax Entities"). Pontifax 5 G.P. L.P.("Pontifax 5 GP") is the general partner of each of the Pontifax Entities, and Pontifax Management 4 G.P. (2015) Ltd. ("Pontifax Management") is the general partner of Pontifax 5 GP. The Reporting Person is one of two Managing Partners of Pontifax Management and, as a result, may be deemed to share voting and investment power with respect to the shares held by each of the Pontifax Entities. The Reporting Person disclaims beneficial ownership of those shares held by the Pontifax Entities, except to the extent of his pecuniary interest therein. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $16.98 | Direct | 0 |
Reported balance
After 2021-01-22 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2021-01-22 · Disposition to issuer · Disposed 17,000 · Balance 0 F3: Pursuant to the Merger Agreement, as of immediately prior to the Effective Time, each option to purchase shares of the Issuer's common stock, whether or not vested, was automatically cancelled, by virtue of the Merger and without any action on the part of the Reporting Person, and the Reporting Person was entitled to receive (A) an amount of cash (less applicable tax withholdings) equal to the product of (i) the excess, if any, of the Closing Amount over the applicable exercise price per share underlying such stock option multiplied by (ii) the total number of shares subject to such stock option, and (B) one CVR for each share subject to such stock option immediately prior to the Effective Time (without regard to vesting). |
Filing footnotes · ownership attribution and instrument terms
F1: Pursuant to the terms of the Merger Agreement, these shares were tendered and disposed of at the Acceptance Time in exchange for the right to receive (i) $22.50 per share of common stock, net to the seller in cash, without interest (the "Closing Amount"), plus (ii) one contingent value right per share (a "CVR"), which shall represent the right to receive certain consideration based on the achievement of net sales milestones.
F2: Includes (a) 242,141 shares held by Pontifax (Cayman) V L.P., (b) 352,209 shares held by Pontifax (China) V L.P., (c) 906,537 shares held by Pontifax (Israel) V Limited Partnership, and (d) 75,994 shares held by Pontifax Late Stage Fund, L.P. (together, the "Pontifax Entities"). Pontifax 5 G.P. L.P.("Pontifax 5 GP") is the general partner of each of the Pontifax Entities, and Pontifax Management 4 G.P. (2015) Ltd. ("Pontifax Management") is the general partner of Pontifax 5 GP. The Reporting Person is one of two Managing Partners of Pontifax Management and, as a result, may be deemed to share voting and investment power with respect to the shares held by each of the Pontifax Entities. The Reporting Person disclaims beneficial ownership of those shares held by the Pontifax Entities, except to the extent of his pecuniary interest therein.
F3: Pursuant to the Merger Agreement, as of immediately prior to the Effective Time, each option to purchase shares of the Issuer's common stock, whether or not vested, was automatically cancelled, by virtue of the Merger and without any action on the part of the Reporting Person, and the Reporting Person was entitled to receive (A) an amount of cash (less applicable tax withholdings) equal to the product of (i) the excess, if any, of the Closing Amount over the applicable exercise price per share underlying such stock option multiplied by (ii) the total number of shares subject to such stock option, and (B) one CVR for each share subject to such stock option immediately prior to the Effective Time (without regard to vesting).
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 |
|---|---|---|---|---|---|---|
| December 24, 2019 Filed Dec 27, 2019 20:48 UTC | ARQULE INC ARQL · Entity 11927 | Exercise / conversionCommon Stock | 445,524 | $1.75 | $779,667.00 |
DisclosureSEC source: 0001104659-19-076530 · tm1927513d1_4.xml · nonDerivative · entry 1 Nussbaum Ran · CIK 0001609805 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Pontifax Fund Disclosed balance after: 2,358,690 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 · ownership.nature: Represents shares of the Issuer held by Pontifax (China) IV, L.P. ("China IV"), a member of the Pontifax Group. Mr. Nussbaum is a Managing Partner of the Pontifax Group. By virtue of this relationship, Mr. Nussbaum may be deemed to share voting and dispositive power with respect to the shares held by China IV. Mr. Nussbaum disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of the shares in this report shall not be deemed to be an admission of beneficial ownership of the reported shares for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise. Read SEC document |
| September 12, 2019 Filed Sep 16, 2019 16:42 UTC | ARQULE INC ARQL · Entity 11927 | OtherCommon Stock Warrants · Derivative | 27,442 | $0.00 Strike: $1.75 | $0.00 |
DisclosureSEC source: 0001019695-19-000029 · primary_doc.xml · derivative · entry 8 Nussbaum Ran · CIK 0001609805 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Pontifax Fund Disclosed balance after: 400,558 Underlying: Common Stock · 27,442 shares Expires 2021-10-20 F4 · derivative.exercise_date: Fully exercisable. F3 · ownership.nature: Represents shares and/or warrants of the Issuer held by Pontifax (Cayman) IV, L.P. ("Cayman IV"), a member of the Pontifax Group. Mr. Nussbaum is a Managing Partner of the Pontifax Group. By virtue of this relationship, Mr. Nussbaum may be deemed to share voting and dispositive power with respect to the shares held by Cayman IV. Mr. Nussbaum disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of the shares in this report shall not be deemed to be an admission of beneficial ownership of the reported shares for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise. Read SEC document |
| September 12, 2019 Filed Sep 16, 2019 16:42 UTC | ARQULE INC ARQL · Entity 11927 | OtherCommon Stock Warrants · Derivative | 56,368 | $0.00 Strike: $1.75 | $0.00 |
DisclosureSEC source: 0001019695-19-000029 · primary_doc.xml · derivative · entry 7 Nussbaum Ran · CIK 0001609805 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Pontifax Fund Disclosed balance after: 823,632 Underlying: Common Stock · 56,368 shares Expires 2021-10-20 F4 · derivative.exercise_date: Fully exercisable. F2 · ownership.nature: Represents shares and/or warrants of the Issuer held by Pontifax (Israel) IV, L.P. ("Israel IV"), a member of the Pontifax Group. Mr. Nussbaum is a Managing Partner of the Pontifax Group. By virtue of this relationship, Mr. Nussbaum may be deemed to share voting and dispositive power with respect to the shares held by Israel IV. Mr. Nussbaum disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of the shares in this report shall not be deemed to be an admission of beneficial ownership of the reported shares for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise. Read SEC document |
| September 12, 2019 Filed Sep 16, 2019 16:42 UTC | ARQULE INC ARQL · Entity 11927 | OtherCommon Stock Warrants · Derivative | 30,476 | $0.00 Strike: $1.75 | $0.00 |
DisclosureSEC source: 0001019695-19-000029 · primary_doc.xml · derivative · entry 6 Nussbaum Ran · CIK 0001609805 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Pontifax Fund Disclosed balance after: 445,524 Underlying: Common Stock · 30,476 shares Expires 2021-10-20 F4 · derivative.exercise_date: Fully exercisable. F1 · ownership.nature: Represents shares and/or warrants of the Issuer held by Pontifax (China) IV, L.P. ("China IV"), a member of the Pontifax Group. Mr. Nussbaum is a Managing Partner of the Pontifax Group. By virtue of this relationship, Mr. Nussbaum may be deemed to share voting and dispositive power with respect to the shares held by China IV. Mr. Nussbaum disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of the shares in this report shall not be deemed to be an admission of beneficial ownership of the reported shares for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise. Read SEC document |
| September 12, 2019 Filed Sep 16, 2019 16:42 UTC | ARQULE INC ARQL · Entity 11927 | OtherCommon Stock | 27,442 | $1.75 | $48,023.50 |
DisclosureSEC source: 0001019695-19-000029 · primary_doc.xml · nonDerivative · entry 3 Nussbaum Ran · CIK 0001609805 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Pontifax Fund Disclosed balance after: 1,723,115 F3 · ownership.nature: Represents shares and/or warrants of the Issuer held by Pontifax (Cayman) IV, L.P. ("Cayman IV"), a member of the Pontifax Group. Mr. Nussbaum is a Managing Partner of the Pontifax Group. By virtue of this relationship, Mr. Nussbaum may be deemed to share voting and dispositive power with respect to the shares held by Cayman IV. Mr. Nussbaum disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of the shares in this report shall not be deemed to be an admission of beneficial ownership of the reported shares for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise. Read SEC document |
| September 12, 2019 Filed Sep 16, 2019 16:42 UTC | ARQULE INC ARQL · Entity 11927 | OtherCommon Stock | 56,368 | $1.75 | $98,644.00 |
DisclosureSEC source: 0001019695-19-000029 · primary_doc.xml · nonDerivative · entry 2 Nussbaum Ran · CIK 0001609805 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Pontifax Fund Disclosed balance after: 3,538,592 F2 · ownership.nature: Represents shares and/or warrants of the Issuer held by Pontifax (Israel) IV, L.P. ("Israel IV"), a member of the Pontifax Group. Mr. Nussbaum is a Managing Partner of the Pontifax Group. By virtue of this relationship, Mr. Nussbaum may be deemed to share voting and dispositive power with respect to the shares held by Israel IV. Mr. Nussbaum disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of the shares in this report shall not be deemed to be an admission of beneficial ownership of the reported shares for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise. Read SEC document |
| September 12, 2019 Filed Sep 16, 2019 16:42 UTC | ARQULE INC ARQL · Entity 11927 | OtherCommon Stock | 30,476 | $1.75 | $53,333.00 |
DisclosureSEC source: 0001019695-19-000029 · primary_doc.xml · nonDerivative · entry 1 Nussbaum Ran · CIK 0001609805 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Pontifax Fund Disclosed balance after: 1,913,166 F1 · ownership.nature: Represents shares and/or warrants of the Issuer held by Pontifax (China) IV, L.P. ("China IV"), a member of the Pontifax Group. Mr. Nussbaum is a Managing Partner of the Pontifax Group. By virtue of this relationship, Mr. Nussbaum may be deemed to share voting and dispositive power with respect to the shares held by China IV. Mr. Nussbaum disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of the shares in this report shall not be deemed to be an admission of beneficial ownership of the reported shares for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise. Read SEC document |
| June 27, 2019 Filed Jul 1, 2019 11:50 UTC | ARQULE INC ARQL · Entity 11927 | PurchaseCommon Stock | 36,923 | $9.75 | $359,999.25 |
DisclosureSEC source: 0001019695-19-000026 · primary_doc.xml · nonDerivative · entry 4 Nussbaum Ran · CIK 0001609805 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Pontifax Fund Disclosed balance after: 36,923 F4 · ownership.nature: Represents shares of the Issuer held by Pontifax Late stage Fund L.P., a member of the Pontifax Group. Mr. Nussbaum is a Managing Partner of the Pontifax Group. By virtue of this relationship, Mr. Nussbaum may be deemed to share voting and dispositive power with respect to the shares held by Pontifax Late stage Fund L.P. Mr. Nussbaum disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of the shares in this report shall not be deemed to be an admission of beneficial ownership of the reported shares for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise. Read SEC document |
| June 27, 2019 Filed Jul 1, 2019 11:50 UTC | ARQULE INC ARQL · Entity 11927 | PurchaseCommon Stock | 72,205 | $9.75 | $703,998.75 |
DisclosureSEC source: 0001019695-19-000026 · primary_doc.xml · nonDerivative · entry 3 Nussbaum Ran · CIK 0001609805 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Pontifax Fund Disclosed balance after: 1,882,690 F3 · ownership.nature: Represents shares of the Issuer held by Pontifax (China) IV, L.P. ("China IV"), a member of the Pontifax Group. Mr. Nussbaum is a Managing Partner of the Pontifax Group. By virtue of this relationship, Mr. Nussbaum may be deemed to share voting and dispositive power with respect to the shares held by China IV. Mr. Nussbaum disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of the shares in this report shall not be deemed to be an admission of beneficial ownership of the reported shares for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise. Read SEC document |
| June 27, 2019 Filed Jul 1, 2019 11:50 UTC | ARQULE INC ARQL · Entity 11927 | PurchaseCommon Stock | 65,016 | $9.75 | $633,906.00 |
DisclosureSEC source: 0001019695-19-000026 · primary_doc.xml · nonDerivative · entry 2 Nussbaum Ran · CIK 0001609805 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Pontifax Fund Disclosed balance after: 1,695,673 F2 · ownership.nature: Represents shares of the Issuer held by Pontifax (Cayman) IV, L.P. ("Cayman IV"), a member of the Pontifax Group. Mr. Nussbaum is a Managing Partner of the Pontifax Group. By virtue of this relationship, Mr. Nussbaum may be deemed to share voting and dispositive power with respect to the shares held by Cayman IV. Mr. Nussbaum disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of the shares in this report shall not be deemed to be an admission of beneficial ownership of the reported shares for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise. Read SEC document |
| June 27, 2019 Filed Jul 1, 2019 11:50 UTC | ARQULE INC ARQL · Entity 11927 | PurchaseCommon Stock | 133,548 | $9.75 | $1,302,093.00 |
DisclosureSEC source: 0001019695-19-000026 · primary_doc.xml · nonDerivative · entry 1 Nussbaum Ran · CIK 0001609805 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Pontifax Fund Disclosed balance after: 3,482,224 F1 · ownership.nature: Represents shares of the Issuer held by Pontifax (Israel) IV, L.P. ("Israel IV"), a member of the Pontifax Group. Mr. Nussbaum is a Managing Partner of the Pontifax Group. By virtue of this relationship, Mr. Nussbaum may be deemed to share voting and dispositive power with respect to the shares held by Israel IV. Mr. Nussbaum disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of the shares in this report shall not be deemed to be an admission of beneficial ownership of the reported shares for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise. Read SEC document |
| June 24, 2019 Filed Jun 26, 2019 20:51 UTC | Eloxx Pharmaceuticals, Inc. ELOX · Entity 7180 | PurchaseCommon Stock | 24,000 | $9.00 | $216,000.00 |
DisclosureSEC source: 0001144204-19-032486 · tv524333_form4.xml · nonDerivative · entry 4 Nussbaum Ran · CIK 0001609805 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Pontifax Investment Fund Disclosed balance after: 24,000 F1 · kind: Reflects the purchase of shares in the offering of Common Stock of Eloxx Pharmaceuticals, Inc. that closed on June 24, 2019. F1 · price: Reflects the purchase of shares in the offering of Common Stock of Eloxx Pharmaceuticals, Inc. that closed on June 24, 2019. F5 · ownership.nature: Represents shares of the Issuer held by Pontifax Late Stage Fund L.P.("Late Stage Fund"). Pontifax Late Stage GP Ltd., the general partner of Late Stage Fund, has a Strategic Alliance Agreement with Pontifax IV. By virtue of this relationship, Mr. Nussbaum may be deemed to share voting and dispositive power with respect to the shares held by Late Stage Fund. Mr. Nussbaum disclaims beneficial ownership of such shares, and the inclusion of the shares in this report shall not be deemed to be an admission of beneficial ownership of the reported shares for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise. Read SEC document |
| June 24, 2019 Filed Jun 26, 2019 20:51 UTC | Eloxx Pharmaceuticals, Inc. ELOX · Entity 7180 | PurchaseCommon Stock | 46,933 | $9.00 | $422,397.00 |
DisclosureSEC source: 0001144204-19-032486 · tv524333_form4.xml · nonDerivative · entry 3 Nussbaum Ran · CIK 0001609805 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Pontifax Investment Fund Disclosed balance after: 567,329 F1 · kind: Reflects the purchase of shares in the offering of Common Stock of Eloxx Pharmaceuticals, Inc. that closed on June 24, 2019. F1 · price: Reflects the purchase of shares in the offering of Common Stock of Eloxx Pharmaceuticals, Inc. that closed on June 24, 2019. F4 · ownership.nature: Represents shares of the Issuer held by Pontifax (China) IV, L.P. ("China IV"). Pontifax IV is the general partner of China IV. Management 4 is the general partner of Pontifax IV. By virtue of this relationship, Mr. Nussbaum may be deemed to share voting and dispositive power with respect to the shares held by China IV. Mr. Nussbaum disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of the shares in this report shall not be deemed to be an admission of beneficial ownership of the reported shares for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise. Read SEC document |
| June 24, 2019 Filed Jun 26, 2019 20:51 UTC | Eloxx Pharmaceuticals, Inc. ELOX · Entity 7180 | PurchaseCommon Stock | 86,806 | $9.00 | $781,254.00 |
DisclosureSEC source: 0001144204-19-032486 · tv524333_form4.xml · nonDerivative · entry 2 Nussbaum Ran · CIK 0001609805 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Pontifax Investment Fund Disclosed balance after: 1,049,310 F1 · kind: Reflects the purchase of shares in the offering of Common Stock of Eloxx Pharmaceuticals, Inc. that closed on June 24, 2019. F1 · price: Reflects the purchase of shares in the offering of Common Stock of Eloxx Pharmaceuticals, Inc. that closed on June 24, 2019. F3 · ownership.nature: Represents shares of the Issuer held by Pontifax (Israel) IV, L.P. ("Israel IV"). Pontifax IV is the general partner of Israel IV. Management 4 is the general partner of Pontifax IV. By virtue of this relationship, Mr. Nussbaum may be deemed to share voting and dispositive power with respect to the shares held by Israel IV. Mr. Nussbaum disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of the shares in this report shall not be deemed to be an admission of beneficial ownership of the reported shares for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise. Read SEC document |
| June 24, 2019 Filed Jun 26, 2019 20:51 UTC | Eloxx Pharmaceuticals, Inc. ELOX · Entity 7180 | PurchaseCommon Stock | 42,261 | $9.00 | $380,349.00 |
DisclosureSEC source: 0001144204-19-032486 · tv524333_form4.xml · nonDerivative · entry 1 Nussbaum Ran · CIK 0001609805 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Pontifax Investment Fund Disclosed balance after: 510,846 F1 · kind: Reflects the purchase of shares in the offering of Common Stock of Eloxx Pharmaceuticals, Inc. that closed on June 24, 2019. F1 · price: Reflects the purchase of shares in the offering of Common Stock of Eloxx Pharmaceuticals, Inc. that closed on June 24, 2019. F2 · ownership.nature: Represents shares of the Issuer held by Pontifax (Cayman) IV, L.P. ("Cayman IV"). Pontifax IV GP L.P. ("Pontifax IV") is the general partner of Cayman IV. Pontifax Management 4 G.P. (2015) Ltd. ("Management 4") is the general partner of Pontifax IV. Mr. Nussbaum is a Managing Partner of Management 4. By virtue of this relationship, Mr. Nussbaum may be deemed to share voting and dispositive power with respect to the shares held by Cayman IV. Mr. Nussbaum disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of the shares in this report shall not be deemed to be an admission of beneficial ownership of the reported shares for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise. Read SEC document |
| June 03, 2019 Filed Jun 5, 2019 20:55 UTC | UroGen Pharma Ltd. URGN · Entity 4466 | GrantStock Option (Right to Buy) · Derivative | 10,000 | $0.00 Strike: $34.83 | $0.00 |
DisclosureSEC source: 0001209191-19-034785 · doc4.xml · derivative · entry 1 Nussbaum Ran · CIK 0001609805 · 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 29, 2019 Filed May 29, 2019 21:21 UTC | Eloxx Pharmaceuticals, Inc. ELOX · Entity 7180 | GrantStock Option (Right to Buy) · Derivative | 20,000 | $0.00 Strike: $9.02 | $0.00 |
DisclosureSEC source: 0001415889-19-000626 · form4-05292019_020529.xml · derivative · entry 1 Nussbaum Ran · CIK 0001609805 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2029-05-29 F1 · derivative.exercise_date: One half (1/2) of the shares underlying the option shall vest on May 29, 2020 (the "Cliff Vesting Date"), the remainder of the grant shall vest in twelve (12) equal installments on each successive monthly anniversary of the Cliff Vesting Date, subject to Reporting Person's continuous service as of each such date. F2 · ownership.direct: The Reporting Person will assign the economic interests of this grant to the Pontifax funds, where he serves as a director of the General Partner. Read SEC document |
| May 29, 2019 Filed May 30, 2019 19:45 UTC Amendment | Eloxx Pharmaceuticals, Inc. ELOX · Entity 7180 | GrantStock Option (Right to Buy) · Derivative | 20,000 | $0.00 Strike: $9.02 | $0.00 |
DisclosureSEC source: 0001415889-19-000632 · form4a-05302019_120527.xml · derivative · entry 1 Nussbaum Ran · CIK 0001609805 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2029-05-29 F1 · derivative.exercise_date: One half (1/2) of the shares underlying the option shall vest on May 29, 2020 (the "Cliff Vesting Date"), the remainder of the grant shall vest in twelve (12) equal installments on each successive monthly anniversary of the Cliff Vesting Date, subject to Reporting Person's continuous service as of each such date. F2 · ownership.direct: The Reporting Person will assign the economic interests of this grant to the Pontifax funds, where he serves as a director of the General Partner. Read SEC document |
| May 14, 2019 Filed May 15, 2019 12:44 UTC | ARQULE INC ARQL · Entity 11927 | GrantDirector Stock Options · Derivative | 40,000 | $0.00 Strike: $6.21 | $0.00 |
DisclosureSEC source: 0001019695-19-000023 · primary_doc.xml · derivative · entry 1 Nussbaum Ran · CIK 0001609805 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Stock · 40,000 shares Expires 2029-05-13 F1 · derivative.exercise_date: The options vest in 1 year from date of grant. Read SEC document |
| July 13, 2018 Filed Oct 22, 2018 14:54 UTC | ARQULE INC ARQL · Entity 11927 | PurchaseCommon Stock | 43,657 | $5.50 | $240,113.50 |
DisclosureSEC source: 0001019695-18-000024 · primary_doc.xml · nonDerivative · entry 3 Nussbaum Ran · CIK 0001609805 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Pontifax Fund Disclosed balance after: 1,630,657 F4 · ownership.nature: Represents shares of the Issuer held by Pontifax (Cayman) IV, L.P. ("Cayman IV"). Pontifax 4 GP L.P. ("Pontifax GP") is the general partner of Cayman IV. Pontifax Management 4 GP (2015) Ltd. ("Management IV") is the general partner of Pontifax GP. Mr. Nussbaum is a Managing Partner of Management IV. By virtue of this relationship, Mr. Nussbaum may be deemed to share voting and dispositive power with respect to the shares held by Cayman IV. Mr. Nussbaum disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of the shares in this report shall not be deemed to be an admission of beneficial ownership of the reported shares for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise. Read SEC document |
| July 13, 2018 Filed Oct 22, 2018 14:54 UTC | ARQULE INC ARQL · Entity 11927 | PurchaseCommon Stock | 89,676 | $5.50 | $493,218.00 |
DisclosureSEC source: 0001019695-18-000024 · primary_doc.xml · nonDerivative · entry 2 Nussbaum Ran · CIK 0001609805 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Pontifax Fund Disclosed balance after: 3,348,676 F3 · ownership.nature: Represents shares of the Issuer held by Pontifax (Israel) IV, L.P. ("Israel IV"). Pontifax 4 GP L.P. ("Pontifax GP") is the general partner of Israel IV. Pontifax Management 4 GP (2015) Ltd. ("Management IV") is the general partner of Pontifax GP. Mr. Nussbaum is a Managing Partner of Management IV. By virtue of this relationship, Mr. Nussbaum may be deemed to share voting and dispositive power with respect to the shares held by Israel IV. Mr. Nussbaum disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of the shares in this report shall not be deemed to be an admission of beneficial ownership of the reported shares for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise. Read SEC document |
| July 13, 2018 Filed Oct 22, 2018 14:54 UTC | ARQULE INC ARQL · Entity 11927 | PurchaseCommon Stock | 48,485 | $5.50 | $266,667.50 |
DisclosureSEC source: 0001019695-18-000024 · primary_doc.xml · nonDerivative · entry 1 Nussbaum Ran · CIK 0001609805 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Pontifax Fund Disclosed balance after: 1,810,485 F2 · ownership.nature: Represents shares of the Issuer held by Pontifax (China) IV, L.P. ("China IV"). Pontifax 4 GP L.P. ("Pontifax GP") is the general partner of China IV. Pontifax Management 4 GP (2015) Ltd. ("Management IV") is the general partner of Pontifax GP. Mr. Nussbaum is a Managing Partner of Management IV. By virtue of this relationship, Mr. Nussbaum may be deemed to share voting and dispositive power with respect to the shares held by China IV. Mr. Nussbaum disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of the shares in this report shall not be deemed to be an admission of beneficial ownership of the reported shares for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise. Read SEC document |
| June 15, 2018 Filed Jun 19, 2018 22:17 UTC | Eloxx Pharmaceuticals, Inc. ELOX · Entity 7180 | GrantStock Option (Right to Buy) · Derivative | 40,000 | $0.00 Strike: $23.27 | $0.00 |
DisclosureSEC source: 0001209191-18-038659 · doc4.xml · derivative · entry 1 Nussbaum Ran · CIK 0001609805 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Stock · 40,000 shares Expires 2028-06-15 F1 · derivative.exercise_date: One half (1/2) of the shares underlying the option shall vest on June 15, 2019 (the "Cliff Vesting Date"), the remainder of the grant shall vest in equal installments on each successive monthly anniversary of the Cliff Vesting Date, subject to Reporting Person's continuous service as of each such date. F2 · ownership.direct: The Reporting Person will assign the economic interests of this grant to the Pontifax funds, where he serves as a General Partner. Read SEC document |
| May 18, 2018 Filed May 18, 2018 17:41 UTC | ARQULE INC ARQL · Entity 11927 | PurchaseCommon Stock | 8,611 | $3.29 | $28,330.19 |
DisclosureSEC source: 0001019695-18-000020 · primary_doc.xml · nonDerivative · entry 1 Nussbaum Ran · CIK 0001609805 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,611 Read SEC document |
| May 18, 2018 Filed May 22, 2018 09:22 UTC Amendment | ARQULE INC ARQL · Entity 11927 | PurchaseCommon Stock | 8,611 | $3.29 | $28,330.19 |
DisclosureSEC source: 0001019695-18-000021 · primary_doc.xml · nonDerivative · entry 1 Nussbaum Ran · CIK 0001609805 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Pontifax Fund Disclosed balance after: 8,611 F1 · ownership.nature: Pontifax III Management of Fund (2011) Ltd. is the management company of Pontifax III. Mr. Nussbaum is one of the directors and shareholders of Pontifax III Management of Fund (2011) Ltd. and by virtue of this relationship, Mr. Nussbaum may be deemed to share voting and dispositive power with respect to the shares held by such entity. In that context, Mr. Nussbaum disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of the shares in this report shall not be deemed to be an admission of beneficial ownership of the reported shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise. Read SEC document |
| May 08, 2018 Filed May 10, 2018 12:45 UTC | ARQULE INC ARQL · Entity 11927 | GrantDirector Stock Options · Derivative | 20,000 | $0.00 Strike: $2.48 | $0.00 |
DisclosureSEC source: 0001019695-18-000006 · primary_doc.xml · derivative · entry 1 Nussbaum Ran · CIK 0001609805 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2028-05-08 F1 · derivative.exercise_date: The options vest 1 year from the date of grant May 8, 2018. Read SEC document |
| May 08, 2018 Filed May 25, 2018 16:30 UTC | ARQULE INC ARQL · Entity 11927 | OtherWarrants · Derivative | 428,000 | Not disclosed Strike: $1.75 | Not disclosed |
DisclosureSEC source: 0001144204-18-031120 · tv495113_form4.xml · derivative · entry 6 Nussbaum Ran · CIK 0001609805 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Pontifax Disclosed balance after: 428,000 Underlying: Common Stock · 428,000 shares Expires 2022-05-08 F1 · kind: This Form 4 reflects the automatic conversion of 6,608 shares of Convertible Preferred Stock, Series A, $.01 per share (the "Shares"), and warrants (the "Warrants") to purchase up to 1,784 Shares (the "Warrant Shares") into shares of common stock and warrants to purchase shares of common stock. As previously reported, on November 7, 2017, ArQule Inc. (the "Issuer") sold the Shares and Warrants to certain institutional investors. Under the terms of the purchase agreements and the certificate of designations, on May 8, 2018 each Share and each Warrant Share automatically converted into 1,000 shares of common stock following upon the filing of a certificate of amendment to the Issuer's restated certificate increasing the number of authorized shares of common stock. F5 · price: The Reporting Persons purchased the Shares and the Warrants together at a price per unit of $1,135 or, on a common stock equivalent basis, $1.35 per unit. The Warrants are currently exercisable, for $1.75 per share, subject to adjustment pursuant to the terms of the Warrants and expire on May 8, 2022. The common stock purchase warrants may not be exercised if, after such exercise, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d) of the Securities Exchange Act of 1934, as amended, more than 19.9% of the shares of common stock outstanding immediately after giving effect to such exercise. F5 · derivative.exercise_date: The Reporting Persons purchased the Shares and the Warrants together at a price per unit of $1,135 or, on a common stock equivalent basis, $1.35 per unit. The Warrants are currently exercisable, for $1.75 per share, subject to adjustment pursuant to the terms of the Warrants and expire on May 8, 2022. The common stock purchase warrants may not be exercised if, after such exercise, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d) of the Securities Exchange Act of 1934, as amended, more than 19.9% of the shares of common stock outstanding immediately after giving effect to such exercise. F4 · ownership.nature: Represents shares and warrants to purchase shares of common stock, as applicable, of the Issuer held by Pontifax (Cayman) IV, L.P. ("Cayman IV"). Pontifax 4 GP L.P. ("Pontifax GP") is the general partner of Cayman IV. Pontifax Management 4 GP (2015) Ltd. ("Management IV") is the general partner of Pontifax GP. Mr. Nussbaum is a Managing Partner of Management IV. By virtue of this relationship, Mr. Nussbaum may be deemed to share voting and dispositive power with respect to the shares held by Cayman IV. Mr. Nussbaum disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of the shares in this report shall not be deemed to be an admission of beneficial ownership of the reported shares for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise. Read SEC document |
| May 08, 2018 Filed May 25, 2018 16:30 UTC | ARQULE INC ARQL · Entity 11927 | OtherWarrants · Derivative | 880,000 | Not disclosed Strike: $1.75 | Not disclosed |
DisclosureSEC source: 0001144204-18-031120 · tv495113_form4.xml · derivative · entry 5 Nussbaum Ran · CIK 0001609805 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Pontifax Disclosed balance after: 880,000 Underlying: Common Stock · 880,000 shares Expires 2022-05-08 F1 · kind: This Form 4 reflects the automatic conversion of 6,608 shares of Convertible Preferred Stock, Series A, $.01 per share (the "Shares"), and warrants (the "Warrants") to purchase up to 1,784 Shares (the "Warrant Shares") into shares of common stock and warrants to purchase shares of common stock. As previously reported, on November 7, 2017, ArQule Inc. (the "Issuer") sold the Shares and Warrants to certain institutional investors. Under the terms of the purchase agreements and the certificate of designations, on May 8, 2018 each Share and each Warrant Share automatically converted into 1,000 shares of common stock following upon the filing of a certificate of amendment to the Issuer's restated certificate increasing the number of authorized shares of common stock. F5 · price: The Reporting Persons purchased the Shares and the Warrants together at a price per unit of $1,135 or, on a common stock equivalent basis, $1.35 per unit. The Warrants are currently exercisable, for $1.75 per share, subject to adjustment pursuant to the terms of the Warrants and expire on May 8, 2022. The common stock purchase warrants may not be exercised if, after such exercise, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d) of the Securities Exchange Act of 1934, as amended, more than 19.9% of the shares of common stock outstanding immediately after giving effect to such exercise. F5 · derivative.exercise_date: The Reporting Persons purchased the Shares and the Warrants together at a price per unit of $1,135 or, on a common stock equivalent basis, $1.35 per unit. The Warrants are currently exercisable, for $1.75 per share, subject to adjustment pursuant to the terms of the Warrants and expire on May 8, 2022. The common stock purchase warrants may not be exercised if, after such exercise, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d) of the Securities Exchange Act of 1934, as amended, more than 19.9% of the shares of common stock outstanding immediately after giving effect to such exercise. F3 · ownership.nature: Represents shares and warrants to purchase shares of common stock, as applicable, of the Issuer held by Pontifax (Israel) IV, L.P. ("Israel IV"). Pontifax 4 GP L.P. ("Pontifax GP") is the general partner of Israel IV. Pontifax Management 4 GP (2015) Ltd. ("Management IV") is the general partner of Pontifax GP. Mr. Nussbaum is a Managing Partner of Management IV. By virtue of this relationship, Mr. Nussbaum may be deemed to share voting and dispositive power with respect to the shares held by Israel IV. Mr. Nussbaum disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of the shares in this report shall not be deemed to be an admission of beneficial ownership of the reported shares for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise. Read SEC document |
| May 08, 2018 Filed May 25, 2018 16:30 UTC | ARQULE INC ARQL · Entity 11927 | OtherWarrants · Derivative | 476,000 | Not disclosed Strike: $1.75 | Not disclosed |
DisclosureSEC source: 0001144204-18-031120 · tv495113_form4.xml · derivative · entry 4 Nussbaum Ran · CIK 0001609805 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Pontifax Disclosed balance after: 476,000 Underlying: Common Stock · 476,000 shares Expires 2022-05-08 F1 · kind: This Form 4 reflects the automatic conversion of 6,608 shares of Convertible Preferred Stock, Series A, $.01 per share (the "Shares"), and warrants (the "Warrants") to purchase up to 1,784 Shares (the "Warrant Shares") into shares of common stock and warrants to purchase shares of common stock. As previously reported, on November 7, 2017, ArQule Inc. (the "Issuer") sold the Shares and Warrants to certain institutional investors. Under the terms of the purchase agreements and the certificate of designations, on May 8, 2018 each Share and each Warrant Share automatically converted into 1,000 shares of common stock following upon the filing of a certificate of amendment to the Issuer's restated certificate increasing the number of authorized shares of common stock. F5 · price: The Reporting Persons purchased the Shares and the Warrants together at a price per unit of $1,135 or, on a common stock equivalent basis, $1.35 per unit. The Warrants are currently exercisable, for $1.75 per share, subject to adjustment pursuant to the terms of the Warrants and expire on May 8, 2022. The common stock purchase warrants may not be exercised if, after such exercise, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d) of the Securities Exchange Act of 1934, as amended, more than 19.9% of the shares of common stock outstanding immediately after giving effect to such exercise. F5 · derivative.exercise_date: The Reporting Persons purchased the Shares and the Warrants together at a price per unit of $1,135 or, on a common stock equivalent basis, $1.35 per unit. The Warrants are currently exercisable, for $1.75 per share, subject to adjustment pursuant to the terms of the Warrants and expire on May 8, 2022. The common stock purchase warrants may not be exercised if, after such exercise, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d) of the Securities Exchange Act of 1934, as amended, more than 19.9% of the shares of common stock outstanding immediately after giving effect to such exercise. F2 · ownership.nature: Represents shares and warrants to purchase shares of common stock, as applicable, of the Issuer held by Pontifax (China) IV, L.P. ("China IV"). Pontifax 4 GP L.P. ("Pontifax GP") is the general partner of China IV. Pontifax Management 4 GP (2015) Ltd. ("Management IV") is the general partner of Pontifax GP. Mr. Nussbaum is a Managing Partner of Management IV. By virtue of this relationship, Mr. Nussbaum may be deemed to share voting and dispositive power with respect to the shares held by China IV. Mr. Nussbaum disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of the shares in this report shall not be deemed to be an admission of beneficial ownership of the reported shares for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise. Read SEC document |
| May 08, 2018 Filed May 25, 2018 16:30 UTC | ARQULE INC ARQL · Entity 11927 | OtherCommon Stock | 1,587,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001144204-18-031120 · tv495113_form4.xml · nonDerivative · entry 3 Nussbaum Ran · CIK 0001609805 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Pontifax Disclosed balance after: 1,587,000 F1 · kind: This Form 4 reflects the automatic conversion of 6,608 shares of Convertible Preferred Stock, Series A, $.01 per share (the "Shares"), and warrants (the "Warrants") to purchase up to 1,784 Shares (the "Warrant Shares") into shares of common stock and warrants to purchase shares of common stock. As previously reported, on November 7, 2017, ArQule Inc. (the "Issuer") sold the Shares and Warrants to certain institutional investors. Under the terms of the purchase agreements and the certificate of designations, on May 8, 2018 each Share and each Warrant Share automatically converted into 1,000 shares of common stock following upon the filing of a certificate of amendment to the Issuer's restated certificate increasing the number of authorized shares of common stock. F1 · price: This Form 4 reflects the automatic conversion of 6,608 shares of Convertible Preferred Stock, Series A, $.01 per share (the "Shares"), and warrants (the "Warrants") to purchase up to 1,784 Shares (the "Warrant Shares") into shares of common stock and warrants to purchase shares of common stock. As previously reported, on November 7, 2017, ArQule Inc. (the "Issuer") sold the Shares and Warrants to certain institutional investors. Under the terms of the purchase agreements and the certificate of designations, on May 8, 2018 each Share and each Warrant Share automatically converted into 1,000 shares of common stock following upon the filing of a certificate of amendment to the Issuer's restated certificate increasing the number of authorized shares of common stock. F4 · ownership.nature: Represents shares and warrants to purchase shares of common stock, as applicable, of the Issuer held by Pontifax (Cayman) IV, L.P. ("Cayman IV"). Pontifax 4 GP L.P. ("Pontifax GP") is the general partner of Cayman IV. Pontifax Management 4 GP (2015) Ltd. ("Management IV") is the general partner of Pontifax GP. Mr. Nussbaum is a Managing Partner of Management IV. By virtue of this relationship, Mr. Nussbaum may be deemed to share voting and dispositive power with respect to the shares held by Cayman IV. Mr. Nussbaum disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of the shares in this report shall not be deemed to be an admission of beneficial ownership of the reported shares for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise. Read SEC document |
| May 08, 2018 Filed May 25, 2018 16:30 UTC | ARQULE INC ARQL · Entity 11927 | OtherCommon Stock | 3,259,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001144204-18-031120 · tv495113_form4.xml · nonDerivative · entry 2 Nussbaum Ran · CIK 0001609805 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Pontifax Disclosed balance after: 3,259,000 F1 · kind: This Form 4 reflects the automatic conversion of 6,608 shares of Convertible Preferred Stock, Series A, $.01 per share (the "Shares"), and warrants (the "Warrants") to purchase up to 1,784 Shares (the "Warrant Shares") into shares of common stock and warrants to purchase shares of common stock. As previously reported, on November 7, 2017, ArQule Inc. (the "Issuer") sold the Shares and Warrants to certain institutional investors. Under the terms of the purchase agreements and the certificate of designations, on May 8, 2018 each Share and each Warrant Share automatically converted into 1,000 shares of common stock following upon the filing of a certificate of amendment to the Issuer's restated certificate increasing the number of authorized shares of common stock. F1 · price: This Form 4 reflects the automatic conversion of 6,608 shares of Convertible Preferred Stock, Series A, $.01 per share (the "Shares"), and warrants (the "Warrants") to purchase up to 1,784 Shares (the "Warrant Shares") into shares of common stock and warrants to purchase shares of common stock. As previously reported, on November 7, 2017, ArQule Inc. (the "Issuer") sold the Shares and Warrants to certain institutional investors. Under the terms of the purchase agreements and the certificate of designations, on May 8, 2018 each Share and each Warrant Share automatically converted into 1,000 shares of common stock following upon the filing of a certificate of amendment to the Issuer's restated certificate increasing the number of authorized shares of common stock. F3 · ownership.nature: Represents shares and warrants to purchase shares of common stock, as applicable, of the Issuer held by Pontifax (Israel) IV, L.P. ("Israel IV"). Pontifax 4 GP L.P. ("Pontifax GP") is the general partner of Israel IV. Pontifax Management 4 GP (2015) Ltd. ("Management IV") is the general partner of Pontifax GP. Mr. Nussbaum is a Managing Partner of Management IV. By virtue of this relationship, Mr. Nussbaum may be deemed to share voting and dispositive power with respect to the shares held by Israel IV. Mr. Nussbaum disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of the shares in this report shall not be deemed to be an admission of beneficial ownership of the reported shares for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise. Read SEC document |
| May 08, 2018 Filed May 25, 2018 16:30 UTC | ARQULE INC ARQL · Entity 11927 | OtherCommon Stock | 1,762,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001144204-18-031120 · tv495113_form4.xml · nonDerivative · entry 1 Nussbaum Ran · CIK 0001609805 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Pontifax Disclosed balance after: 1,762,000 F1 · kind: This Form 4 reflects the automatic conversion of 6,608 shares of Convertible Preferred Stock, Series A, $.01 per share (the "Shares"), and warrants (the "Warrants") to purchase up to 1,784 Shares (the "Warrant Shares") into shares of common stock and warrants to purchase shares of common stock. As previously reported, on November 7, 2017, ArQule Inc. (the "Issuer") sold the Shares and Warrants to certain institutional investors. Under the terms of the purchase agreements and the certificate of designations, on May 8, 2018 each Share and each Warrant Share automatically converted into 1,000 shares of common stock following upon the filing of a certificate of amendment to the Issuer's restated certificate increasing the number of authorized shares of common stock. F1 · price: This Form 4 reflects the automatic conversion of 6,608 shares of Convertible Preferred Stock, Series A, $.01 per share (the "Shares"), and warrants (the "Warrants") to purchase up to 1,784 Shares (the "Warrant Shares") into shares of common stock and warrants to purchase shares of common stock. As previously reported, on November 7, 2017, ArQule Inc. (the "Issuer") sold the Shares and Warrants to certain institutional investors. Under the terms of the purchase agreements and the certificate of designations, on May 8, 2018 each Share and each Warrant Share automatically converted into 1,000 shares of common stock following upon the filing of a certificate of amendment to the Issuer's restated certificate increasing the number of authorized shares of common stock. F2 · ownership.nature: Represents shares and warrants to purchase shares of common stock, as applicable, of the Issuer held by Pontifax (China) IV, L.P. ("China IV"). Pontifax 4 GP L.P. ("Pontifax GP") is the general partner of China IV. Pontifax Management 4 GP (2015) Ltd. ("Management IV") is the general partner of Pontifax GP. Mr. Nussbaum is a Managing Partner of Management IV. By virtue of this relationship, Mr. Nussbaum may be deemed to share voting and dispositive power with respect to the shares held by China IV. Mr. Nussbaum disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of the shares in this report shall not be deemed to be an admission of beneficial ownership of the reported shares for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise. Read SEC document |
| April 30, 2018 Filed May 1, 2018 20:34 UTC | Eloxx Pharmaceuticals, Inc. ELOX · Entity 7180 | PurchaseCommon Stock | 93,333 | $9.75 | $909,996.75 |
DisclosureSEC source: 0001209191-18-027112 · doc4.xml · nonDerivative · entry 3 Nussbaum Ran · CIK 0001609805 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Pontifax Investment Fund Disclosed balance after: 520,396 F1 · kind: Reflects the purchase of shares in the follow-on offering of Common Stock of Eloxx Pharmaceuticals, Inc. that closed on April 30, 2018. F4 · ownership.nature: Represents shares of the Issuer held by Pontifax (China) IV, L.P. ("China IV"). Pontifax IV is the general partner of China IV. Management 4 is the general partner of Pontifax IV. By virtue of this relationship, Mr. Nussbaum may be deemed to share voting and dispositive power with respect to the shares held by China IV. Mr. Nussbaum disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of the shares in this report shall not be deemed to be an admission of beneficial ownership of the reported shares for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise. Read SEC document |
| April 30, 2018 Filed May 1, 2018 20:34 UTC | Eloxx Pharmaceuticals, Inc. ELOX · Entity 7180 | PurchaseCommon Stock | 172,626 | $9.75 | $1,683,103.50 |
DisclosureSEC source: 0001209191-18-027112 · doc4.xml · nonDerivative · entry 2 Nussbaum Ran · CIK 0001609805 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Pontifax Investment Fund Disclosed balance after: 962,504 F1 · kind: Reflects the purchase of shares in the follow-on offering of Common Stock of Eloxx Pharmaceuticals, Inc. that closed on April 30, 2018. F3 · ownership.nature: Represents shares of the Issuer held by Pontifax (Israel) IV, L.P. ("Israel IV"). Pontifax IV is the general partner of Israel IV. Management 4 is the general partner of Pontifax IV. By virtue of this relationship, Mr. Nussbaum may be deemed to share voting and dispositive power with respect to the shares held by Israel IV. Mr. Nussbaum disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of the shares in this report shall not be deemed to be an admission of beneficial ownership of the reported shares for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise. Read SEC document |
| April 30, 2018 Filed May 1, 2018 20:34 UTC | Eloxx Pharmaceuticals, Inc. ELOX · Entity 7180 | PurchaseCommon Stock | 84,041 | $9.75 | $819,399.75 |
DisclosureSEC source: 0001209191-18-027112 · doc4.xml · nonDerivative · entry 1 Nussbaum Ran · CIK 0001609805 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Pontifax Investment Fund Disclosed balance after: 468,585 F1 · kind: Reflects the purchase of shares in the follow-on offering of Common Stock of Eloxx Pharmaceuticals, Inc. that closed on April 30, 2018. F2 · ownership.nature: Represents shares of the Issuer held by Pontifax (Cayman) IV, L.P. ("Cayman IV"). Pontifax IV GP L.P. ("Pontifax IV") is the general partner of Cayman IV. Pontifax Management 4 G.P. (2015) Ltd. ("Management 4") is the general partner of Pontifax IV. Mr. Nussbaum is a Managing Partner of Management 4. By virtue of this relationship, Mr. Nussbaum may be deemed to share voting and dispositive power with respect to the shares held by Cayman IV. Mr. Nussbaum disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of the shares in this report shall not be deemed to be an admission of beneficial ownership of the reported shares for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise. Read SEC document |
| March 22, 2018 Filed Mar 23, 2018 20:20 UTC | Eloxx Pharmaceuticals, Inc. ELOX · Entity 7180 | PurchaseCommon Stock | 1,600 | $8.00 | $12,800.00 |
DisclosureSEC source: 0001209191-18-021398 · doc4.xml · nonDerivative · entry 6 Nussbaum Ran · CIK 0001609805 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Pontifax Investment Fund Disclosed balance after: 427,063 F3 · ownership.nature: Represents shares of the Issuer held by Pontifax (China) IV, L.P. ("China IV"). Pontifax IV is the general partner of China IV. Management 4 is the general partner of Pontifax IV. By virtue of this relationship, Mr. Nussbaum may be deemed to share voting and dispositive power with respect to the shares held by China IV. Mr. Nussbaum disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of the shares in this report shall not be deemed to be an admission of beneficial ownership of the reported shares for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise. Read SEC document |
| March 22, 2018 Filed Mar 23, 2018 20:20 UTC | Eloxx Pharmaceuticals, Inc. ELOX · Entity 7180 | PurchaseCommon Stock | 2,959 | $8.00 | $23,672.00 |
DisclosureSEC source: 0001209191-18-021398 · doc4.xml · nonDerivative · entry 5 Nussbaum Ran · CIK 0001609805 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Pontifax Investment Fund Disclosed balance after: 789,878 F2 · ownership.nature: Represents shares of the Issuer held by Pontifax (Israel) IV, L.P. ("Israel IV"). Pontifax IV is the general partner of Israel IV. Management 4 is the general partner of Pontifax IV. By virtue of this relationship, Mr. Nussbaum may be deemed to share voting and dispositive power with respect to the shares held by Israel IV. Mr. Nussbaum disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of the shares in this report shall not be deemed to be an admission of beneficial ownership of the reported shares for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise. Read SEC document |
| March 22, 2018 Filed Mar 23, 2018 20:20 UTC | Eloxx Pharmaceuticals, Inc. ELOX · Entity 7180 | PurchaseCommon Stock | 1,441 | $8.00 | $11,528.00 |
DisclosureSEC source: 0001209191-18-021398 · doc4.xml · nonDerivative · entry 4 Nussbaum Ran · CIK 0001609805 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Pontifax Investment Fund Disclosed balance after: 384,544 F1 · ownership.nature: Represents shares of the Issuer held by Pontifax (Cayman) IV, L.P. ("Cayman IV"). Pontifax IV GP L.P. ("Pontifax IV") is the general partner of Cayman IV. Pontifax Management 4 G.P. (2015) Ltd. ("Management 4") is the general partner of Pontifax IV. Mr. Nussbaum is a Managing Partner of Management 4. By virtue of this relationship, Mr. Nussbaum may be deemed to share voting and dispositive power with respect to the shares held by Cayman IV. Mr. Nussbaum disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of the shares in this report shall not be deemed to be an admission of beneficial ownership of the reported shares for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise. Read SEC document |
| March 21, 2018 Filed Mar 23, 2018 20:20 UTC | Eloxx Pharmaceuticals, Inc. ELOX · Entity 7180 | PurchaseCommon Stock | 1,760 | $7.55 | $13,288.00 |
DisclosureSEC source: 0001209191-18-021398 · doc4.xml · nonDerivative · entry 3 Nussbaum Ran · CIK 0001609805 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Pontifax Investment Fund Disclosed balance after: 425,463 F3 · ownership.nature: Represents shares of the Issuer held by Pontifax (China) IV, L.P. ("China IV"). Pontifax IV is the general partner of China IV. Management 4 is the general partner of Pontifax IV. By virtue of this relationship, Mr. Nussbaum may be deemed to share voting and dispositive power with respect to the shares held by China IV. Mr. Nussbaum disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of the shares in this report shall not be deemed to be an admission of beneficial ownership of the reported shares for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise. Read SEC document |
| March 21, 2018 Filed Mar 23, 2018 20:20 UTC | Eloxx Pharmaceuticals, Inc. ELOX · Entity 7180 | PurchaseCommon Stock | 3,255 | $7.55 | $24,575.25 |
DisclosureSEC source: 0001209191-18-021398 · doc4.xml · nonDerivative · entry 2 Nussbaum Ran · CIK 0001609805 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Pontifax Investment Fund Disclosed balance after: 786,919 F2 · ownership.nature: Represents shares of the Issuer held by Pontifax (Israel) IV, L.P. ("Israel IV"). Pontifax IV is the general partner of Israel IV. Management 4 is the general partner of Pontifax IV. By virtue of this relationship, Mr. Nussbaum may be deemed to share voting and dispositive power with respect to the shares held by Israel IV. Mr. Nussbaum disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of the shares in this report shall not be deemed to be an admission of beneficial ownership of the reported shares for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise. Read SEC document |
| March 21, 2018 Filed Mar 23, 2018 20:20 UTC | Eloxx Pharmaceuticals, Inc. ELOX · Entity 7180 | PurchaseCommon Stock | 1,585 | $7.55 | $11,966.75 |
DisclosureSEC source: 0001209191-18-021398 · doc4.xml · nonDerivative · entry 1 Nussbaum Ran · CIK 0001609805 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Pontifax Investment Fund Disclosed balance after: 383,103 F1 · ownership.nature: Represents shares of the Issuer held by Pontifax (Cayman) IV, L.P. ("Cayman IV"). Pontifax IV GP L.P. ("Pontifax IV") is the general partner of Cayman IV. Pontifax Management 4 G.P. (2015) Ltd. ("Management 4") is the general partner of Pontifax IV. Mr. Nussbaum is a Managing Partner of Management 4. By virtue of this relationship, Mr. Nussbaum may be deemed to share voting and dispositive power with respect to the shares held by Cayman IV. Mr. Nussbaum disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of the shares in this report shall not be deemed to be an admission of beneficial ownership of the reported shares for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise. Read SEC document |
| November 08, 2017 Filed Nov 9, 2017 12:14 UTC | ARQULE INC ARQL · Entity 11927 | GrantDirector Stock Options · Derivative | 30,000 | Not disclosed Strike: $1.10 | Not disclosed |
DisclosureSEC source: 0001019695-17-000028 · primary_doc.xml · derivative · entry 1 Nussbaum Ran · CIK 0001609805 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 Underlying: Common Stock · 30,000 shares Expires 2027-11-08 F2 · price: Initial Director stock option grant. F1 · derivative.exercise_date: The options vest in three equal installments on the first, second and third anniversaries of the date of grant. Read SEC document |
| October 03, 2017 Filed Oct 5, 2017 20:26 UTC | Kite Pharma, Inc. KITE · Entity 172664 | Disposition to issuerDirector Stock Option (Right to Buy) · Derivative | 8,810 | $88.79 Strike: $91.21 | $782,239.90 |
DisclosureSEC source: 0001209191-17-056237 · doc4.xml · derivative · entry 9 Nussbaum Ran · CIK 0001609805 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 8,810 shares Expires 2027-06-19 F1 · date: On August 27, 2017, Kite Pharma, Inc., a Delaware corporation (the "Company"), entered into an Agreement and Plan of Merger (the "Merger Agreement") with Gilead Sciences, Inc., a Delaware corporation ("Parent"), and Dodgers Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Purchaser"). F2 · date: On October 3, 2017, Purchaser merged with and into the Company pursuant to Section 251(h) of the General Corporation Law of the State of Delaware, with the Company being the surviving corporation and becoming a wholly-owned subsidiary of Parent (the "Merger"), and, pursuant to the terms of the Merger Agreement, each share of Company common stock held by the Reporting Person, other than the shares described in Note 3 below, was converted into the right to receive an amount in cash equal to $180.00 (the "per-share merger consideration"), without interest and subject to any required withholding of taxes. F10 · price: This option was cancelled at the effective time of the Merger in exchange for a cash payment equal to the per-share merger consideration less the exercise price of the option. F13 · derivative.exercise_date: This option provided for vesting in 12 equal monthly installments following June 20, 2017. Read SEC document |
| October 03, 2017 Filed Oct 5, 2017 20:26 UTC | Kite Pharma, Inc. KITE · Entity 172664 | Disposition to issuerDirector Stock Option (Right to Buy) · Derivative | 7,000 | $129.13 Strike: $50.87 | $903,910.00 |
DisclosureSEC source: 0001209191-17-056237 · doc4.xml · derivative · entry 8 Nussbaum Ran · CIK 0001609805 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 7,000 shares Expires 2026-05-31 F1 · date: On August 27, 2017, Kite Pharma, Inc., a Delaware corporation (the "Company"), entered into an Agreement and Plan of Merger (the "Merger Agreement") with Gilead Sciences, Inc., a Delaware corporation ("Parent"), and Dodgers Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Purchaser"). F2 · date: On October 3, 2017, Purchaser merged with and into the Company pursuant to Section 251(h) of the General Corporation Law of the State of Delaware, with the Company being the surviving corporation and becoming a wholly-owned subsidiary of Parent (the "Merger"), and, pursuant to the terms of the Merger Agreement, each share of Company common stock held by the Reporting Person, other than the shares described in Note 3 below, was converted into the right to receive an amount in cash equal to $180.00 (the "per-share merger consideration"), without interest and subject to any required withholding of taxes. F10 · price: This option was cancelled at the effective time of the Merger in exchange for a cash payment equal to the per-share merger consideration less the exercise price of the option. F12 · derivative.exercise_date: This option provided for vesting in 12 equal monthly installments following June 1, 2016. Read SEC document |
| October 03, 2017 Filed Oct 5, 2017 20:26 UTC | Kite Pharma, Inc. KITE · Entity 172664 | Disposition to issuerDirector Stock Option (Right to Buy) · Derivative | 10,000 | $120.77 Strike: $59.23 | $1,207,700.00 |
DisclosureSEC source: 0001209191-17-056237 · doc4.xml · derivative · entry 7 Nussbaum Ran · CIK 0001609805 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 10,000 shares Expires 2025-06-08 F1 · date: On August 27, 2017, Kite Pharma, Inc., a Delaware corporation (the "Company"), entered into an Agreement and Plan of Merger (the "Merger Agreement") with Gilead Sciences, Inc., a Delaware corporation ("Parent"), and Dodgers Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Purchaser"). F2 · date: On October 3, 2017, Purchaser merged with and into the Company pursuant to Section 251(h) of the General Corporation Law of the State of Delaware, with the Company being the surviving corporation and becoming a wholly-owned subsidiary of Parent (the "Merger"), and, pursuant to the terms of the Merger Agreement, each share of Company common stock held by the Reporting Person, other than the shares described in Note 3 below, was converted into the right to receive an amount in cash equal to $180.00 (the "per-share merger consideration"), without interest and subject to any required withholding of taxes. F10 · price: This option was cancelled at the effective time of the Merger in exchange for a cash payment equal to the per-share merger consideration less the exercise price of the option. F11 · derivative.exercise_date: This option provided for vesting in 12 equal monthly installments following June 9, 2015. Read SEC document |
| October 03, 2017 Filed Oct 5, 2017 20:26 UTC | Kite Pharma, Inc. KITE · Entity 172664 | Disposition to issuerDirector Stock Option (Right to Buy) · Derivative | 50,000 | $178.65 Strike: $1.35 | $8,932,500.00 |
DisclosureSEC source: 0001209191-17-056237 · doc4.xml · derivative · entry 6 Nussbaum Ran · CIK 0001609805 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 50,000 shares Expires 2024-03-24 F1 · date: On August 27, 2017, Kite Pharma, Inc., a Delaware corporation (the "Company"), entered into an Agreement and Plan of Merger (the "Merger Agreement") with Gilead Sciences, Inc., a Delaware corporation ("Parent"), and Dodgers Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Purchaser"). F2 · date: On October 3, 2017, Purchaser merged with and into the Company pursuant to Section 251(h) of the General Corporation Law of the State of Delaware, with the Company being the surviving corporation and becoming a wholly-owned subsidiary of Parent (the "Merger"), and, pursuant to the terms of the Merger Agreement, each share of Company common stock held by the Reporting Person, other than the shares described in Note 3 below, was converted into the right to receive an amount in cash equal to $180.00 (the "per-share merger consideration"), without interest and subject to any required withholding of taxes. F10 · price: This option was cancelled at the effective time of the Merger in exchange for a cash payment equal to the per-share merger consideration less the exercise price of the option. F9 · derivative.exercise_date: This option provided for vesting of 1/36th of the shares subject thereto on February 28, 2014, and for vesting of the remaining shares subject thereto in 35 equal monthly installments commencing March 30, 2014. Read SEC document |
| October 03, 2017 Filed Oct 5, 2017 20:26 UTC | Kite Pharma, Inc. KITE · Entity 172664 | Disposition to issuerCommon Stock | 2,632 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-17-056237 · doc4.xml · nonDerivative · entry 5 Nussbaum Ran · CIK 0001609805 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 0 F1 · date: On August 27, 2017, Kite Pharma, Inc., a Delaware corporation (the "Company"), entered into an Agreement and Plan of Merger (the "Merger Agreement") with Gilead Sciences, Inc., a Delaware corporation ("Parent"), and Dodgers Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Purchaser"). F2 · date: On October 3, 2017, Purchaser merged with and into the Company pursuant to Section 251(h) of the General Corporation Law of the State of Delaware, with the Company being the surviving corporation and becoming a wholly-owned subsidiary of Parent (the "Merger"), and, pursuant to the terms of the Merger Agreement, each share of Company common stock held by the Reporting Person, other than the shares described in Note 3 below, was converted into the right to receive an amount in cash equal to $180.00 (the "per-share merger consideration"), without interest and subject to any required withholding of taxes. F2 · price: On October 3, 2017, Purchaser merged with and into the Company pursuant to Section 251(h) of the General Corporation Law of the State of Delaware, with the Company being the surviving corporation and becoming a wholly-owned subsidiary of Parent (the "Merger"), and, pursuant to the terms of the Merger Agreement, each share of Company common stock held by the Reporting Person, other than the shares described in Note 3 below, was converted into the right to receive an amount in cash equal to $180.00 (the "per-share merger consideration"), without interest and subject to any required withholding of taxes. F8 · ownership.nature: The shares are held in the name of Magna 100 Ltd., of which the reporting person is President and Sultan. Read SEC document |
| October 03, 2017 Filed Oct 5, 2017 20:26 UTC | Kite Pharma, Inc. KITE · Entity 172664 | Disposition to issuerCommon Stock | 1,029 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-17-056237 · doc4.xml · nonDerivative · entry 4 Nussbaum Ran · CIK 0001609805 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 0 F1 · date: On August 27, 2017, Kite Pharma, Inc., a Delaware corporation (the "Company"), entered into an Agreement and Plan of Merger (the "Merger Agreement") with Gilead Sciences, Inc., a Delaware corporation ("Parent"), and Dodgers Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Purchaser"). F2 · date: On October 3, 2017, Purchaser merged with and into the Company pursuant to Section 251(h) of the General Corporation Law of the State of Delaware, with the Company being the surviving corporation and becoming a wholly-owned subsidiary of Parent (the "Merger"), and, pursuant to the terms of the Merger Agreement, each share of Company common stock held by the Reporting Person, other than the shares described in Note 3 below, was converted into the right to receive an amount in cash equal to $180.00 (the "per-share merger consideration"), without interest and subject to any required withholding of taxes. F2 · price: On October 3, 2017, Purchaser merged with and into the Company pursuant to Section 251(h) of the General Corporation Law of the State of Delaware, with the Company being the surviving corporation and becoming a wholly-owned subsidiary of Parent (the "Merger"), and, pursuant to the terms of the Merger Agreement, each share of Company common stock held by the Reporting Person, other than the shares described in Note 3 below, was converted into the right to receive an amount in cash equal to $180.00 (the "per-share merger consideration"), without interest and subject to any required withholding of taxes. F4 · ownership.nature: The reporting person is a director of Pontifax Management 2 G.P. (2007) Ltd., which is the general partner of Pontifax Management II L.P., which is the general partner of Pontifax (Cayman) II, L.P., Pontifax (Israel) II, L.P. and Pontifax (Israel) II - Individual Investors, L.P. F7 · ownership.nature: The securities are held in the name of Pontifax (Israel) II - Individual Investors L.P. Read SEC document |
| October 03, 2017 Filed Oct 5, 2017 20:26 UTC | Kite Pharma, Inc. KITE · Entity 172664 | Disposition to issuerCommon Stock | 2,651 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-17-056237 · doc4.xml · nonDerivative · entry 3 Nussbaum Ran · CIK 0001609805 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 0 F1 · date: On August 27, 2017, Kite Pharma, Inc., a Delaware corporation (the "Company"), entered into an Agreement and Plan of Merger (the "Merger Agreement") with Gilead Sciences, Inc., a Delaware corporation ("Parent"), and Dodgers Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Purchaser"). F2 · date: On October 3, 2017, Purchaser merged with and into the Company pursuant to Section 251(h) of the General Corporation Law of the State of Delaware, with the Company being the surviving corporation and becoming a wholly-owned subsidiary of Parent (the "Merger"), and, pursuant to the terms of the Merger Agreement, each share of Company common stock held by the Reporting Person, other than the shares described in Note 3 below, was converted into the right to receive an amount in cash equal to $180.00 (the "per-share merger consideration"), without interest and subject to any required withholding of taxes. F2 · price: On October 3, 2017, Purchaser merged with and into the Company pursuant to Section 251(h) of the General Corporation Law of the State of Delaware, with the Company being the surviving corporation and becoming a wholly-owned subsidiary of Parent (the "Merger"), and, pursuant to the terms of the Merger Agreement, each share of Company common stock held by the Reporting Person, other than the shares described in Note 3 below, was converted into the right to receive an amount in cash equal to $180.00 (the "per-share merger consideration"), without interest and subject to any required withholding of taxes. F4 · ownership.nature: The reporting person is a director of Pontifax Management 2 G.P. (2007) Ltd., which is the general partner of Pontifax Management II L.P., which is the general partner of Pontifax (Cayman) II, L.P., Pontifax (Israel) II, L.P. and Pontifax (Israel) II - Individual Investors, L.P. F6 · ownership.nature: The securities are held in the name of Pontifax (Israel) II, L.P. Read SEC document |
| October 03, 2017 Filed Oct 5, 2017 20:26 UTC | Kite Pharma, Inc. KITE · Entity 172664 | Disposition to issuerCommon Stock | 3,520 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-17-056237 · doc4.xml · nonDerivative · entry 2 Nussbaum Ran · CIK 0001609805 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 0 F1 · date: On August 27, 2017, Kite Pharma, Inc., a Delaware corporation (the "Company"), entered into an Agreement and Plan of Merger (the "Merger Agreement") with Gilead Sciences, Inc., a Delaware corporation ("Parent"), and Dodgers Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Purchaser"). F2 · date: On October 3, 2017, Purchaser merged with and into the Company pursuant to Section 251(h) of the General Corporation Law of the State of Delaware, with the Company being the surviving corporation and becoming a wholly-owned subsidiary of Parent (the "Merger"), and, pursuant to the terms of the Merger Agreement, each share of Company common stock held by the Reporting Person, other than the shares described in Note 3 below, was converted into the right to receive an amount in cash equal to $180.00 (the "per-share merger consideration"), without interest and subject to any required withholding of taxes. F2 · price: On October 3, 2017, Purchaser merged with and into the Company pursuant to Section 251(h) of the General Corporation Law of the State of Delaware, with the Company being the surviving corporation and becoming a wholly-owned subsidiary of Parent (the "Merger"), and, pursuant to the terms of the Merger Agreement, each share of Company common stock held by the Reporting Person, other than the shares described in Note 3 below, was converted into the right to receive an amount in cash equal to $180.00 (the "per-share merger consideration"), without interest and subject to any required withholding of taxes. F4 · ownership.nature: The reporting person is a director of Pontifax Management 2 G.P. (2007) Ltd., which is the general partner of Pontifax Management II L.P., which is the general partner of Pontifax (Cayman) II, L.P., Pontifax (Israel) II, L.P. and Pontifax (Israel) II - Individual Investors, L.P. F5 · ownership.nature: The securities are held in the name of Pontifax (Cayman) II L.P. 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.