person · Reporting owner

VANLENT ANNE

Disclosed activity across 7 companies

Tapewire entity: 41284
SEC CIK: 0001229243

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
NOVELION THERAPEUTICS INC.NVLN · Entity 152369	Director	December 22, 2016	December 27, 2016
ObsEva SAOBSV · Entity 114543	Director	January 01, 2023	January 03, 2023
Ocera Therapeutics, Inc.OCRX · Entity 171193	Director	December 11, 2017	December 11, 2017
Trevi Therapeutics, Inc.TRVI · Entity 4387	Director	June 03, 2026	June 04, 2026
Vaxart, Inc.VXRT · Entity 6654	Director	June 12, 2019	June 14, 2019

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.

NOVELION THERAPEUTICS INC.

Report date December 22, 2016 · Filed December 27, 2016

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $8.65 · Expires 2026-12-22	Direct	9,600	Reported balance After 2016-12-22 transaction · row 1 Instrument identity requires review; Table II rows are not merged. 1 source row Row 1 · 2016-12-22 · Grant · Acquired 9,600 · Balance 9,600 F1: Each option has an exercise price equal to the closing price of a common share of the Issuer on the Nasdaq Global Select Market on the grant date. F2: The common shares underlying this stock option award will vest in equal monthly installments over 36 months, beginning one month after the grant date.

Filing footnotes · ownership attribution and instrument terms

F1: Each option has an exercise price equal to the closing price of a common share of the Issuer on the Nasdaq Global Select Market on the grant date.

F2: The common shares underlying this stock option award will vest in equal monthly installments over 36 months, beginning one month after the grant date.

ObsEva SA

Report date January 01, 2023 · Filed January 03, 2023

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.92 · Expires 2031-05-27	Direct	Not disclosed	Reported balance Holding disclosure · report date 2023-01-01 · row 1 Instrument identity requires review; Table II rows are not merged. 1 source row Row 1 · Balance Not disclosed F1: The shares underlying the option vested or vest in 36 equal monthly installments from May 28, 2021, such that the option is fully vested on the three-year anniversary thereof, subject to the Reporting Person continuing to provide service through each such date.
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.43 · Expires 2032-02-01	Direct	Not disclosed	Reported balance Holding disclosure · report date 2023-01-01 · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · Balance Not disclosed F2: The shares underlying the option vested or will vest in 12 equal monthly installments from February 2, 2022, such that the option is fully vested on the one-year anniversary thereof, subject to the Reporting Person continuing to provide service through each such date.

Filing footnotes · ownership attribution and instrument terms

F1: The shares underlying the option vested or vest in 36 equal monthly installments from May 28, 2021, such that the option is fully vested on the three-year anniversary thereof, subject to the Reporting Person continuing to provide service through each such date.

F2: The shares underlying the option vested or will vest in 12 equal monthly installments from February 2, 2022, such that the option is fully vested on the one-year anniversary thereof, subject to the Reporting Person continuing to provide service through each such date.

Ocera Therapeutics, Inc.

Report date December 11, 2017 · Filed December 11, 2017

Security / award	Ownership account	Disclosure context
Common StockSEC Table I · non-derivative	Direct	Reported balance After 2017-12-11 transaction · row 1 1 source row Row 1 · 2017-12-11 · Disposition to issuer · Disposed 12,500 · Balance 0 F1: Pursuant to an Agreement and Plan of Merger, dated November 1, 2017 (the "Merger Agreement"), by and between Ocera Therapeutics, Inc., a Delaware corporation (the "Issuer"), MAK LLC, a Delaware limited liability company ("Parent"), MEH Acquisition Co., a Delaware corporation and a direct wholly-owned subsidiary of Parent ("Purchaser"), and for limited purposes, Mallinckrodt plc, an Irish public limited company and the ultimate parent entity of Parent and Purchaser ("Mallinckrodt"), Purchaser was merged with and into Issuer on December 11, 2017, with the Issuer surviving as a wholly-owned subsidiary of Parent (the "Merger"). F2: (Continued from Footnote 1) Pursuant to the terms of the Merger Agreement, all shares of common stock, $0.00001 par value per share (the "Shares"), of the Issuer outstanding immediately prior to the effective time of the Merger (the "Effective Time") , were canceled and converted automatically and without any required action on the part of the Reporting Person into the right to receive (i) $1.52 per Share in cash, without interest, plus (ii) one non-transferable contingent value right per Share (each, a "CVR"), which represents the contractual right under a contingent value rights agreement, by and among Parent, Continental Stock Transfer & Trust Company, and for limited purposes, Mallinckrodt (the "CVR Agreement"), entered into on December 7, 2017 to receive one or more payments in cash currently estimated to be up to $2.58 per Share, contingent upon the achievement of certain milestones, in each case, less any required withholding taxes. F3: At the Effective Time of the Merger, each restricted stock unit outstanding, automatically and without any required action on the part of the Reporting Person, became fully vested and canceled in exchange for a right to receive, for each share of common stock underlying the restricted stock unit, (i) an amount in cash, equal to $1.52, without interest plus (ii) one CVR, less any required withholding taxes.
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.26 · Expires 2026-06-13	Direct	Reported balance After 2017-12-11 transaction · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · 2017-12-11 · Disposition to issuer · Disposed 12,500 · Balance 0 F4: Pursuant to the terms of the Merger Agreement, each option to purchase a share of the Issuer's common stock outstanding and unexercised immediately prior to the Effective Time, whether or not vested and which had a per-share exercise price of less than the $1.52 (each, an "In the Money Option") was canceled and converted into the right of the holder of such In the Money Company Stock Option to receive, for each Share underlying such In the Money Company Stock Option, (i) an amount in cash, without interest and subject to deduction for any required withholding taxes, equal to the excess, if any, of $1.52 over the applicable exercise price for such Share, plus (ii) one CVR. F5: (Continued from Footnote 4) All other options (each, an "Out of the Money Option") that were outstanding and unexercised and whether or not vested, were canceled and converted into the right to receive one or more cash payments, if any, at each Milestone Payment Date (as defined in the CVR Agreement) equal to (i) the amount by which the Per Share Value Paid (as defined in the Merger Agreement) exceeds the exercise price payable per Share subject to such Out of the Money Option, less (ii) the amount of all payments previously paid with respect to such Out of the Money Option. Any Out of the Money Option with an exercise price per Share equal to or greater than $4.10 was cancelled without any consideration payable therefore. F6: This Out of the Money Option, which became fully vested on June 14, 2017, was cancelled in connection with the Merger in exchange for the right to receive one or more cash payments, without interest and subject to deduction for any required withholding taxes, equal to (i) the amount by which the Per Share Value Paid (as defined in the Merger Agreement) exceeds $2.26, less (ii) the amount of all payments previously paid with respect to such Out of the Money Option.
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $7.85 · Expires 2023-12-19	Direct	Reported balance After 2017-12-11 transaction · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · 2017-12-11 · Disposition to issuer · Disposed 20,000 · Balance 0 F4: Pursuant to the terms of the Merger Agreement, each option to purchase a share of the Issuer's common stock outstanding and unexercised immediately prior to the Effective Time, whether or not vested and which had a per-share exercise price of less than the $1.52 (each, an "In the Money Option") was canceled and converted into the right of the holder of such In the Money Company Stock Option to receive, for each Share underlying such In the Money Company Stock Option, (i) an amount in cash, without interest and subject to deduction for any required withholding taxes, equal to the excess, if any, of $1.52 over the applicable exercise price for such Share, plus (ii) one CVR. F5: (Continued from Footnote 4) All other options (each, an "Out of the Money Option") that were outstanding and unexercised and whether or not vested, were canceled and converted into the right to receive one or more cash payments, if any, at each Milestone Payment Date (as defined in the CVR Agreement) equal to (i) the amount by which the Per Share Value Paid (as defined in the Merger Agreement) exceeds the exercise price payable per Share subject to such Out of the Money Option, less (ii) the amount of all payments previously paid with respect to such Out of the Money Option. Any Out of the Money Option with an exercise price per Share equal to or greater than $4.10 was cancelled without any consideration payable therefore. F7: This Out of the Money Option, which provided for vesting with respect to 25% of such options on December 19, 2014, with the remaining 75% of such options vesting in equal monthly installments over the next succeeding three year period, was cancelled in connection with the Merger.
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.76 · Expires 2025-06-17	Direct	Reported balance After 2017-12-11 transaction · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · 2017-12-11 · Disposition to issuer · Disposed 10,000 · Balance 0 F4: Pursuant to the terms of the Merger Agreement, each option to purchase a share of the Issuer's common stock outstanding and unexercised immediately prior to the Effective Time, whether or not vested and which had a per-share exercise price of less than the $1.52 (each, an "In the Money Option") was canceled and converted into the right of the holder of such In the Money Company Stock Option to receive, for each Share underlying such In the Money Company Stock Option, (i) an amount in cash, without interest and subject to deduction for any required withholding taxes, equal to the excess, if any, of $1.52 over the applicable exercise price for such Share, plus (ii) one CVR. F5: (Continued from Footnote 4) All other options (each, an "Out of the Money Option") that were outstanding and unexercised and whether or not vested, were canceled and converted into the right to receive one or more cash payments, if any, at each Milestone Payment Date (as defined in the CVR Agreement) equal to (i) the amount by which the Per Share Value Paid (as defined in the Merger Agreement) exceeds the exercise price payable per Share subject to such Out of the Money Option, less (ii) the amount of all payments previously paid with respect to such Out of the Money Option. Any Out of the Money Option with an exercise price per Share equal to or greater than $4.10 was cancelled without any consideration payable therefore. F8: This Out of the Money Option, became fully vested on June 18, 2016, was cancelled in connection with the Merger in exchange for the right to receive one or more cash payments, without interest and subject to deduction for any required withholding taxes, equal to (i) the amount by which the Per Share Value Paid (as defined in the Merger Agreement) exceeds $3.76, less (ii) the amount of all payments previously paid with respect to such Out of the Money Option.
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $48.00 · Expires 2021-04-19	Direct	Reported balance After 2017-12-11 transaction · row 5 Instrument identity requires review; Table II rows are not merged. 1 source row Row 5 · 2017-12-11 · Disposition to issuer · Disposed 2,083 · Balance 0 F4: Pursuant to the terms of the Merger Agreement, each option to purchase a share of the Issuer's common stock outstanding and unexercised immediately prior to the Effective Time, whether or not vested and which had a per-share exercise price of less than the $1.52 (each, an "In the Money Option") was canceled and converted into the right of the holder of such In the Money Company Stock Option to receive, for each Share underlying such In the Money Company Stock Option, (i) an amount in cash, without interest and subject to deduction for any required withholding taxes, equal to the excess, if any, of $1.52 over the applicable exercise price for such Share, plus (ii) one CVR. F5: (Continued from Footnote 4) All other options (each, an "Out of the Money Option") that were outstanding and unexercised and whether or not vested, were canceled and converted into the right to receive one or more cash payments, if any, at each Milestone Payment Date (as defined in the CVR Agreement) equal to (i) the amount by which the Per Share Value Paid (as defined in the Merger Agreement) exceeds the exercise price payable per Share subject to such Out of the Money Option, less (ii) the amount of all payments previously paid with respect to such Out of the Money Option. Any Out of the Money Option with an exercise price per Share equal to or greater than $4.10 was cancelled without any consideration payable therefore. F9: This Out of the Money Option, which became fully vested on April 19, 2012, was cancelled in connection with the Merger for no consideration.
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $50.88 · Expires 2022-08-07	Direct	Reported balance After 2017-12-11 transaction · row 6 Instrument identity requires review; Table II rows are not merged. 1 source row Row 6 · 2017-12-11 · Disposition to issuer · Disposed 2,652 · Balance 0 F4: Pursuant to the terms of the Merger Agreement, each option to purchase a share of the Issuer's common stock outstanding and unexercised immediately prior to the Effective Time, whether or not vested and which had a per-share exercise price of less than the $1.52 (each, an "In the Money Option") was canceled and converted into the right of the holder of such In the Money Company Stock Option to receive, for each Share underlying such In the Money Company Stock Option, (i) an amount in cash, without interest and subject to deduction for any required withholding taxes, equal to the excess, if any, of $1.52 over the applicable exercise price for such Share, plus (ii) one CVR. F5: (Continued from Footnote 4) All other options (each, an "Out of the Money Option") that were outstanding and unexercised and whether or not vested, were canceled and converted into the right to receive one or more cash payments, if any, at each Milestone Payment Date (as defined in the CVR Agreement) equal to (i) the amount by which the Per Share Value Paid (as defined in the Merger Agreement) exceeds the exercise price payable per Share subject to such Out of the Money Option, less (ii) the amount of all payments previously paid with respect to such Out of the Money Option. Any Out of the Money Option with an exercise price per Share equal to or greater than $4.10 was cancelled without any consideration payable therefore. F10: This Out of the Money Option, which became fully vested on December 31, 2013, was cancelled in connection with the Merger for no consideration.
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $7.84 · Expires 2024-06-11	Direct	Reported balance After 2017-12-11 transaction · row 7 Instrument identity requires review; Table II rows are not merged. 1 source row Row 7 · 2017-12-11 · Disposition to issuer · Disposed 10,000 · Balance 0 F4: Pursuant to the terms of the Merger Agreement, each option to purchase a share of the Issuer's common stock outstanding and unexercised immediately prior to the Effective Time, whether or not vested and which had a per-share exercise price of less than the $1.52 (each, an "In the Money Option") was canceled and converted into the right of the holder of such In the Money Company Stock Option to receive, for each Share underlying such In the Money Company Stock Option, (i) an amount in cash, without interest and subject to deduction for any required withholding taxes, equal to the excess, if any, of $1.52 over the applicable exercise price for such Share, plus (ii) one CVR. F5: (Continued from Footnote 4) All other options (each, an "Out of the Money Option") that were outstanding and unexercised and whether or not vested, were canceled and converted into the right to receive one or more cash payments, if any, at each Milestone Payment Date (as defined in the CVR Agreement) equal to (i) the amount by which the Per Share Value Paid (as defined in the Merger Agreement) exceeds the exercise price payable per Share subject to such Out of the Money Option, less (ii) the amount of all payments previously paid with respect to such Out of the Money Option. Any Out of the Money Option with an exercise price per Share equal to or greater than $4.10 was cancelled without any consideration payable therefore. F11: This Out of the Money Option, which became fully vested on July 11, 2015, was cancelled in connection with the Merger for no consideration.

Filing footnotes · ownership attribution and instrument terms

F1: Pursuant to an Agreement and Plan of Merger, dated November 1, 2017 (the "Merger Agreement"), by and between Ocera Therapeutics, Inc., a Delaware corporation (the "Issuer"), MAK LLC, a Delaware limited liability company ("Parent"), MEH Acquisition Co., a Delaware corporation and a direct wholly-owned subsidiary of Parent ("Purchaser"), and for limited purposes, Mallinckrodt plc, an Irish public limited company and the ultimate parent entity of Parent and Purchaser ("Mallinckrodt"), Purchaser was merged with and into Issuer on December 11, 2017, with the Issuer surviving as a wholly-owned subsidiary of Parent (the "Merger").

F2: (Continued from Footnote 1) Pursuant to the terms of the Merger Agreement, all shares of common stock, $0.00001 par value per share (the "Shares"), of the Issuer outstanding immediately prior to the effective time of the Merger (the "Effective Time") , were canceled and converted automatically and without any required action on the part of the Reporting Person into the right to receive (i) $1.52 per Share in cash, without interest, plus (ii) one non-transferable contingent value right per Share (each, a "CVR"), which represents the contractual right under a contingent value rights agreement, by and among Parent, Continental Stock Transfer & Trust Company, and for limited purposes, Mallinckrodt (the "CVR Agreement"), entered into on December 7, 2017 to receive one or more payments in cash currently estimated to be up to $2.58 per Share, contingent upon the achievement of certain milestones, in each case, less any required withholding taxes.

F3: At the Effective Time of the Merger, each restricted stock unit outstanding, automatically and without any required action on the part of the Reporting Person, became fully vested and canceled in exchange for a right to receive, for each share of common stock underlying the restricted stock unit, (i) an amount in cash, equal to $1.52, without interest plus (ii) one CVR, less any required withholding taxes.

F4: Pursuant to the terms of the Merger Agreement, each option to purchase a share of the Issuer's common stock outstanding and unexercised immediately prior to the Effective Time, whether or not vested and which had a per-share exercise price of less than the $1.52 (each, an "In the Money Option") was canceled and converted into the right of the holder of such In the Money Company Stock Option to receive, for each Share underlying such In the Money Company Stock Option, (i) an amount in cash, without interest and subject to deduction for any required withholding taxes, equal to the excess, if any, of $1.52 over the applicable exercise price for such Share, plus (ii) one CVR.

F5: (Continued from Footnote 4) All other options (each, an "Out of the Money Option") that were outstanding and unexercised and whether or not vested, were canceled and converted into the right to receive one or more cash payments, if any, at each Milestone Payment Date (as defined in the CVR Agreement) equal to (i) the amount by which the Per Share Value Paid (as defined in the Merger Agreement) exceeds the exercise price payable per Share subject to such Out of the Money Option, less (ii) the amount of all payments previously paid with respect to such Out of the Money Option. Any Out of the Money Option with an exercise price per Share equal to or greater than $4.10 was cancelled without any consideration payable therefore.

F6: This Out of the Money Option, which became fully vested on June 14, 2017, was cancelled in connection with the Merger in exchange for the right to receive one or more cash payments, without interest and subject to deduction for any required withholding taxes, equal to (i) the amount by which the Per Share Value Paid (as defined in the Merger Agreement) exceeds $2.26, less (ii) the amount of all payments previously paid with respect to such Out of the Money Option.

F7: This Out of the Money Option, which provided for vesting with respect to 25% of such options on December 19, 2014, with the remaining 75% of such options vesting in equal monthly installments over the next succeeding three year period, was cancelled in connection with the Merger.

F8: This Out of the Money Option, became fully vested on June 18, 2016, was cancelled in connection with the Merger in exchange for the right to receive one or more cash payments, without interest and subject to deduction for any required withholding taxes, equal to (i) the amount by which the Per Share Value Paid (as defined in the Merger Agreement) exceeds $3.76, less (ii) the amount of all payments previously paid with respect to such Out of the Money Option.

F9: This Out of the Money Option, which became fully vested on April 19, 2012, was cancelled in connection with the Merger for no consideration.

F10: This Out of the Money Option, which became fully vested on December 31, 2013, was cancelled in connection with the Merger for no consideration.

F11: This Out of the Money Option, which became fully vested on July 11, 2015, was cancelled in connection with the Merger for no consideration.

Trevi Therapeutics, Inc.

Report date June 03, 2026 · Filed June 04, 2026

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Nonstatutory Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $13.45 · Expires 2036-06-02	Direct	35,000	Reported balance After 2026-06-03 transaction · row 1 Instrument identity requires review; Table II rows are not merged. 1 source row Row 1 · 2026-06-03 · Grant · Acquired 35,000 · Balance 35,000 F1: This option was granted on June 3, 2026. This option is scheduled to fully vest on the earlier of (i) the first anniversary of the date of grant and (ii) the date of the next annual meeting of stockholders of the Issuer held following the date of grant, subject to the recipient's continued service as a director, employee or consultant of the Issuer.

Filing footnotes · ownership attribution and instrument terms

F1: This option was granted on June 3, 2026. This option is scheduled to fully vest on the earlier of (i) the first anniversary of the date of grant and (ii) the date of the next annual meeting of stockholders of the Issuer held following the date of grant, subject to the recipient's continued service as a director, employee or consultant of the Issuer.

Vaxart, Inc.

Report date June 12, 2019 · Filed June 14, 2019

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.68 · Expires 2029-06-11	Direct	9,000	Reported balance After 2019-06-12 transaction · row 1 Instrument identity requires review; Table II rows are not merged. 1 source row Row 1 · 2019-06-12 · Grant · Acquired 9,000 · Balance 9,000 F1: The shares subject to this option shall vest annually over three years from the vesting commencement date of February 13, 2018 (the closing date of the merger between privately-held Vaxart, Inc. and Aviragen Therapeutics, Inc.).
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.68 · Expires 2029-06-11	Direct	12,700	Reported balance After 2019-06-12 transaction · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · 2019-06-12 · Grant · Acquired 12,700 · Balance 12,700 F2: The shares subject to this option shall vest on the first anniversary of the 2019 annual meeting of stockholders of the Issuer.

Filing footnotes · ownership attribution and instrument terms

F1: The shares subject to this option shall vest annually over three years from the vesting commencement date of February 13, 2018 (the closing date of the merger between privately-held Vaxart, Inc. and Aviragen Therapeutics, Inc.).

F2: The shares subject to this option shall vest on the first anniversary of the 2019 annual meeting of stockholders of the Issuer.

Past disclosures · reporting ended (2)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

APPLIED GENETIC TECHNOLOGIES CORP

Report date November 30, 2022 · Filed December 01, 2022

Section 16 reporting ended · disclosed 2022-12-01. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosure context
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $15.13 · Expires 2026-08-17	Direct	Reported balance After 2022-11-30 transaction · row 1 Instrument identity requires review; Table II rows are not merged. 1 source row Row 1 · 2022-11-30 · Disposition to issuer · Disposed 16,000 · Balance 0 F1: At the effective time of the Merger, each outstanding option of the Issuer with an exercise price equal to or greater than $0.34 was cancelled without any consideration in respect of such cancelled option.
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $7.75 · Expires 2027-02-28	Direct	Reported balance After 2022-11-30 transaction · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · 2022-11-30 · Disposition to issuer · Disposed 8,000 · Balance 0 F1: At the effective time of the Merger, each outstanding option of the Issuer with an exercise price equal to or greater than $0.34 was cancelled without any consideration in respect of such cancelled option.
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $4.25 · Expires 2028-07-25	Direct	Reported balance After 2022-11-30 transaction · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · 2022-11-30 · Disposition to issuer · Disposed 10,000 · Balance 0 F1: At the effective time of the Merger, each outstanding option of the Issuer with an exercise price equal to or greater than $0.34 was cancelled without any consideration in respect of such cancelled option.
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $6.90 · Expires 2028-11-15	Direct	Reported balance After 2022-11-30 transaction · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · 2022-11-30 · Disposition to issuer · Disposed 10,000 · Balance 0 F1: At the effective time of the Merger, each outstanding option of the Issuer with an exercise price equal to or greater than $0.34 was cancelled without any consideration in respect of such cancelled option.
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.02 · Expires 2029-12-04	Direct	Reported balance After 2022-11-30 transaction · row 5 Instrument identity requires review; Table II rows are not merged. 1 source row Row 5 · 2022-11-30 · Disposition to issuer · Disposed 10,000 · Balance 0 F1: At the effective time of the Merger, each outstanding option of the Issuer with an exercise price equal to or greater than $0.34 was cancelled without any consideration in respect of such cancelled option.
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $4.72 · Expires 2030-12-16	Direct	Reported balance After 2022-11-30 transaction · row 6 Instrument identity requires review; Table II rows are not merged. 1 source row Row 6 · 2022-11-30 · Disposition to issuer · Disposed 12,000 · Balance 0 F1: At the effective time of the Merger, each outstanding option of the Issuer with an exercise price equal to or greater than $0.34 was cancelled without any consideration in respect of such cancelled option.
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.17 · Expires 2031-11-30	Direct	Reported balance After 2022-11-30 transaction · row 7 Instrument identity requires review; Table II rows are not merged. 1 source row Row 7 · 2022-11-30 · Disposition to issuer · Disposed 14,000 · Balance 0 F1: At the effective time of the Merger, each outstanding option of the Issuer with an exercise price equal to or greater than $0.34 was cancelled without any consideration in respect of such cancelled option.

Filing footnotes · ownership attribution and instrument terms

F1: At the effective time of the Merger, each outstanding option of the Issuer with an exercise price equal to or greater than $0.34 was cancelled without any consideration in respect of such cancelled option.

Aegerion Pharmaceuticals, Inc.

Report date November 29, 2016 · Filed December 01, 2016

Section 16 reporting ended · disclosed 2016-12-01. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosure context
Common StockSEC Table I · non-derivative	Direct	Reported balance After 2016-11-29 transaction · row 1 1 source row Row 1 · 2016-11-29 · Disposition to issuer · Disposed 4,000 · Balance 0 F1: Disposed of in exchange for 4,102 common shares of Novelion Therapeutics Inc. pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of June 14, 2016, by and among the Issuer, QLT Inc. ("QLT") and Isotope Acquisition Corp. ("Isotope"), pursuant to which Isotope was merged with and into the Issuer, effective November 29, 2016. Following completion of the merger, QLT was renamed "Novelion Therapeutics Inc."
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $37.66 · Expires 2023-04-26	Direct	Reported balance After 2016-11-29 transaction · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · 2016-11-29 · Disposition to issuer · Disposed 14,700 · Balance 0 F2: Pursuant to the Merger Agreement, at the effective time of the merger, each option to acquire common stock of the Issuer that was outstanding and unexercised immediately prior to the effective time of the merger that had an exercise price per share equal to or greater than $1.88 (the product obtained by multiplying (i) the exchange ratio of 1.0256 by (ii) $1.83, the closing price of a common share of QLT on November 28, 2016) was cancelled without any payment or other consideration therefor.
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $32.55 · Expires 2024-06-26	Direct	Reported balance After 2016-11-29 transaction · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · 2016-11-29 · Disposition to issuer · Disposed 5,012 · Balance 0 F2: Pursuant to the Merger Agreement, at the effective time of the merger, each option to acquire common stock of the Issuer that was outstanding and unexercised immediately prior to the effective time of the merger that had an exercise price per share equal to or greater than $1.88 (the product obtained by multiplying (i) the exchange ratio of 1.0256 by (ii) $1.83, the closing price of a common share of QLT on November 28, 2016) was cancelled without any payment or other consideration therefor.
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $17.98 · Expires 2025-06-26	Direct	Reported balance After 2016-11-29 transaction · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · 2016-11-29 · Disposition to issuer · Disposed 18,000 · Balance 0 F2: Pursuant to the Merger Agreement, at the effective time of the merger, each option to acquire common stock of the Issuer that was outstanding and unexercised immediately prior to the effective time of the merger that had an exercise price per share equal to or greater than $1.88 (the product obtained by multiplying (i) the exchange ratio of 1.0256 by (ii) $1.83, the closing price of a common share of QLT on November 28, 2016) was cancelled without any payment or other consideration therefor.

Filing footnotes · ownership attribution and instrument terms

F1: Disposed of in exchange for 4,102 common shares of Novelion Therapeutics Inc. pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of June 14, 2016, by and among the Issuer, QLT Inc. ("QLT") and Isotope Acquisition Corp. ("Isotope"), pursuant to which Isotope was merged with and into the Issuer, effective November 29, 2016. Following completion of the merger, QLT was renamed "Novelion Therapeutics Inc."

F2: Pursuant to the Merger Agreement, at the effective time of the merger, each option to acquire common stock of the Issuer that was outstanding and unexercised immediately prior to the effective time of the merger that had an exercise price per share equal to or greater than $1.88 (the product obtained by multiplying (i) the exchange ratio of 1.0256 by (ii) $1.83, the closing price of a common share of QLT on November 28, 2016) was cancelled without any payment or other consideration therefor.

Transaction history

JSON API

Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction date	Company	Activity / security	Shares / units	Reported price	Reported value	Details
June 03, 2026 Filed Jun 4, 2026 20:05 UTC	Trevi Therapeutics, Inc. TRVI · Entity 4387	GrantNonstatutory Stock Option (right to buy) · Derivative	35,000	$0.00 Strike: $13.45	$0.00	Disclosure SEC source: 0001193125-26-257371 · ownership.xml · derivative · entry 1 VANLENT ANNE · CIK 0001229243 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 35,000 Underlying: Common Stock · 35,000 shares Expires 2036-06-02 F1 · derivative.exercise_date: This option was granted on June 3, 2026. This option is scheduled to fully vest on the earlier of (i) the first anniversary of the date of grant and (ii) the date of the next annual meeting of stockholders of the Issuer held following the date of grant, subject to the recipient's continued service as a director, employee or consultant of the Issuer. Read SEC document
June 11, 2025 Filed Jun 13, 2025 20:00 UTC	Trevi Therapeutics, Inc. TRVI · Entity 4387	GrantNonstatutory Stock Option (right to buy) · Derivative	45,000	$0.00 Strike: $6.25	$0.00	Disclosure SEC source: 0000950170-25-086110 · ownership.xml · derivative · entry 1 VANLENT ANNE · CIK 0001229243 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 45,000 Underlying: Common Stock · 45,000 shares Expires 2035-06-10 F1 · derivative.exercise_date: This option was granted on June 11, 2025. This option is scheduled to fully vest on the earlier of (i) the first anniversary of the date of grant and (ii) the date of the next annual meeting of stockholders of the Issuer held following the date of grant, subject to the recipient's continued service as a director, employee or consultant of the Issuer. Read SEC document
June 13, 2024 Filed Jun 14, 2024 20:30 UTC	Trevi Therapeutics, Inc. TRVI · Entity 4387	GrantNonstatutory Stock Option (right to buy) · Derivative	30,000	$0.00 Strike: $2.77	$0.00	Disclosure SEC source: 0000950170-24-073736 · ownership.xml · derivative · entry 1 VANLENT ANNE · CIK 0001229243 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 30,000 Underlying: Common Stock · 30,000 shares Expires 2034-06-12 F1 · derivative.exercise_date: This option was granted on June 13, 2024. This option is scheduled to fully vest on the earlier of (i) the first anniversary of the date of grant and (ii) the date of the next annual meeting of stockholders of the Issuer held following the date of grant, subject to the recipient's continued service as a director, employee or consultant of the Issuer. Read SEC document
June 28, 2023 Filed Jun 30, 2023 20:00 UTC	Trevi Therapeutics, Inc. TRVI · Entity 4387	GrantNonstatutory Stock Option (right to buy) · Derivative	30,000	$0.00 Strike: $2.27	$0.00	Disclosure SEC source: 0001209191-23-040290 · doc4.xml · derivative · entry 1 VANLENT ANNE · CIK 0001229243 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 30,000 Underlying: Common Stock · 30,000 shares Expires 2033-06-27 F1 · derivative.exercise_date: This option was granted on June 28, 2023. This option is scheduled to fully vest on the earlier of (i) the first anniversary of the date of grant and (ii) the date of the next annual meeting of stockholders of the Issuer held following the date of grant, subject to the recipient's continued service as a director, employee or consultant of the Issuer. Read SEC document
November 30, 2022 Filed Dec 1, 2022 09:23 UTC	APPLIED GENETIC TECHNOLOGIES CORP AGTC · Entity 121949	Disposition to issuerStock Option (Right to Buy) · Derivative	14,000	Not disclosed Strike: $2.17	Not disclosed	Disclosure SEC source: 0001062993-22-023029 · form4.xml · derivative · entry 7 VANLENT ANNE · CIK 0001229243 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 14,000 shares Expires 2031-11-30 F1 · price: At the effective time of the Merger, each outstanding option of the Issuer with an exercise price equal to or greater than $0.34 was cancelled without any consideration in respect of such cancelled option. F1 · derivative.exercise_date: At the effective time of the Merger, each outstanding option of the Issuer with an exercise price equal to or greater than $0.34 was cancelled without any consideration in respect of such cancelled option. Read SEC document
November 30, 2022 Filed Dec 1, 2022 09:23 UTC	APPLIED GENETIC TECHNOLOGIES CORP AGTC · Entity 121949	Disposition to issuerStock Option (Right to Buy) · Derivative	12,000	Not disclosed Strike: $4.72	Not disclosed	Disclosure SEC source: 0001062993-22-023029 · form4.xml · derivative · entry 6 VANLENT ANNE · CIK 0001229243 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 12,000 shares Expires 2030-12-16 F1 · price: At the effective time of the Merger, each outstanding option of the Issuer with an exercise price equal to or greater than $0.34 was cancelled without any consideration in respect of such cancelled option. F1 · derivative.exercise_date: At the effective time of the Merger, each outstanding option of the Issuer with an exercise price equal to or greater than $0.34 was cancelled without any consideration in respect of such cancelled option. Read SEC document
November 30, 2022 Filed Dec 1, 2022 09:23 UTC	APPLIED GENETIC TECHNOLOGIES CORP AGTC · Entity 121949	Disposition to issuerStock Option (Right to Buy) · Derivative	10,000	Not disclosed Strike: $3.02	Not disclosed	Disclosure SEC source: 0001062993-22-023029 · form4.xml · derivative · entry 5 VANLENT ANNE · CIK 0001229243 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 10,000 shares Expires 2029-12-04 F1 · price: At the effective time of the Merger, each outstanding option of the Issuer with an exercise price equal to or greater than $0.34 was cancelled without any consideration in respect of such cancelled option. F1 · derivative.exercise_date: At the effective time of the Merger, each outstanding option of the Issuer with an exercise price equal to or greater than $0.34 was cancelled without any consideration in respect of such cancelled option. Read SEC document
November 30, 2022 Filed Dec 1, 2022 09:23 UTC	APPLIED GENETIC TECHNOLOGIES CORP AGTC · Entity 121949	Disposition to issuerStock Option (Right to Buy) · Derivative	10,000	Not disclosed Strike: $6.90	Not disclosed	Disclosure SEC source: 0001062993-22-023029 · form4.xml · derivative · entry 4 VANLENT ANNE · CIK 0001229243 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 10,000 shares Expires 2028-11-15 F1 · price: At the effective time of the Merger, each outstanding option of the Issuer with an exercise price equal to or greater than $0.34 was cancelled without any consideration in respect of such cancelled option. F1 · derivative.exercise_date: At the effective time of the Merger, each outstanding option of the Issuer with an exercise price equal to or greater than $0.34 was cancelled without any consideration in respect of such cancelled option. Read SEC document
November 30, 2022 Filed Dec 1, 2022 09:23 UTC	APPLIED GENETIC TECHNOLOGIES CORP AGTC · Entity 121949	Disposition to issuerStock Option (Right to Buy) · Derivative	10,000	Not disclosed Strike: $4.25	Not disclosed	Disclosure SEC source: 0001062993-22-023029 · form4.xml · derivative · entry 3 VANLENT ANNE · CIK 0001229243 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 10,000 shares Expires 2028-07-25 F1 · price: At the effective time of the Merger, each outstanding option of the Issuer with an exercise price equal to or greater than $0.34 was cancelled without any consideration in respect of such cancelled option. F1 · derivative.exercise_date: At the effective time of the Merger, each outstanding option of the Issuer with an exercise price equal to or greater than $0.34 was cancelled without any consideration in respect of such cancelled option. Read SEC document
November 30, 2022 Filed Dec 1, 2022 09:23 UTC	APPLIED GENETIC TECHNOLOGIES CORP AGTC · Entity 121949	Disposition to issuerStock Option (Right to Buy) · Derivative	8,000	Not disclosed Strike: $7.75	Not disclosed	Disclosure SEC source: 0001062993-22-023029 · form4.xml · derivative · entry 2 VANLENT ANNE · CIK 0001229243 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 8,000 shares Expires 2027-02-28 F1 · price: At the effective time of the Merger, each outstanding option of the Issuer with an exercise price equal to or greater than $0.34 was cancelled without any consideration in respect of such cancelled option. F1 · derivative.exercise_date: At the effective time of the Merger, each outstanding option of the Issuer with an exercise price equal to or greater than $0.34 was cancelled without any consideration in respect of such cancelled option. Read SEC document
November 30, 2022 Filed Dec 1, 2022 09:23 UTC	APPLIED GENETIC TECHNOLOGIES CORP AGTC · Entity 121949	Disposition to issuerStock Option (Right to Buy) · Derivative	16,000	Not disclosed Strike: $15.13	Not disclosed	Disclosure SEC source: 0001062993-22-023029 · form4.xml · derivative · entry 1 VANLENT ANNE · CIK 0001229243 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 16,000 shares Expires 2026-08-17 F1 · price: At the effective time of the Merger, each outstanding option of the Issuer with an exercise price equal to or greater than $0.34 was cancelled without any consideration in respect of such cancelled option. F1 · derivative.exercise_date: At the effective time of the Merger, each outstanding option of the Issuer with an exercise price equal to or greater than $0.34 was cancelled without any consideration in respect of such cancelled option. Read SEC document
June 23, 2022 Filed Jun 23, 2022 21:01 UTC	Trevi Therapeutics, Inc. TRVI · Entity 4387	GrantNonstatutory Stock Option (right to buy) · Derivative	20,000	$0.00 Strike: $2.27	$0.00	Disclosure SEC source: 0001209191-22-038967 · doc4.xml · derivative · entry 1 VANLENT ANNE · CIK 0001229243 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2032-06-22 F1 · derivative.exercise_date: This option was granted on June 23, 2022. This option is scheduled to fully vest on the earlier of (i) the first anniversary of the date of grant and (ii) the date of the next annual meeting of stockholders of the Issuer held following the date of grant, subject to the recipient's continued service as a director, employee or consultant of the Issuer. Read SEC document
June 23, 2022 Filed Jul 1, 2022 20:59 UTC Amendment	Trevi Therapeutics, Inc. TRVI · Entity 4387	GrantNonstatutory Stock Option (right to buy) · Derivative	20,000	$0.00 Strike: $2.27	$0.00	Disclosure SEC source: 0001209191-22-040302 · doc4a.xml · derivative · entry 1 VANLENT ANNE · CIK 0001229243 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2032-06-22 F1 · derivative.exercise_date: This option was granted on June 23, 2022. This option is scheduled to fully vest on the earlier of (i) the first anniversary of the date of grant and (ii) the date of the next annual meeting of stockholders of the Issuer held following the date of grant, subject to the recipient's continued service as a director, employee or consultant of the Issuer. F2 · ownership.direct: This amendment to the Form 4 originally filed for the reporting person on June 23, 2022 is being filed solely to attach the power of attorney exhibit that was inadvertently excluded from the original filing. Read SEC document
November 30, 2021 Filed Dec 2, 2021 19:00 UTC	APPLIED GENETIC TECHNOLOGIES CORP AGTC · Entity 121949	GrantStock Option (right to buy) · Derivative	14,000	$0.00 Strike: $2.17	$0.00	Disclosure SEC source: 0001062993-21-012061 · form4.xml · derivative · entry 1 VANLENT ANNE · CIK 0001229243 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,000 Underlying: Common Stock · 14,000 shares Expires 2031-11-30 F1 · derivative.exercise_date: The option becomes exercisable in equal monthly installments over one year from the date of grant. Read SEC document
June 16, 2021 Filed Jun 17, 2021 20:01 UTC	Trevi Therapeutics, Inc. TRVI · Entity 4387	GrantNonstatutory Stock Option (right to buy) · Derivative	20,000	$0.00 Strike: $2.25	$0.00	Disclosure SEC source: 0001209191-21-041393 · doc4.xml · derivative · entry 1 VANLENT ANNE · CIK 0001229243 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2031-06-15 F1 · derivative.exercise_date: This option was granted on June 16, 2021. This option is scheduled to fully vest on the earlier of (i) the first anniversary of the date of grant and (ii) the date of the next annual meeting of stockholders of the Issuer held following the date of grant, subject to the recipient's continued service as a director, employee or consultant of the Issuer. Read SEC document
December 16, 2020 Filed Dec 18, 2020 17:50 UTC	APPLIED GENETIC TECHNOLOGIES CORP AGTC · Entity 121949	GrantStock Option (right to buy) · Derivative	12,000	$0.00 Strike: $4.72	$0.00	Disclosure SEC source: 0001273636-20-000017 · edgar.xml · derivative · entry 1 VANLENT ANNE · CIK 0001229243 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,000 Underlying: Common Stock · 12,000 shares Expires 2030-12-16 F1 · derivative.exercise_date: The option becomes exercisable in equal monthly installments over one year from the date of grant. Read SEC document
June 11, 2020 Filed Jun 15, 2020 21:03 UTC	Trevi Therapeutics, Inc. TRVI · Entity 4387	GrantNonstatutory Stock Option (right to buy) · Derivative	14,210	$0.00 Strike: $4.10	$0.00	Disclosure SEC source: 0000899243-20-016536 · doc4.xml · derivative · entry 1 VANLENT ANNE · CIK 0001229243 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,210 Underlying: Common Stock · 14,210 shares Expires 2030-06-10 F1 · derivative.exercise_date: This option was granted on June 11, 2020. This option is scheduled to fully vest on the earlier of (i) the first anniversary of the date of grant and (ii) the date of the next annual meeting of stockholders of the Issuer held following the date of grant, subject to the recipient's continued service as a director, employee or consultant of the Issuer. Read SEC document
December 04, 2019 Filed Dec 6, 2019 18:14 UTC	APPLIED GENETIC TECHNOLOGIES CORP AGTC · Entity 121949	GrantStock Option (right to buy) · Derivative	10,000	$0.00 Strike: $3.02	$0.00	Disclosure SEC source: 0001273636-19-000052 · edgar.xml · derivative · entry 1 VANLENT ANNE · CIK 0001229243 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Underlying: Common Stock · 10,000 shares Expires 2029-12-04 F1 · derivative.exercise_date: The option becomes exercisable on December 4, 2020. Read SEC document
June 12, 2019 Filed Jun 14, 2019 21:01 UTC	Vaxart, Inc. VXRT · Entity 6654	GrantStock Option (right to buy) · Derivative	12,700	$0.00 Strike: $0.68	$0.00	Disclosure SEC source: 0001437749-19-012107 · rdgdoc.xml · derivative · entry 2 VANLENT ANNE · CIK 0001229243 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,700 Underlying: Common Stock · 12,700 shares Expires 2029-06-11 F2 · derivative.exercise_date: The shares subject to this option shall vest on the first anniversary of the 2019 annual meeting of stockholders of the Issuer. Read SEC document
June 12, 2019 Filed Jun 14, 2019 21:01 UTC	Vaxart, Inc. VXRT · Entity 6654	GrantStock Option (right to buy) · Derivative	9,000	$0.00 Strike: $0.68	$0.00	Disclosure SEC source: 0001437749-19-012107 · rdgdoc.xml · derivative · entry 1 VANLENT ANNE · CIK 0001229243 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,000 Underlying: Common Stock · 9,000 shares Expires 2029-06-11 F1 · derivative.exercise_date: The shares subject to this option shall vest annually over three years from the vesting commencement date of February 13, 2018 (the closing date of the merger between privately-held Vaxart, Inc. and Aviragen Therapeutics, Inc.). Read SEC document
May 09, 2019 Filed May 13, 2019 21:00 UTC	Trevi Therapeutics, Inc. TRVI · Entity 4387	ConversionSeries C Preferred Stock · Derivative	47,807	$0.00	$0.00	Disclosure SEC source: 0000899243-19-013251 · doc4.xml · derivative · entry 4 VANLENT ANNE · CIK 0001229243 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,582 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: On May 9, 2019, the Series C Preferred Stock, and the dividends that had accrued thereon to date, converted into Common Stock on a 9.5-for-one basis without payment of further consideration automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F2 · derivative.exercise_date: On May 9, 2019, the Series C Preferred Stock, and the dividends that had accrued thereon to date, converted into Common Stock on a 9.5-for-one basis without payment of further consideration automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F2 · derivative.expiration_date: On May 9, 2019, the Series C Preferred Stock, and the dividends that had accrued thereon to date, converted into Common Stock on a 9.5-for-one basis without payment of further consideration automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. Read SEC document
May 09, 2019 Filed May 13, 2019 21:00 UTC	Trevi Therapeutics, Inc. TRVI · Entity 4387	ConversionSeries A Preferred Stock · Derivative	107,977	$0.00	$0.00	Disclosure SEC source: 0000899243-19-013251 · doc4.xml · derivative · entry 3 VANLENT ANNE · CIK 0001229243 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 15,401 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: On May 9, 2019, the Series A Preferred Stock, and the dividends that had accrued thereon to date, converted into Common Stock on a 9.5-for-one basis without payment of further consideration automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F1 · derivative.exercise_date: On May 9, 2019, the Series A Preferred Stock, and the dividends that had accrued thereon to date, converted into Common Stock on a 9.5-for-one basis without payment of further consideration automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F1 · derivative.expiration_date: On May 9, 2019, the Series A Preferred Stock, and the dividends that had accrued thereon to date, converted into Common Stock on a 9.5-for-one basis without payment of further consideration automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. Read SEC document
May 09, 2019 Filed May 13, 2019 21:00 UTC	Trevi Therapeutics, Inc. TRVI · Entity 4387	PurchaseCommon Stock	5,000	$10.00	$50,000.00	Disclosure SEC source: 0000899243-19-013251 · doc4.xml · nonDerivative · entry 2 VANLENT ANNE · CIK 0001229243 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,983 Read SEC document
May 09, 2019 Filed May 13, 2019 21:00 UTC	Trevi Therapeutics, Inc. TRVI · Entity 4387	ConversionCommon Stock	20,983	Not disclosed	Not disclosed	Disclosure SEC source: 0000899243-19-013251 · doc4.xml · nonDerivative · entry 1 VANLENT ANNE · CIK 0001229243 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,983 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: On May 9, 2019, the Series A Preferred Stock, and the dividends that had accrued thereon to date, converted into Common Stock on a 9.5-for-one basis without payment of further consideration automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F2 · price: On May 9, 2019, the Series C Preferred Stock, and the dividends that had accrued thereon to date, converted into Common Stock on a 9.5-for-one basis without payment of further consideration automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. Read SEC document
May 07, 2019 Filed May 8, 2019 21:00 UTC	Trevi Therapeutics, Inc. TRVI · Entity 4387	GrantStock Option (right to buy) · Derivative	23,684	$0.00 Strike: $10.00	$0.00	Disclosure SEC source: 0000899243-19-012649 · doc4.xml · derivative · entry 1 VANLENT ANNE · CIK 0001229243 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,684 Underlying: Common Stock · 23,684 shares Expires 2029-05-06 F1 · derivative.exercise_date: This option was granted on May 7, 2019, effective upon the pricing of the Issuer's initial public offering. This option is scheduled to vest as to (i) 50% of the underlying shares on the earlier of (A) the first anniversary of the date of grant and (B) the date of the first annual meeting of stockholders of the Issuer held following the date of grant and (ii) the remaining 50% of the underlying shares on the earlier of (A) the second anniversary of the date of grant and (B) the date of the second annual meeting of stockholders of the Issuer held following the date of grant. Read SEC document
November 15, 2018 Filed Nov 19, 2018 20:09 UTC	APPLIED GENETIC TECHNOLOGIES CORP AGTC · Entity 121949	GrantStock Option (right to buy) · Derivative	10,000	$0.00 Strike: $6.90	$0.00	Disclosure SEC source: 0001273636-18-000075 · edgar.xml · derivative · entry 1 VANLENT ANNE · CIK 0001229243 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Underlying: Common Stock · 10,000 shares Expires 2028-11-15 F1 · derivative.exercise_date: The option becomes exercisable on November 15, 2019. Read SEC document
July 25, 2018 Filed Jul 27, 2018 18:04 UTC	APPLIED GENETIC TECHNOLOGIES CORP AGTC · Entity 121949	GrantStock Option (right to buy) · Derivative	8,000	$0.00 Strike: $4.25	$0.00	Disclosure SEC source: 0001273636-18-000036 · edgar.xml · derivative · entry 1 VANLENT ANNE · CIK 0001229243 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,000 Underlying: Common Stock · 8,000 shares Expires 2028-07-25 F1 · derivative.exercise_date: The option becomes exercisable on July 25, 2019. Read SEC document
July 25, 2018 Filed Jul 30, 2018 21:44 UTC Amendment	APPLIED GENETIC TECHNOLOGIES CORP AGTC · Entity 121949	GrantStock Option (right to buy) · Derivative	10,000	$0.00 Strike: $4.25	$0.00	Disclosure SEC source: 0001273636-18-000046 · edgar.xml · derivative · entry 1 VANLENT ANNE · CIK 0001229243 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Underlying: Common Stock · 10,000 shares Expires 2028-07-25 F1 · shares: This Form 4 is being amended to correct a scrivener's error with regards to the number of shares underlying the option grant. F2 · derivative.exercise_date: The option becomes exercisable on July 25, 2019. F1 · derivative.underlying_shares: This Form 4 is being amended to correct a scrivener's error with regards to the number of shares underlying the option grant. Read SEC document
December 11, 2017 Filed Dec 11, 2017 15:19 UTC	Ocera Therapeutics, Inc. OCRX · Entity 171193	Disposition to issuerStock Option (Right to Buy) · Derivative	10,000	Not disclosed Strike: $7.84	Not disclosed	Disclosure SEC source: 0000899243-17-028413 · doc4.xml · derivative · entry 7 VANLENT ANNE · CIK 0001229243 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 10,000 shares Expires 2024-06-11 F4 · price: Pursuant to the terms of the Merger Agreement, each option to purchase a share of the Issuer's common stock outstanding and unexercised immediately prior to the Effective Time, whether or not vested and which had a per-share exercise price of less than the $1.52 (each, an "In the Money Option") was canceled and converted into the right of the holder of such In the Money Company Stock Option to receive, for each Share underlying such In the Money Company Stock Option, (i) an amount in cash, without interest and subject to deduction for any required withholding taxes, equal to the excess, if any, of $1.52 over the applicable exercise price for such Share, plus (ii) one CVR. F5 · price: (Continued from Footnote 4) All other options (each, an "Out of the Money Option") that were outstanding and unexercised and whether or not vested, were canceled and converted into the right to receive one or more cash payments, if any, at each Milestone Payment Date (as defined in the CVR Agreement) equal to (i) the amount by which the Per Share Value Paid (as defined in the Merger Agreement) exceeds the exercise price payable per Share subject to such Out of the Money Option, less (ii) the amount of all payments previously paid with respect to such Out of the Money Option. Any Out of the Money Option with an exercise price per Share equal to or greater than $4.10 was cancelled without any consideration payable therefore. F11 · price: This Out of the Money Option, which became fully vested on July 11, 2015, was cancelled in connection with the Merger for no consideration. F4 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, each option to purchase a share of the Issuer's common stock outstanding and unexercised immediately prior to the Effective Time, whether or not vested and which had a per-share exercise price of less than the $1.52 (each, an "In the Money Option") was canceled and converted into the right of the holder of such In the Money Company Stock Option to receive, for each Share underlying such In the Money Company Stock Option, (i) an amount in cash, without interest and subject to deduction for any required withholding taxes, equal to the excess, if any, of $1.52 over the applicable exercise price for such Share, plus (ii) one CVR. F5 · derivative.exercise_date: (Continued from Footnote 4) All other options (each, an "Out of the Money Option") that were outstanding and unexercised and whether or not vested, were canceled and converted into the right to receive one or more cash payments, if any, at each Milestone Payment Date (as defined in the CVR Agreement) equal to (i) the amount by which the Per Share Value Paid (as defined in the Merger Agreement) exceeds the exercise price payable per Share subject to such Out of the Money Option, less (ii) the amount of all payments previously paid with respect to such Out of the Money Option. Any Out of the Money Option with an exercise price per Share equal to or greater than $4.10 was cancelled without any consideration payable therefore. F11 · derivative.exercise_date: This Out of the Money Option, which became fully vested on July 11, 2015, was cancelled in connection with the Merger for no consideration. Read SEC document
December 11, 2017 Filed Dec 11, 2017 15:19 UTC	Ocera Therapeutics, Inc. OCRX · Entity 171193	Disposition to issuerStock Option (Right to Buy) · Derivative	2,652	Not disclosed Strike: $50.88	Not disclosed	Disclosure SEC source: 0000899243-17-028413 · doc4.xml · derivative · entry 6 VANLENT ANNE · CIK 0001229243 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,652 shares Expires 2022-08-07 F4 · price: Pursuant to the terms of the Merger Agreement, each option to purchase a share of the Issuer's common stock outstanding and unexercised immediately prior to the Effective Time, whether or not vested and which had a per-share exercise price of less than the $1.52 (each, an "In the Money Option") was canceled and converted into the right of the holder of such In the Money Company Stock Option to receive, for each Share underlying such In the Money Company Stock Option, (i) an amount in cash, without interest and subject to deduction for any required withholding taxes, equal to the excess, if any, of $1.52 over the applicable exercise price for such Share, plus (ii) one CVR. F5 · price: (Continued from Footnote 4) All other options (each, an "Out of the Money Option") that were outstanding and unexercised and whether or not vested, were canceled and converted into the right to receive one or more cash payments, if any, at each Milestone Payment Date (as defined in the CVR Agreement) equal to (i) the amount by which the Per Share Value Paid (as defined in the Merger Agreement) exceeds the exercise price payable per Share subject to such Out of the Money Option, less (ii) the amount of all payments previously paid with respect to such Out of the Money Option. Any Out of the Money Option with an exercise price per Share equal to or greater than $4.10 was cancelled without any consideration payable therefore. F10 · price: This Out of the Money Option, which became fully vested on December 31, 2013, was cancelled in connection with the Merger for no consideration. F4 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, each option to purchase a share of the Issuer's common stock outstanding and unexercised immediately prior to the Effective Time, whether or not vested and which had a per-share exercise price of less than the $1.52 (each, an "In the Money Option") was canceled and converted into the right of the holder of such In the Money Company Stock Option to receive, for each Share underlying such In the Money Company Stock Option, (i) an amount in cash, without interest and subject to deduction for any required withholding taxes, equal to the excess, if any, of $1.52 over the applicable exercise price for such Share, plus (ii) one CVR. F5 · derivative.exercise_date: (Continued from Footnote 4) All other options (each, an "Out of the Money Option") that were outstanding and unexercised and whether or not vested, were canceled and converted into the right to receive one or more cash payments, if any, at each Milestone Payment Date (as defined in the CVR Agreement) equal to (i) the amount by which the Per Share Value Paid (as defined in the Merger Agreement) exceeds the exercise price payable per Share subject to such Out of the Money Option, less (ii) the amount of all payments previously paid with respect to such Out of the Money Option. Any Out of the Money Option with an exercise price per Share equal to or greater than $4.10 was cancelled without any consideration payable therefore. F10 · derivative.exercise_date: This Out of the Money Option, which became fully vested on December 31, 2013, was cancelled in connection with the Merger for no consideration. Read SEC document
December 11, 2017 Filed Dec 11, 2017 15:19 UTC	Ocera Therapeutics, Inc. OCRX · Entity 171193	Disposition to issuerStock Option (Right to Buy) · Derivative	2,083	Not disclosed Strike: $48.00	Not disclosed	Disclosure SEC source: 0000899243-17-028413 · doc4.xml · derivative · entry 5 VANLENT ANNE · CIK 0001229243 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,083 shares Expires 2021-04-19 F4 · price: Pursuant to the terms of the Merger Agreement, each option to purchase a share of the Issuer's common stock outstanding and unexercised immediately prior to the Effective Time, whether or not vested and which had a per-share exercise price of less than the $1.52 (each, an "In the Money Option") was canceled and converted into the right of the holder of such In the Money Company Stock Option to receive, for each Share underlying such In the Money Company Stock Option, (i) an amount in cash, without interest and subject to deduction for any required withholding taxes, equal to the excess, if any, of $1.52 over the applicable exercise price for such Share, plus (ii) one CVR. F5 · price: (Continued from Footnote 4) All other options (each, an "Out of the Money Option") that were outstanding and unexercised and whether or not vested, were canceled and converted into the right to receive one or more cash payments, if any, at each Milestone Payment Date (as defined in the CVR Agreement) equal to (i) the amount by which the Per Share Value Paid (as defined in the Merger Agreement) exceeds the exercise price payable per Share subject to such Out of the Money Option, less (ii) the amount of all payments previously paid with respect to such Out of the Money Option. Any Out of the Money Option with an exercise price per Share equal to or greater than $4.10 was cancelled without any consideration payable therefore. F9 · price: This Out of the Money Option, which became fully vested on April 19, 2012, was cancelled in connection with the Merger for no consideration. F4 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, each option to purchase a share of the Issuer's common stock outstanding and unexercised immediately prior to the Effective Time, whether or not vested and which had a per-share exercise price of less than the $1.52 (each, an "In the Money Option") was canceled and converted into the right of the holder of such In the Money Company Stock Option to receive, for each Share underlying such In the Money Company Stock Option, (i) an amount in cash, without interest and subject to deduction for any required withholding taxes, equal to the excess, if any, of $1.52 over the applicable exercise price for such Share, plus (ii) one CVR. F5 · derivative.exercise_date: (Continued from Footnote 4) All other options (each, an "Out of the Money Option") that were outstanding and unexercised and whether or not vested, were canceled and converted into the right to receive one or more cash payments, if any, at each Milestone Payment Date (as defined in the CVR Agreement) equal to (i) the amount by which the Per Share Value Paid (as defined in the Merger Agreement) exceeds the exercise price payable per Share subject to such Out of the Money Option, less (ii) the amount of all payments previously paid with respect to such Out of the Money Option. Any Out of the Money Option with an exercise price per Share equal to or greater than $4.10 was cancelled without any consideration payable therefore. F9 · derivative.exercise_date: This Out of the Money Option, which became fully vested on April 19, 2012, was cancelled in connection with the Merger for no consideration. Read SEC document
December 11, 2017 Filed Dec 11, 2017 15:19 UTC	Ocera Therapeutics, Inc. OCRX · Entity 171193	Disposition to issuerStock Option (Right to Buy) · Derivative	10,000	Not disclosed Strike: $3.76	Not disclosed	Disclosure SEC source: 0000899243-17-028413 · doc4.xml · derivative · entry 4 VANLENT ANNE · CIK 0001229243 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 10,000 shares Expires 2025-06-17 F4 · price: Pursuant to the terms of the Merger Agreement, each option to purchase a share of the Issuer's common stock outstanding and unexercised immediately prior to the Effective Time, whether or not vested and which had a per-share exercise price of less than the $1.52 (each, an "In the Money Option") was canceled and converted into the right of the holder of such In the Money Company Stock Option to receive, for each Share underlying such In the Money Company Stock Option, (i) an amount in cash, without interest and subject to deduction for any required withholding taxes, equal to the excess, if any, of $1.52 over the applicable exercise price for such Share, plus (ii) one CVR. F5 · price: (Continued from Footnote 4) All other options (each, an "Out of the Money Option") that were outstanding and unexercised and whether or not vested, were canceled and converted into the right to receive one or more cash payments, if any, at each Milestone Payment Date (as defined in the CVR Agreement) equal to (i) the amount by which the Per Share Value Paid (as defined in the Merger Agreement) exceeds the exercise price payable per Share subject to such Out of the Money Option, less (ii) the amount of all payments previously paid with respect to such Out of the Money Option. Any Out of the Money Option with an exercise price per Share equal to or greater than $4.10 was cancelled without any consideration payable therefore. F8 · price: This Out of the Money Option, became fully vested on June 18, 2016, was cancelled in connection with the Merger in exchange for the right to receive one or more cash payments, without interest and subject to deduction for any required withholding taxes, equal to (i) the amount by which the Per Share Value Paid (as defined in the Merger Agreement) exceeds $3.76, less (ii) the amount of all payments previously paid with respect to such Out of the Money Option. F4 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, each option to purchase a share of the Issuer's common stock outstanding and unexercised immediately prior to the Effective Time, whether or not vested and which had a per-share exercise price of less than the $1.52 (each, an "In the Money Option") was canceled and converted into the right of the holder of such In the Money Company Stock Option to receive, for each Share underlying such In the Money Company Stock Option, (i) an amount in cash, without interest and subject to deduction for any required withholding taxes, equal to the excess, if any, of $1.52 over the applicable exercise price for such Share, plus (ii) one CVR. F5 · derivative.exercise_date: (Continued from Footnote 4) All other options (each, an "Out of the Money Option") that were outstanding and unexercised and whether or not vested, were canceled and converted into the right to receive one or more cash payments, if any, at each Milestone Payment Date (as defined in the CVR Agreement) equal to (i) the amount by which the Per Share Value Paid (as defined in the Merger Agreement) exceeds the exercise price payable per Share subject to such Out of the Money Option, less (ii) the amount of all payments previously paid with respect to such Out of the Money Option. Any Out of the Money Option with an exercise price per Share equal to or greater than $4.10 was cancelled without any consideration payable therefore. F8 · derivative.exercise_date: This Out of the Money Option, became fully vested on June 18, 2016, was cancelled in connection with the Merger in exchange for the right to receive one or more cash payments, without interest and subject to deduction for any required withholding taxes, equal to (i) the amount by which the Per Share Value Paid (as defined in the Merger Agreement) exceeds $3.76, less (ii) the amount of all payments previously paid with respect to such Out of the Money Option. Read SEC document
December 11, 2017 Filed Dec 11, 2017 15:19 UTC	Ocera Therapeutics, Inc. OCRX · Entity 171193	Disposition to issuerStock Option (Right to Buy) · Derivative	20,000	Not disclosed Strike: $7.85	Not disclosed	Disclosure SEC source: 0000899243-17-028413 · doc4.xml · derivative · entry 3 VANLENT ANNE · CIK 0001229243 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 20,000 shares Expires 2023-12-19 F4 · price: Pursuant to the terms of the Merger Agreement, each option to purchase a share of the Issuer's common stock outstanding and unexercised immediately prior to the Effective Time, whether or not vested and which had a per-share exercise price of less than the $1.52 (each, an "In the Money Option") was canceled and converted into the right of the holder of such In the Money Company Stock Option to receive, for each Share underlying such In the Money Company Stock Option, (i) an amount in cash, without interest and subject to deduction for any required withholding taxes, equal to the excess, if any, of $1.52 over the applicable exercise price for such Share, plus (ii) one CVR. F5 · price: (Continued from Footnote 4) All other options (each, an "Out of the Money Option") that were outstanding and unexercised and whether or not vested, were canceled and converted into the right to receive one or more cash payments, if any, at each Milestone Payment Date (as defined in the CVR Agreement) equal to (i) the amount by which the Per Share Value Paid (as defined in the Merger Agreement) exceeds the exercise price payable per Share subject to such Out of the Money Option, less (ii) the amount of all payments previously paid with respect to such Out of the Money Option. Any Out of the Money Option with an exercise price per Share equal to or greater than $4.10 was cancelled without any consideration payable therefore. F7 · price: This Out of the Money Option, which provided for vesting with respect to 25% of such options on December 19, 2014, with the remaining 75% of such options vesting in equal monthly installments over the next succeeding three year period, was cancelled in connection with the Merger. F4 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, each option to purchase a share of the Issuer's common stock outstanding and unexercised immediately prior to the Effective Time, whether or not vested and which had a per-share exercise price of less than the $1.52 (each, an "In the Money Option") was canceled and converted into the right of the holder of such In the Money Company Stock Option to receive, for each Share underlying such In the Money Company Stock Option, (i) an amount in cash, without interest and subject to deduction for any required withholding taxes, equal to the excess, if any, of $1.52 over the applicable exercise price for such Share, plus (ii) one CVR. F5 · derivative.exercise_date: (Continued from Footnote 4) All other options (each, an "Out of the Money Option") that were outstanding and unexercised and whether or not vested, were canceled and converted into the right to receive one or more cash payments, if any, at each Milestone Payment Date (as defined in the CVR Agreement) equal to (i) the amount by which the Per Share Value Paid (as defined in the Merger Agreement) exceeds the exercise price payable per Share subject to such Out of the Money Option, less (ii) the amount of all payments previously paid with respect to such Out of the Money Option. Any Out of the Money Option with an exercise price per Share equal to or greater than $4.10 was cancelled without any consideration payable therefore. F7 · derivative.exercise_date: This Out of the Money Option, which provided for vesting with respect to 25% of such options on December 19, 2014, with the remaining 75% of such options vesting in equal monthly installments over the next succeeding three year period, was cancelled in connection with the Merger. Read SEC document
December 11, 2017 Filed Dec 11, 2017 15:19 UTC	Ocera Therapeutics, Inc. OCRX · Entity 171193	Disposition to issuerStock Option (Right to Buy) · Derivative	12,500	Not disclosed Strike: $2.26	Not disclosed	Disclosure SEC source: 0000899243-17-028413 · doc4.xml · derivative · entry 2 VANLENT ANNE · CIK 0001229243 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 12,500 shares Expires 2026-06-13 F4 · price: Pursuant to the terms of the Merger Agreement, each option to purchase a share of the Issuer's common stock outstanding and unexercised immediately prior to the Effective Time, whether or not vested and which had a per-share exercise price of less than the $1.52 (each, an "In the Money Option") was canceled and converted into the right of the holder of such In the Money Company Stock Option to receive, for each Share underlying such In the Money Company Stock Option, (i) an amount in cash, without interest and subject to deduction for any required withholding taxes, equal to the excess, if any, of $1.52 over the applicable exercise price for such Share, plus (ii) one CVR. F5 · price: (Continued from Footnote 4) All other options (each, an "Out of the Money Option") that were outstanding and unexercised and whether or not vested, were canceled and converted into the right to receive one or more cash payments, if any, at each Milestone Payment Date (as defined in the CVR Agreement) equal to (i) the amount by which the Per Share Value Paid (as defined in the Merger Agreement) exceeds the exercise price payable per Share subject to such Out of the Money Option, less (ii) the amount of all payments previously paid with respect to such Out of the Money Option. Any Out of the Money Option with an exercise price per Share equal to or greater than $4.10 was cancelled without any consideration payable therefore. F6 · price: This Out of the Money Option, which became fully vested on June 14, 2017, was cancelled in connection with the Merger in exchange for the right to receive one or more cash payments, without interest and subject to deduction for any required withholding taxes, equal to (i) the amount by which the Per Share Value Paid (as defined in the Merger Agreement) exceeds $2.26, less (ii) the amount of all payments previously paid with respect to such Out of the Money Option. F4 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, each option to purchase a share of the Issuer's common stock outstanding and unexercised immediately prior to the Effective Time, whether or not vested and which had a per-share exercise price of less than the $1.52 (each, an "In the Money Option") was canceled and converted into the right of the holder of such In the Money Company Stock Option to receive, for each Share underlying such In the Money Company Stock Option, (i) an amount in cash, without interest and subject to deduction for any required withholding taxes, equal to the excess, if any, of $1.52 over the applicable exercise price for such Share, plus (ii) one CVR. F5 · derivative.exercise_date: (Continued from Footnote 4) All other options (each, an "Out of the Money Option") that were outstanding and unexercised and whether or not vested, were canceled and converted into the right to receive one or more cash payments, if any, at each Milestone Payment Date (as defined in the CVR Agreement) equal to (i) the amount by which the Per Share Value Paid (as defined in the Merger Agreement) exceeds the exercise price payable per Share subject to such Out of the Money Option, less (ii) the amount of all payments previously paid with respect to such Out of the Money Option. Any Out of the Money Option with an exercise price per Share equal to or greater than $4.10 was cancelled without any consideration payable therefore. F6 · derivative.exercise_date: This Out of the Money Option, which became fully vested on June 14, 2017, was cancelled in connection with the Merger in exchange for the right to receive one or more cash payments, without interest and subject to deduction for any required withholding taxes, equal to (i) the amount by which the Per Share Value Paid (as defined in the Merger Agreement) exceeds $2.26, less (ii) the amount of all payments previously paid with respect to such Out of the Money Option. Read SEC document
December 11, 2017 Filed Dec 11, 2017 15:19 UTC	Ocera Therapeutics, Inc. OCRX · Entity 171193	Disposition to issuerCommon Stock	12,500	$1.52	$19,000.00	Disclosure SEC source: 0000899243-17-028413 · doc4.xml · nonDerivative · entry 1 VANLENT ANNE · CIK 0001229243 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · price: Pursuant to an Agreement and Plan of Merger, dated November 1, 2017 (the "Merger Agreement"), by and between Ocera Therapeutics, Inc., a Delaware corporation (the "Issuer"), MAK LLC, a Delaware limited liability company ("Parent"), MEH Acquisition Co., a Delaware corporation and a direct wholly-owned subsidiary of Parent ("Purchaser"), and for limited purposes, Mallinckrodt plc, an Irish public limited company and the ultimate parent entity of Parent and Purchaser ("Mallinckrodt"), Purchaser was merged with and into Issuer on December 11, 2017, with the Issuer surviving as a wholly-owned subsidiary of Parent (the "Merger"). F2 · price: (Continued from Footnote 1) Pursuant to the terms of the Merger Agreement, all shares of common stock, $0.00001 par value per share (the "Shares"), of the Issuer outstanding immediately prior to the effective time of the Merger (the "Effective Time") , were canceled and converted automatically and without any required action on the part of the Reporting Person into the right to receive (i) $1.52 per Share in cash, without interest, plus (ii) one non-transferable contingent value right per Share (each, a "CVR"), which represents the contractual right under a contingent value rights agreement, by and among Parent, Continental Stock Transfer & Trust Company, and for limited purposes, Mallinckrodt (the "CVR Agreement"), entered into on December 7, 2017 to receive one or more payments in cash currently estimated to be up to $2.58 per Share, contingent upon the achievement of certain milestones, in each case, less any required withholding taxes. F3 · price: At the Effective Time of the Merger, each restricted stock unit outstanding, automatically and without any required action on the part of the Reporting Person, became fully vested and canceled in exchange for a right to receive, for each share of common stock underlying the restricted stock unit, (i) an amount in cash, equal to $1.52, without interest plus (ii) one CVR, less any required withholding taxes. Read SEC document
June 20, 2017 Filed Jun 22, 2017 16:40 UTC	Ocera Therapeutics, Inc. OCRX · Entity 171193	GrantCommon Stock	12,500	$0.00	$0.00	Disclosure SEC source: 0001274644-17-000056 · wf-form4_149816401149692.xml · nonDerivative · entry 1 VANLENT ANNE · CIK 0001229243 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,500 F1 · shares: These shares represent restricted stock units. Each restricted stock unit represents a contingent right to receive one share of the Issuer's Common Stock. The restricted stock units shall vest in full on the earlier of the one year anniversary of the grant or the next annual meeting of shareholders; provided, in all cases, that the Reporting Person is, as of each such vesting date, then a director of the Issuer. Read SEC document
May 18, 2017 Filed May 22, 2017 19:29 UTC	Vaxart, Inc. AVIR · Entity 6654	GrantStock Option (Right to Buy) · Derivative	20,000	$0.49 Strike: $0.49	$9,800.00	Disclosure SEC source: 0001437749-17-009781 · rdgdoc.xml · derivative · entry 1 VANLENT ANNE · CIK 0001229243 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 105,000 Underlying: Common Stock · 20,000 shares Expires 2027-05-18 Read SEC document
February 28, 2017 Filed Mar 2, 2017 19:21 UTC	APPLIED GENETIC TECHNOLOGIES CORP AGTC · Entity 121949	GrantStock Option (right to buy) · Derivative	8,000	$0.00 Strike: $7.75	$0.00	Disclosure SEC source: 0000899243-17-006163 · doc4.xml · derivative · entry 1 VANLENT ANNE · CIK 0001229243 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,000 Underlying: Common Stock · 8,000 shares Expires 2027-02-28 F1 · derivative.exercise_date: Option becomes exercisable on February 28, 2018. Read SEC document
December 22, 2016 Filed Dec 27, 2016 16:10 UTC	NOVELION THERAPEUTICS INC. NVLN · Entity 152369	GrantStock Option (Right to Buy) · Derivative	9,600	$0.00 Strike: $8.65	$0.00	Disclosure SEC source: 0001104659-16-163884 · a4.xml · derivative · entry 1 VANLENT ANNE · CIK 0001229243 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,600 Underlying: Common Shares · 9,600 shares Expires 2026-12-22 F1 · derivative.exercise_price: Each option has an exercise price equal to the closing price of a common share of the Issuer on the Nasdaq Global Select Market on the grant date. F2 · derivative.exercise_date: The common shares underlying this stock option award will vest in equal monthly installments over 36 months, beginning one month after the grant date. Read SEC document
November 29, 2016 Filed Dec 1, 2016 00:51 UTC	Aegerion Pharmaceuticals, Inc. AEGR · Entity 180735	Disposition to issuerStock Option (Right to Buy) · Derivative	18,000	Not disclosed Strike: $17.98	Not disclosed	Disclosure SEC source: 0001104659-16-159828 · a4.xml · derivative · entry 4 VANLENT ANNE · CIK 0001229243 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 18,000 shares Expires 2025-06-26 F2 · price: Pursuant to the Merger Agreement, at the effective time of the merger, each option to acquire common stock of the Issuer that was outstanding and unexercised immediately prior to the effective time of the merger that had an exercise price per share equal to or greater than $1.88 (the product obtained by multiplying (i) the exchange ratio of 1.0256 by (ii) $1.83, the closing price of a common share of QLT on November 28, 2016) was cancelled without any payment or other consideration therefor. Read SEC document
November 29, 2016 Filed Dec 1, 2016 00:51 UTC	Aegerion Pharmaceuticals, Inc. AEGR · Entity 180735	Disposition to issuerStock Option (Right to Buy) · Derivative	5,012	Not disclosed Strike: $32.55	Not disclosed	Disclosure SEC source: 0001104659-16-159828 · a4.xml · derivative · entry 3 VANLENT ANNE · CIK 0001229243 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,012 shares Expires 2024-06-26 F2 · price: Pursuant to the Merger Agreement, at the effective time of the merger, each option to acquire common stock of the Issuer that was outstanding and unexercised immediately prior to the effective time of the merger that had an exercise price per share equal to or greater than $1.88 (the product obtained by multiplying (i) the exchange ratio of 1.0256 by (ii) $1.83, the closing price of a common share of QLT on November 28, 2016) was cancelled without any payment or other consideration therefor. Read SEC document
November 29, 2016 Filed Dec 1, 2016 00:51 UTC	Aegerion Pharmaceuticals, Inc. AEGR · Entity 180735	Disposition to issuerStock Option (Right to Buy) · Derivative	14,700	Not disclosed Strike: $37.66	Not disclosed	Disclosure SEC source: 0001104659-16-159828 · a4.xml · derivative · entry 2 VANLENT ANNE · CIK 0001229243 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 14,700 shares Expires 2023-04-26 F2 · price: Pursuant to the Merger Agreement, at the effective time of the merger, each option to acquire common stock of the Issuer that was outstanding and unexercised immediately prior to the effective time of the merger that had an exercise price per share equal to or greater than $1.88 (the product obtained by multiplying (i) the exchange ratio of 1.0256 by (ii) $1.83, the closing price of a common share of QLT on November 28, 2016) was cancelled without any payment or other consideration therefor. Read SEC document
November 29, 2016 Filed Dec 1, 2016 00:51 UTC	Aegerion Pharmaceuticals, Inc. AEGR · Entity 180735	Disposition to issuerCommon Stock	4,000	Not disclosed	Not disclosed	Disclosure SEC source: 0001104659-16-159828 · a4.xml · nonDerivative · entry 1 VANLENT ANNE · CIK 0001229243 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · price: Disposed of in exchange for 4,102 common shares of Novelion Therapeutics Inc. pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of June 14, 2016, by and among the Issuer, QLT Inc. ("QLT") and Isotope Acquisition Corp. ("Isotope"), pursuant to which Isotope was merged with and into the Issuer, effective November 29, 2016. Following completion of the merger, QLT was renamed "Novelion Therapeutics Inc." Read SEC document
November 29, 2016 Filed Dec 1, 2016 16:05 UTC	NOVELION THERAPEUTICS INC. NVLN · Entity 152369	GrantCommon Shares, without par value	4,102	Not disclosed	Not disclosed	Disclosure SEC source: 0001104659-16-160112 · a4.xml · nonDerivative · entry 1 VANLENT ANNE · CIK 0001229243 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,102 F1 · price: Received in exchange for 4,000 shares of Aegerion Pharmaceuticals, Inc. ("Aegerion") common stock pursuant to the Agreement and Plan of Merger, dated as of June 14, 2016, by and among the Issuer, Aegerion and Isotope Acquisition Corp. ("Isotope"), pursuant to which Isotope was merged with and into Aegerion, effective November 29, 2016. On the date prior to the effective time of the merger, the closing price of Aegerion's common stock was $1.87 per share and the closing price of the Issuer's common shares was $1.83 per share. 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.