Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Baudax Bio, Inc.BXRX · Entity 109081 | Director | June 15, 2022 | June 17, 2022 |
| Medicus Pharma Ltd.MDCX · Entity 7770 | Director | June 03, 2026 | June 04, 2026 |
| SELLAS Life Sciences Group, Inc.GALE · Entity 4313 | Director | October 10, 2017 | October 10, 2017 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Baudax Bio, Inc.
Report date June 15, 2022 · Filed June 17, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 42,534 |
Reported balance
After 2022-06-15 transaction · row 1
1 source rowRow 1 · 2022-06-15 · Grant · Acquired 39,473 · Balance 42,534 F1: Each Restricted Stock Unit ("RSU") is the economic equivalent of one share of Baudax Bio, Inc. (the "Company") common stock, and may be settled, at the Company's option, in cash, shares of common stock, or a combination thereof. The RSUs vest in full on June 15, 2023, subject to continued service with the Company through the vesting date. Upon vesting, if settled in cash, each RSU will entitle the grantee to a cash-payment equal to the "Fair Market Value" (as defined in the Company's 2019 Equity Incentive Plan) of one share of the Company's common stock on the vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: Each Restricted Stock Unit ("RSU") is the economic equivalent of one share of Baudax Bio, Inc. (the "Company") common stock, and may be settled, at the Company's option, in cash, shares of common stock, or a combination thereof. The RSUs vest in full on June 15, 2023, subject to continued service with the Company through the vesting date. Upon vesting, if settled in cash, each RSU will entitle the grantee to a cash-payment equal to the "Fair Market Value" (as defined in the Company's 2019 Equity Incentive Plan) of one share of the Company's common stock on the vesting date.
Medicus Pharma Ltd.
Report date June 03, 2026 · Filed June 04, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.36 · Expires 2031-06-03 | Direct | 50,000 |
Reported balance
After 2026-06-03 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-06-03 · Grant · Acquired 50,000 · Balance 50,000 F1: The option was granted on June 3, 2026. The option is scheduled to vest quarterly in four equal installments over one year. |
Filing footnotes · ownership attribution and instrument terms
F1: The option was granted on June 3, 2026. The option is scheduled to vest quarterly in four equal installments over one year.
SELLAS Life Sciences Group, Inc.
Report date October 10, 2017 · Filed October 10, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 38,154 |
Reported balance
After 2017-10-10 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2017-10-10 · Grant · Acquired 15,472 · Balance 38,154 F1: Effective January 1, 2017, 33% of the cash retainer payments to our Board will be paid in unrestricted shares of the Company's common stock, delivered from the 2016 Incentive Plan and priced on the first trading day of the quarter. F2: Represents the closing stock price of the Company's stock on the first trading day of the quarter. |
Filing footnotes · ownership attribution and instrument terms
F1: Effective January 1, 2017, 33% of the cash retainer payments to our Board will be paid in unrestricted shares of the Company's common stock, delivered from the 2016 Incentive Plan and priced on the first trading day of the quarter.
F2: Represents the closing stock price of the Company's stock on the first trading day of the quarter.
Past disclosures · reporting ended (2)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
SPECTRUM PHARMACEUTICALS INC
Report date July 31, 2023 · Filed August 01, 2023
Section 16 reporting ended · disclosed 2023-08-01. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, $0.001 par valueSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2023-07-31 transaction · row 1
1 source rowRow 1 · 2023-07-31 · Disposition to issuer · Disposed 67,660 · Balance 0 F1: Represents shares of the Issuer disposed of pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of April 24, 2023, by and among the Issuer, Assertio Holdings, Inc., a Delaware corporation ("Acquiror"), and Spade Merger Sub 1, Inc., a Delaware corporation and a wholly owned subsidiary of Acquiror, in exchange for consideration of (a) 0.1783 of a share of the common stock of Acquiror and cash in lieu of fractional shares (the "Upfront Consideration") and (b) a contingent value right ("CVR") to receive up to an additional $0.20 per common share (subject to adjustment), payable in cash or common stock of Acquiror at the election of Acquiror, upon the achievement of certain milestones, (the Upfront Consideration plus one CVR, collectively, the "Merger Consideration") on the effective date of the merger. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.13 | Direct | 0 |
Reported balance
After 2023-07-31 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2023-07-31 · Disposition to issuer · Disposed 75,000 · Balance 0 F2: Stock options of the Issuer (the "Company Options") were canceled in the merger and (i) if the Company Option had an exercise price less than the Upfront Consideration, it was exchanged for (1) common stock of the Acquiror with a value equal to the quotient of (A) the product of (x) the total number of common stock of Issuer underlying the Company Option multiplied by (y) the excess, if any, of the value of the Upfront Consideration over the exercise price of such Company Option, divided by (B) the average of the daily volume-weighted average price per share of the common stock of Acquiror calculated based on the ten (10) consecutive trading days ending two trading days prior to the date of the Merger Agreement and (2) a number of CVRs equal to the number of shares of common stock of the Issuer underlying such Company Option, (ii) if the Company Option had an exercise price equal to or greater than the Upfront Consideration and less than the Merger Consideration, F3: (Continued from Footnote 2) it was exchanged for a number of CVRs equal to the number of common stock of the Issuer underlying such Company Option (reduced by the amount that the exercise price exceeds the Upfront Consideration) and (iii) if the Company Option had an exercise price equal to or greater than the Merger Consideration, it was canceled for no consideration. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents shares of the Issuer disposed of pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of April 24, 2023, by and among the Issuer, Assertio Holdings, Inc., a Delaware corporation ("Acquiror"), and Spade Merger Sub 1, Inc., a Delaware corporation and a wholly owned subsidiary of Acquiror, in exchange for consideration of (a) 0.1783 of a share of the common stock of Acquiror and cash in lieu of fractional shares (the "Upfront Consideration") and (b) a contingent value right ("CVR") to receive up to an additional $0.20 per common share (subject to adjustment), payable in cash or common stock of Acquiror at the election of Acquiror, upon the achievement of certain milestones, (the Upfront Consideration plus one CVR, collectively, the "Merger Consideration") on the effective date of the merger.
F2: Stock options of the Issuer (the "Company Options") were canceled in the merger and (i) if the Company Option had an exercise price less than the Upfront Consideration, it was exchanged for (1) common stock of the Acquiror with a value equal to the quotient of (A) the product of (x) the total number of common stock of Issuer underlying the Company Option multiplied by (y) the excess, if any, of the value of the Upfront Consideration over the exercise price of such Company Option, divided by (B) the average of the daily volume-weighted average price per share of the common stock of Acquiror calculated based on the ten (10) consecutive trading days ending two trading days prior to the date of the Merger Agreement and (2) a number of CVRs equal to the number of shares of common stock of the Issuer underlying such Company Option, (ii) if the Company Option had an exercise price equal to or greater than the Upfront Consideration and less than the Merger Consideration,
F3: (Continued from Footnote 2) it was exchanged for a number of CVRs equal to the number of common stock of the Issuer underlying such Company Option (reduced by the amount that the exercise price exceeds the Upfront Consideration) and (iii) if the Company Option had an exercise price equal to or greater than the Merger Consideration, it was canceled for no consideration.
Societal CDMO, Inc.
Report date April 08, 2024 · Filed April 09, 2024
Section 16 reporting ended · disclosed 2024-04-09. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Ending reported balance
After 2024-04-08 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2024-04-08 · Other · Disposed 190,002 · Balance 73,620 F1: Pursuant to the terms of that certain Agreement and Plan of Merger (the "Merger Agreement"), dated as of February 28, 2024, by and among the Issuer, CoreRx, Inc., a Florida corporation ("Parent") and Cane Merger Sub, Inc., a Pennsylvania corporation and a wholly owned Subsidiary of Parent ("Merger Sub"), Merger Sub completed a tender offer for shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer, effective as of April 8, 2024 (the "Effective Time") with the Issuer surviving the merger. At the Effective Time, each issued and outstanding Share was cancelled and converted into the right to receive $1.10 per Share in cash (the "Offer Amount"), subject to any applicable withholding taxes and without interest. Row 2 · 2024-04-08 · Disposition to issuer · Disposed 73,620 · Balance 0 F2: Represents restricted stock units granted under an Issuer equity plan ("RSUs") granted to the Reporting Person. Each RSU represented a contingent right to receive one Share upon vesting of the RSU. Pursuant to the terms of the Merger Agreement, each outstanding RSU that was outstanding and unvested immediately prior to the Effective Time vested in full. At the Effective Time, each RSU then outstanding was cancelled and converted into a cash payment equal to the product of (A) the total number of Shares then underlying such RSU multiplied by (B) the Offer Amount, without interest and subject to any withholding of taxes. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.80 | Direct | 0 |
Reported balance
After 2024-04-08 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2024-04-08 · Disposition to issuer · Disposed 118,182 · Balance 0 F3: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each outstanding and unvested option to purchase Shares granted under an Issuer equity plan (each, an "Issuer Stock Option") vested in full. At the Effective Time, each Issuer Stock Option with an exercise price that is less than the Offer Amount was cancelled and converted into the right to receive a cash payment equal to the product of (A) the excess, if any, of the Offer Amount over the exercise price payable per Share with respect to such Issuer Stock Option, multiplied by (B) the total number of Shares subject to such Issuer Stock Option immediately prior to the Effective Time. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.74 | Direct | 0 |
Reported balance
After 2024-04-08 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2024-04-08 · Disposition to issuer · Disposed 27,229 · Balance 0 F3: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each outstanding and unvested option to purchase Shares granted under an Issuer equity plan (each, an "Issuer Stock Option") vested in full. At the Effective Time, each Issuer Stock Option with an exercise price that is less than the Offer Amount was cancelled and converted into the right to receive a cash payment equal to the product of (A) the excess, if any, of the Offer Amount over the exercise price payable per Share with respect to such Issuer Stock Option, multiplied by (B) the total number of Shares subject to such Issuer Stock Option immediately prior to the Effective Time. |
Filing footnotes · ownership attribution and instrument terms
F1: Pursuant to the terms of that certain Agreement and Plan of Merger (the "Merger Agreement"), dated as of February 28, 2024, by and among the Issuer, CoreRx, Inc., a Florida corporation ("Parent") and Cane Merger Sub, Inc., a Pennsylvania corporation and a wholly owned Subsidiary of Parent ("Merger Sub"), Merger Sub completed a tender offer for shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer, effective as of April 8, 2024 (the "Effective Time") with the Issuer surviving the merger. At the Effective Time, each issued and outstanding Share was cancelled and converted into the right to receive $1.10 per Share in cash (the "Offer Amount"), subject to any applicable withholding taxes and without interest.
F2: Represents restricted stock units granted under an Issuer equity plan ("RSUs") granted to the Reporting Person. Each RSU represented a contingent right to receive one Share upon vesting of the RSU. Pursuant to the terms of the Merger Agreement, each outstanding RSU that was outstanding and unvested immediately prior to the Effective Time vested in full. At the Effective Time, each RSU then outstanding was cancelled and converted into a cash payment equal to the product of (A) the total number of Shares then underlying such RSU multiplied by (B) the Offer Amount, without interest and subject to any withholding of taxes.
F3: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each outstanding and unvested option to purchase Shares granted under an Issuer equity plan (each, an "Issuer Stock Option") vested in full. At the Effective Time, each Issuer Stock Option with an exercise price that is less than the Offer Amount was cancelled and converted into the right to receive a cash payment equal to the product of (A) the excess, if any, of the Offer Amount over the exercise price payable per Share with respect to such Issuer Stock Option, multiplied by (B) the total number of Shares subject to such Issuer Stock Option immediately prior to the Effective Time.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| June 03, 2026 Filed Jun 4, 2026 20:00 UTC | Medicus Pharma Ltd. MDCX · Entity 7770 | GrantStock Option (right to buy) · Derivative | 50,000 | $0.00 Strike: $0.36 | $0.00 |
DisclosureSEC source: 0000950142-26-001631 · es260786882_4-ashton.xml · derivative · entry 1 Ashton William · CIK 0001474553 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Shares · 50,000 shares Expires 2031-06-03 F1 · derivative.exercise_date: The option was granted on June 3, 2026. The option is scheduled to vest quarterly in four equal installments over one year. Read SEC document |
| March 30, 2026 Filed Apr 1, 2026 23:03 UTC | Medicus Pharma Ltd. MDCX · Entity 7770 | GrantStock Option (right to buy) · Derivative | 25,000 | $0.00 Strike: $0.50 | $0.00 |
DisclosureSEC source: 0000950142-26-001021 · es260758758_4-ashton.xml · derivative · entry 1 Ashton William · CIK 0001474553 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 25,000 Underlying: Common Shares · 25,000 shares Expires 2031-03-27 Read SEC document |
| December 16, 2025 Filed Dec 18, 2025 21:06 UTC | Medicus Pharma Ltd. MDCX · Entity 7770 | GrantStock Option (right to buy) · Derivative | 25,000 | $0.00 Strike: $1.80 | $0.00 |
DisclosureSEC source: 0000950142-25-003229 · es250717256_4-ashton.xml · derivative · entry 1 Ashton William · CIK 0001474553 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 25,000 Underlying: Common Shares · 25,000 shares Expires 2030-12-16 F1 · derivative.exercise_date: The option was granted on December 16, 2025. The option is scheduled to vest quarterly in four equal installments over one year. Read SEC document |
| July 22, 2025 Filed Jul 24, 2025 21:10 UTC | Medicus Pharma Ltd. MDCX · Entity 7770 | GrantStock Option (right to buy) · Derivative | 25,000 | $0.00 Strike: $3.08 | $0.00 |
DisclosureSEC source: 0000950142-25-002010 · es250658434_4-ashton.xml · derivative · entry 2 Ashton William · CIK 0001474553 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 25,000 Underlying: Common Shares · 25,000 shares Expires 2030-07-22 F3 · derivative.exercise_date: The option was granted on July 22, 2025. The option is scheduled to vest quarterly in four equal installments over one year. Read SEC document |
| April 08, 2024 Filed Apr 9, 2024 01:25 UTC | Societal CDMO, Inc. SCTL · Entity 92137 | Disposition to issuerStock Option (Right to Buy) · Derivative | 27,229 | Not disclosed Strike: $0.74 | Not disclosed |
DisclosureSEC source: 0001104659-24-044888 · tm2411350-1_4seq1.xml · derivative · entry 4 Ashton William · CIK 0001474553 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 27,229 shares Expires not disclosed F3 · price: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each outstanding and unvested option to purchase Shares granted under an Issuer equity plan (each, an "Issuer Stock Option") vested in full. At the Effective Time, each Issuer Stock Option with an exercise price that is less than the Offer Amount was cancelled and converted into the right to receive a cash payment equal to the product of (A) the excess, if any, of the Offer Amount over the exercise price payable per Share with respect to such Issuer Stock Option, multiplied by (B) the total number of Shares subject to such Issuer Stock Option immediately prior to the Effective Time. F3 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each outstanding and unvested option to purchase Shares granted under an Issuer equity plan (each, an "Issuer Stock Option") vested in full. At the Effective Time, each Issuer Stock Option with an exercise price that is less than the Offer Amount was cancelled and converted into the right to receive a cash payment equal to the product of (A) the excess, if any, of the Offer Amount over the exercise price payable per Share with respect to such Issuer Stock Option, multiplied by (B) the total number of Shares subject to such Issuer Stock Option immediately prior to the Effective Time. F3 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each outstanding and unvested option to purchase Shares granted under an Issuer equity plan (each, an "Issuer Stock Option") vested in full. At the Effective Time, each Issuer Stock Option with an exercise price that is less than the Offer Amount was cancelled and converted into the right to receive a cash payment equal to the product of (A) the excess, if any, of the Offer Amount over the exercise price payable per Share with respect to such Issuer Stock Option, multiplied by (B) the total number of Shares subject to such Issuer Stock Option immediately prior to the Effective Time. Read SEC document |
| April 08, 2024 Filed Apr 9, 2024 01:25 UTC | Societal CDMO, Inc. SCTL · Entity 92137 | Disposition to issuerStock Option (Right to Buy) · Derivative | 118,182 | Not disclosed Strike: $0.80 | Not disclosed |
DisclosureSEC source: 0001104659-24-044888 · tm2411350-1_4seq1.xml · derivative · entry 3 Ashton William · CIK 0001474553 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 118,182 shares Expires not disclosed F3 · price: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each outstanding and unvested option to purchase Shares granted under an Issuer equity plan (each, an "Issuer Stock Option") vested in full. At the Effective Time, each Issuer Stock Option with an exercise price that is less than the Offer Amount was cancelled and converted into the right to receive a cash payment equal to the product of (A) the excess, if any, of the Offer Amount over the exercise price payable per Share with respect to such Issuer Stock Option, multiplied by (B) the total number of Shares subject to such Issuer Stock Option immediately prior to the Effective Time. F3 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each outstanding and unvested option to purchase Shares granted under an Issuer equity plan (each, an "Issuer Stock Option") vested in full. At the Effective Time, each Issuer Stock Option with an exercise price that is less than the Offer Amount was cancelled and converted into the right to receive a cash payment equal to the product of (A) the excess, if any, of the Offer Amount over the exercise price payable per Share with respect to such Issuer Stock Option, multiplied by (B) the total number of Shares subject to such Issuer Stock Option immediately prior to the Effective Time. F3 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each outstanding and unvested option to purchase Shares granted under an Issuer equity plan (each, an "Issuer Stock Option") vested in full. At the Effective Time, each Issuer Stock Option with an exercise price that is less than the Offer Amount was cancelled and converted into the right to receive a cash payment equal to the product of (A) the excess, if any, of the Offer Amount over the exercise price payable per Share with respect to such Issuer Stock Option, multiplied by (B) the total number of Shares subject to such Issuer Stock Option immediately prior to the Effective Time. Read SEC document |
| April 08, 2024 Filed Apr 9, 2024 01:25 UTC | Societal CDMO, Inc. SCTL · Entity 92137 | Disposition to issuerCommon Stock | 73,620 | $1.10 | $80,982.00 |
DisclosureSEC source: 0001104659-24-044888 · tm2411350-1_4seq1.xml · nonDerivative · entry 2 Ashton William · CIK 0001474553 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 F2 · shares: Represents restricted stock units granted under an Issuer equity plan ("RSUs") granted to the Reporting Person. Each RSU represented a contingent right to receive one Share upon vesting of the RSU. Pursuant to the terms of the Merger Agreement, each outstanding RSU that was outstanding and unvested immediately prior to the Effective Time vested in full. At the Effective Time, each RSU then outstanding was cancelled and converted into a cash payment equal to the product of (A) the total number of Shares then underlying such RSU multiplied by (B) the Offer Amount, without interest and subject to any withholding of taxes. Read SEC document |
| April 08, 2024 Filed Apr 9, 2024 01:25 UTC | Societal CDMO, Inc. SCTL · Entity 92137 | OtherCommon Stock | 190,002 | $1.10 | $209,002.20 |
DisclosureSEC source: 0001104659-24-044888 · tm2411350-1_4seq1.xml · nonDerivative · entry 1 Ashton William · CIK 0001474553 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 73,620 F1 · shares: Pursuant to the terms of that certain Agreement and Plan of Merger (the "Merger Agreement"), dated as of February 28, 2024, by and among the Issuer, CoreRx, Inc., a Florida corporation ("Parent") and Cane Merger Sub, Inc., a Pennsylvania corporation and a wholly owned Subsidiary of Parent ("Merger Sub"), Merger Sub completed a tender offer for shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer, effective as of April 8, 2024 (the "Effective Time") with the Issuer surviving the merger. At the Effective Time, each issued and outstanding Share was cancelled and converted into the right to receive $1.10 per Share in cash (the "Offer Amount"), subject to any applicable withholding taxes and without interest. Read SEC document |
| August 28, 2023 Filed Aug 28, 2023 20:33 UTC | Societal CDMO, Inc. SCTL · Entity 92137 | PurchaseCommon Stock | 22,222 | $0.46 | $10,111.01 |
DisclosureSEC source: 0001062993-23-017169 · form4.xml · nonDerivative · entry 1 Ashton William · CIK 0001474553 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 263,622 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.4549 to $0.455, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range. Read SEC document |
| July 31, 2023 Filed Aug 1, 2023 17:13 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | Disposition to issuerStock Option (Right to Buy) · Derivative | 75,000 | Not disclosed Strike: $1.13 | Not disclosed |
DisclosureSEC source: 0000899243-23-017675 · doc4.xml · derivative · entry 2 Ashton William · CIK 0001474553 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 75,000 shares Expires not disclosed F2 · price: Stock options of the Issuer (the "Company Options") were canceled in the merger and (i) if the Company Option had an exercise price less than the Upfront Consideration, it was exchanged for (1) common stock of the Acquiror with a value equal to the quotient of (A) the product of (x) the total number of common stock of Issuer underlying the Company Option multiplied by (y) the excess, if any, of the value of the Upfront Consideration over the exercise price of such Company Option, divided by (B) the average of the daily volume-weighted average price per share of the common stock of Acquiror calculated based on the ten (10) consecutive trading days ending two trading days prior to the date of the Merger Agreement and (2) a number of CVRs equal to the number of shares of common stock of the Issuer underlying such Company Option, (ii) if the Company Option had an exercise price equal to or greater than the Upfront Consideration and less than the Merger Consideration, F3 · price: (Continued from Footnote 2) it was exchanged for a number of CVRs equal to the number of common stock of the Issuer underlying such Company Option (reduced by the amount that the exercise price exceeds the Upfront Consideration) and (iii) if the Company Option had an exercise price equal to or greater than the Merger Consideration, it was canceled for no consideration. F2 · derivative.exercise_date: Stock options of the Issuer (the "Company Options") were canceled in the merger and (i) if the Company Option had an exercise price less than the Upfront Consideration, it was exchanged for (1) common stock of the Acquiror with a value equal to the quotient of (A) the product of (x) the total number of common stock of Issuer underlying the Company Option multiplied by (y) the excess, if any, of the value of the Upfront Consideration over the exercise price of such Company Option, divided by (B) the average of the daily volume-weighted average price per share of the common stock of Acquiror calculated based on the ten (10) consecutive trading days ending two trading days prior to the date of the Merger Agreement and (2) a number of CVRs equal to the number of shares of common stock of the Issuer underlying such Company Option, (ii) if the Company Option had an exercise price equal to or greater than the Upfront Consideration and less than the Merger Consideration, F3 · derivative.exercise_date: (Continued from Footnote 2) it was exchanged for a number of CVRs equal to the number of common stock of the Issuer underlying such Company Option (reduced by the amount that the exercise price exceeds the Upfront Consideration) and (iii) if the Company Option had an exercise price equal to or greater than the Merger Consideration, it was canceled for no consideration. F2 · derivative.expiration_date: Stock options of the Issuer (the "Company Options") were canceled in the merger and (i) if the Company Option had an exercise price less than the Upfront Consideration, it was exchanged for (1) common stock of the Acquiror with a value equal to the quotient of (A) the product of (x) the total number of common stock of Issuer underlying the Company Option multiplied by (y) the excess, if any, of the value of the Upfront Consideration over the exercise price of such Company Option, divided by (B) the average of the daily volume-weighted average price per share of the common stock of Acquiror calculated based on the ten (10) consecutive trading days ending two trading days prior to the date of the Merger Agreement and (2) a number of CVRs equal to the number of shares of common stock of the Issuer underlying such Company Option, (ii) if the Company Option had an exercise price equal to or greater than the Upfront Consideration and less than the Merger Consideration, F3 · derivative.expiration_date: (Continued from Footnote 2) it was exchanged for a number of CVRs equal to the number of common stock of the Issuer underlying such Company Option (reduced by the amount that the exercise price exceeds the Upfront Consideration) and (iii) if the Company Option had an exercise price equal to or greater than the Merger Consideration, it was canceled for no consideration. Read SEC document |
| July 31, 2023 Filed Aug 1, 2023 17:13 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | Disposition to issuerCommon Stock, $0.001 par value | 67,660 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-23-017675 · doc4.xml · nonDerivative · entry 1 Ashton William · CIK 0001474553 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 F1 · price: Represents shares of the Issuer disposed of pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of April 24, 2023, by and among the Issuer, Assertio Holdings, Inc., a Delaware corporation ("Acquiror"), and Spade Merger Sub 1, Inc., a Delaware corporation and a wholly owned subsidiary of Acquiror, in exchange for consideration of (a) 0.1783 of a share of the common stock of Acquiror and cash in lieu of fractional shares (the "Upfront Consideration") and (b) a contingent value right ("CVR") to receive up to an additional $0.20 per common share (subject to adjustment), payable in cash or common stock of Acquiror at the election of Acquiror, upon the achievement of certain milestones, (the Upfront Consideration plus one CVR, collectively, the "Merger Consideration") on the effective date of the merger. Read SEC document |
| May 17, 2023 Filed May 19, 2023 20:56 UTC | Societal CDMO, Inc. SCTL · Entity 92137 | GrantStock Option (right to buy) · Derivative | 27,229 | $0.00 Strike: $0.74 | $0.00 |
DisclosureSEC source: 0001062993-23-011845 · form4.xml · derivative · entry 2 Ashton William · CIK 0001474553 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 27,229 Underlying: Common Stock · 27,229 shares Expires 2033-05-17 F2 · derivative.exercise_date: The stock option will vest in full on May 17, 2024, subject to continued service with the Company. Read SEC document |
| May 17, 2023 Filed May 19, 2023 20:56 UTC | Societal CDMO, Inc. SCTL · Entity 92137 | GrantCommon Stock | 73,620 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001062993-23-011845 · form4.xml · nonDerivative · entry 1 Ashton William · CIK 0001474553 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 241,400 F1 · price: These restricted stock units will vest in full on May 17, 2024, subject to continued service with the Company. Restricted stock units convert into common stock on a one-for-one basis. Read SEC document |
| August 31, 2022 Filed Sep 2, 2022 16:00 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | GrantStock Option (Right to Buy) · Derivative | 75,000 | $0.00 Strike: $1.13 | $0.00 |
DisclosureSEC source: 0001209191-22-048461 · doc4.xml · derivative · entry 2 Ashton William · CIK 0001474553 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,000 Underlying: Common Stock · 75,000 shares Expires 2032-08-31 F2 · derivative.exercise_date: One third of the aggregate amount of option shares shall vest on each of August 31, 2023, 2024 and 2025, respectively. Read SEC document |
| August 31, 2022 Filed Sep 2, 2022 16:00 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | GrantCommon Stock, $0.001 par value | 25,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-048461 · doc4.xml · nonDerivative · entry 1 Ashton William · CIK 0001474553 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 67,660 F1 · shares: Represents restricted stock units ("RSUs") granted on August 31, 2022. One hundred percent (100%) of the total number of RSUs granted vest on the earlier of (i) June 22, 2023 or (ii) the date of the Company's 2023 Annual Meeting of Stockholders. Read SEC document |
| June 21, 2022 Filed Jun 22, 2022 21:20 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | SaleCommon Stock, $0.001 par value | 4,283 | $0.79 | $3,362.16 |
DisclosureSEC source: 0001209191-22-038806 · doc4.xml · nonDerivative · entry 1 Ashton William · CIK 0001474553 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,660 F1 · kind: All sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person for the purpose of satisfying tax withholding obligations in connection with restricted stock awards granted by the issuer. Read SEC document |
| June 15, 2022 Filed Jun 17, 2022 20:13 UTC | Baudax Bio, Inc. BXRX · Entity 109081 | GrantCommon Stock | 39,473 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-22-015134 · form4.xml · nonDerivative · entry 1 Ashton William · CIK 0001474553 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,534 F1 · shares: Each Restricted Stock Unit ("RSU") is the economic equivalent of one share of Baudax Bio, Inc. (the "Company") common stock, and may be settled, at the Company's option, in cash, shares of common stock, or a combination thereof. The RSUs vest in full on June 15, 2023, subject to continued service with the Company through the vesting date. Upon vesting, if settled in cash, each RSU will entitle the grantee to a cash-payment equal to the "Fair Market Value" (as defined in the Company's 2019 Equity Incentive Plan) of one share of the Company's common stock on the vesting date. Read SEC document |
| May 18, 2022 Filed May 20, 2022 21:37 UTC | Societal CDMO, Inc. SCTL · Entity 92137 | GrantStock Option (right to buy) · Derivative | 118,182 | $0.00 Strike: $0.80 | $0.00 |
DisclosureSEC source: 0001062993-22-013174 · form4.xml · derivative · entry 2 Ashton William · CIK 0001474553 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 118,182 Underlying: Common Stock · 118,182 shares Expires 2032-05-18 F2 · derivative.exercise_date: The stock option will vest in full on May 18, 2023, subject to continued service with the Company. Read SEC document |
| May 18, 2022 Filed May 20, 2022 21:37 UTC | Societal CDMO, Inc. SCTL · Entity 92137 | GrantCommon Stock | 87,500 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001062993-22-013174 · form4.xml · nonDerivative · entry 1 Ashton William · CIK 0001474553 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 167,780 F1 · price: These restricted stock units will vest in full on May 18, 2023, subject to continued service with the Company. Restricted stock units convert into common stock on a one-for-one basis. Read SEC document |
| June 18, 2021 Filed Jun 22, 2021 16:51 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | SaleCommon Stock, $0.001 par value | 9,000 | $4.24 | $38,160.00 |
DisclosureSEC source: 0001209191-21-042419 · doc4.xml · nonDerivative · entry 2 Ashton William · CIK 0001474553 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,943 F2 · kind: All sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person for the purpose of satisfying tax withholding obligations in connection with restricted stock awards granted by the issuer. Read SEC document |
| June 17, 2021 Filed Jun 22, 2021 16:51 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | GrantStock Option (Right to Buy) · Derivative | 67,804 | $0.00 Strike: $4.29 | $0.00 |
DisclosureSEC source: 0001209191-21-042419 · doc4.xml · derivative · entry 3 Ashton William · CIK 0001474553 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 67,804 Underlying: Common Stock · 67,804 shares Expires 2031-06-17 F3 · derivative.exercise_date: One third of the aggregate amount of option shares shall vest on each of June 17, 2022, 2023 and 2024, respectively. Read SEC document |
| June 17, 2021 Filed Jun 22, 2021 16:51 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | GrantCommon Stock, $0.001 par value | 14,277 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-042419 · doc4.xml · nonDerivative · entry 1 Ashton William · CIK 0001474553 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,943 F1 · shares: 100% of the restricted shares shall vest on the earlier of (1) June 17, 2022 or (2) the date of the company's 2022 Annual Meeting of Stockholders. Read SEC document |
| April 20, 2021 Filed Apr 22, 2021 21:55 UTC | Societal CDMO, Inc. REPH · Entity 92137 | GrantStock Option (right to buy) · Derivative | 38,012 | $0.00 Strike: $1.71 | $0.00 |
DisclosureSEC source: 0001192482-21-000347 · edgar.xml · derivative · entry 2 Ashton William · CIK 0001474553 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,012 Underlying: Common Stock · 38,012 shares Expires 2031-04-20 F2 · derivative.exercise_date: The stock option will vest on April 20, 2022. Read SEC document |
| April 20, 2021 Filed Apr 22, 2021 21:55 UTC | Societal CDMO, Inc. REPH · Entity 92137 | GrantCommon Stock | 26,923 | $0.00 | $0.00 |
DisclosureSEC source: 0001192482-21-000347 · edgar.xml · nonDerivative · entry 1 Ashton William · CIK 0001474553 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,280 F1 · shares: All shares of common stock are represented by unvested restricted stock units that will vest on April 20, 2022. Vested shares will be delivered to the reporting person within 30 days following the vesting date. Read SEC document |
| April 20, 2021 Filed May 17, 2021 20:07 UTC Amendment | Societal CDMO, Inc. REPH · Entity 92137 | GrantStock Option (right to buy) · Derivative | 38,012 | $0.00 Strike: $2.60 | $0.00 |
DisclosureSEC source: 0001192482-21-000434 · edgar.xml · derivative · entry 1 Ashton William · CIK 0001474553 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,012 Underlying: Common Stock · 38,012 shares Expires 2031-04-20 F1 · derivative.exercise_price: This amended Form 4 is being filed to correct a typographical error in the exercise price of the stock options acquired on April 20, 2021 as reported on the Form 4 filed on April 22, 2021. F2 · derivative.exercise_date: The stock option will vest on April 20, 2022. Read SEC document |
| April 07, 2021 Filed Apr 8, 2021 23:04 UTC | Baudax Bio, Inc. BXRX · Entity 109081 | GrantStock Option (right to buy) · Derivative | 83,333 | $0.00 Strike: $1.24 | $0.00 |
DisclosureSEC source: 0001192482-21-000327 · edgar.xml · derivative · entry 2 Ashton William · CIK 0001474553 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 83,333 Underlying: Common Stock · 83,333 shares Expires 2031-04-07 F2 · derivative.exercise_date: The stock option will vest on April 7, 2022. Read SEC document |
| April 07, 2021 Filed Apr 8, 2021 23:04 UTC | Baudax Bio, Inc. BXRX · Entity 109081 | GrantCommon Stock | 56,452 | $0.00 | $0.00 |
DisclosureSEC source: 0001192482-21-000327 · edgar.xml · nonDerivative · entry 1 Ashton William · CIK 0001474553 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 107,185 F1 · shares: All shares of common stock are represented by unvested restricted stock units that will vest on April 7, 2022. Vested shares will be delivered to the reporting person within 30 days following the vesting date. Read SEC document |
| June 22, 2020 Filed Jun 23, 2020 16:30 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | SaleCommon Stock, $0.001 par value | 5,000 | $3.25 | $16,250.00 |
DisclosureSEC source: 0001209191-20-038471 · doc4.xml · nonDerivative · entry 1 Ashton William · CIK 0001474553 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,666 F1 · kind: All sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person for the purpose of satisfying tax withholding obligations in connection with restricted stock awards granted by the issuer. Read SEC document |
| June 18, 2020 Filed Jun 19, 2020 16:48 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | GrantStock Option (Right to Buy) · Derivative | 60,000 | $0.00 Strike: $2.94 | $0.00 |
DisclosureSEC source: 0001209191-20-037973 · doc4.xml · derivative · entry 2 Ashton William · CIK 0001474553 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,000 Underlying: Common Stock · 20,000 shares Expires 2030-06-18 F2 · derivative.exercise_date: One third of the aggregate amount of option shares shall vest on each of June 18, 2021, 2022 and 2023, respectively. Read SEC document |
| June 18, 2020 Filed Jun 19, 2020 16:48 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | GrantCommon Stock, $0.001 par value | 30,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-037973 · doc4.xml · nonDerivative · entry 1 Ashton William · CIK 0001474553 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,666 F1 · shares: 100% of the restricted shares shall vest on the earlier of (1) June 18, 2021 or (2) the date of the company's 2021 Annual Meeting of Stockholders. Read SEC document |
| June 18, 2020 Filed Jun 23, 2020 16:30 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | GrantStock Option (Right to Buy) · Derivative | 60,000 | $0.00 Strike: $2.94 | $0.00 |
DisclosureSEC source: 0001209191-20-038471 · doc4.xml · derivative · entry 2 Ashton William · CIK 0001474553 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,000 Underlying: Common Stock · 60,000 shares Expires 2030-06-18 F2 · security: This stock option grant was previously reported on a Form 4 on June 19, 2020. This is an amendment to that Form 4 to reflect an inadvertent error in Column 7 under the "Amount or Number of Shares". F3 · derivative.exercise_date: One third of the aggregate amount of option shares shall vest on each of June 18, 2021, 2022 and 2023, respectively. Read SEC document |
| May 07, 2020 Filed May 11, 2020 21:04 UTC | Societal CDMO, Inc. REPH · Entity 92137 | GrantStock Option (right to buy) · Derivative | 12,405 | $0.00 Strike: $8.37 | $0.00 |
DisclosureSEC source: 0001192482-20-000338 · edgar.xml · derivative · entry 2 Ashton William · CIK 0001474553 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,405 Underlying: Common Stock · 12,405 shares Expires 2030-05-07 F2 · derivative.exercise_date: The stock option will vest on May 7, 2021. Read SEC document |
| May 07, 2020 Filed May 11, 2020 21:04 UTC | Societal CDMO, Inc. REPH · Entity 92137 | GrantCommon Stock | 8,363 | $0.00 | $0.00 |
DisclosureSEC source: 0001192482-20-000338 · edgar.xml · nonDerivative · entry 1 Ashton William · CIK 0001474553 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,357 F1 · shares: All shares of common stock are represented by unvested restricted stock units that will vest on May 7, 2021. Vested shares will be delivered to the reporting person within 30 days following the vesting date. Read SEC document |
| May 06, 2020 Filed May 9, 2020 00:19 UTC | Baudax Bio, Inc. BXRX · Entity 109081 | GrantStock Option (right to buy) · Derivative | 34,574 | $0.00 Strike: $3.05 | $0.00 |
DisclosureSEC source: 0001192482-20-000333 · edgar.xml · derivative · entry 2 Ashton William · CIK 0001474553 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,574 Underlying: Common Stock · 34,574 shares Expires 2030-05-06 F2 · derivative.exercise_date: The stock option will vest on May 6, 2021. Read SEC document |
| May 06, 2020 Filed May 9, 2020 00:19 UTC | Baudax Bio, Inc. BXRX · Entity 109081 | GrantCommon Stock | 22,951 | $0.00 | $0.00 |
DisclosureSEC source: 0001192482-20-000333 · edgar.xml · nonDerivative · entry 1 Ashton William · CIK 0001474553 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,733 F1 · shares: All shares of common stock are represented by unvested restricted stock units that will vest on May 6, 2021. Vested shares will be delivered to the reporting person within 30 days following the vesting date. Read SEC document |
| December 05, 2019 Filed Dec 9, 2019 23:38 UTC | Societal CDMO, Inc. REPH · Entity 92137 | GrantCommon Stock | 17,582 | $0.00 | $0.00 |
DisclosureSEC source: 0001192482-19-000499 · edgar.xml · nonDerivative · entry 1 Ashton William · CIK 0001474553 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,994 F1 · shares: These restricted stock units will vest in full on the earlier of (i) a change of control of Recro Pharma, Inc. (the "Company") (as defined in the Company's 2018 Amended and Restated Equity Incentive Plan) or (ii) December 5, 2020, subject to continued service with the Company. Read SEC document |
| December 05, 2019 Filed Dec 9, 2019 23:21 UTC | Baudax Bio, Inc. BXRX · Entity 109081 | GrantCommon Stock | 20,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001192482-19-000480 · edgar.xml · nonDerivative · entry 1 Ashton William · CIK 0001474553 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,782 F1 · shares: These restricted stock units are scheduled to vest 50% each on December 5, 2020 and December 5, 2021, subject to continued service through the applicable vesting date. F2 · balance_after: Total includes common stock acquired pursuant to a special dividend issued on November 21, 2019, whereby all holders of common stock of Recro Pharma, Inc., as of November 15, 2019, received a dividend of one (1) share of Baudax Bio, Inc. common stock for every two and one-half (2.5) shares of Recro Pharma, Inc. common stock. Read SEC document |
| June 20, 2019 Filed Jun 21, 2019 20:02 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | GrantStock Option (Right to Buy) · Derivative | 20,000 | $0.00 Strike: $8.44 | $0.00 |
DisclosureSEC source: 0001209191-19-038664 · doc4.xml · derivative · entry 4 Ashton William · CIK 0001474553 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2029-06-20 F3 · derivative.exercise_date: 25% of the option shares vested on June 20, 2019. The remaining option shares shall vest in 25% equal annual amounts on each anniversary date of the grant over three years. Read SEC document |
| June 20, 2019 Filed Jun 21, 2019 20:02 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | GrantCommon Stock, $0.001 par value | 10,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-038664 · doc4.xml · nonDerivative · entry 3 Ashton William · CIK 0001474553 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,666 F2 · shares: 100% of the restricted shares shall vest on the earlier of (1) June 20, 2020 or (2) the date of the company's 2020 Annual Meeting of Stockholders. Read SEC document |
| June 20, 2019 Filed Jun 21, 2019 20:02 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | SaleCommon Stock, $0.001 par value | 1,667 | $8.50 | $14,169.50 |
DisclosureSEC source: 0001209191-19-038664 · doc4.xml · nonDerivative · entry 2 Ashton William · CIK 0001474553 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,666 F1 · kind: All sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 18, 2019. Read SEC document |
| June 19, 2019 Filed Jun 21, 2019 20:02 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | SaleCommon Stock, $0.001 par value | 5,000 | $8.59 | $42,950.00 |
DisclosureSEC source: 0001209191-19-038664 · doc4.xml · nonDerivative · entry 1 Ashton William · CIK 0001474553 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,333 F1 · kind: All sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 18, 2019. Read SEC document |
| May 09, 2019 Filed May 10, 2019 20:27 UTC | Societal CDMO, Inc. REPH · Entity 92137 | GrantStock Option (right to buy) · Derivative | 10,888 | $0.00 Strike: $8.80 | $0.00 |
DisclosureSEC source: 0001192482-19-000248 · edgar.xml · derivative · entry 2 Ashton William · CIK 0001474553 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,888 Underlying: Common Stock · 10,888 shares Expires 2029-05-09 F2 · derivative.exercise_date: The stock option will vest on May 9, 2020. Read SEC document |
| May 09, 2019 Filed May 10, 2019 20:27 UTC | Societal CDMO, Inc. REPH · Entity 92137 | GrantCommon Stock | 7,955 | $0.00 | $0.00 |
DisclosureSEC source: 0001192482-19-000248 · edgar.xml · nonDerivative · entry 1 Ashton William · CIK 0001474553 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,412 F1 · shares: All shares of common stock are represented by unvested restricted stock units that will vest on May 9, 2020. Vested shares will be delivered to the reporting person within 30 days following the vesting date. Read SEC document |
| November 30, 2018 Filed Dec 3, 2018 19:54 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | GrantStock Option (Right to Buy) · Derivative | 6,667 | $0.00 Strike: $14.02 | $0.00 |
DisclosureSEC source: 0001209191-18-060692 · doc4.xml · derivative · entry 2 Ashton William · CIK 0001474553 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,667 Underlying: Common Stock · 6,667 shares Expires 2028-11-30 F2 · derivative.exercise_date: 25% of the option shares vested on November 30, 2018. The remaining option shares shall vest in 25% equal annual amounts on each anniversary date of the grant over three years. Read SEC document |
| November 30, 2018 Filed Dec 3, 2018 19:54 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | GrantCommon Stock, $0.001 par value | 3,333 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-060692 · doc4.xml · nonDerivative · entry 1 Ashton William · CIK 0001474553 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,333 F1 · shares: 100% of the restricted shares shall vest on June 19, 2019. Read SEC document |
| June 18, 2018 Filed Jun 19, 2018 18:28 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | GrantStock Option (Right to Buy) · Derivative | 20,000 | $0.00 Strike: $19.95 | $0.00 |
DisclosureSEC source: 0001209191-18-038665 · doc4.xml · derivative · entry 2 Ashton William · CIK 0001474553 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2028-06-18 F2 · derivative.exercise_date: 25% of the option shares vested on June 18, 2018. The remaining option shares shall vest in 25% equal annual amounts on each anniversary date of the grant over three years. Read SEC document |
| June 18, 2018 Filed Jun 19, 2018 18:28 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | GrantCommon Stock, $0.001 par value | 10,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-038665 · doc4.xml · nonDerivative · entry 1 Ashton William · CIK 0001474553 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 F1 · shares: 100% of the restricted shares shall vest on the earlier of (1) June 18, 2019 or (2) the date of the company's 2019 Annual Meeting of Stockholders. Read SEC document |
| May 12, 2018 Filed May 14, 2018 20:57 UTC | Societal CDMO, Inc. REPH · Entity 92137 | Exercise / conversionRestricted Stock Units · Derivative | 13,274 | $0.00 | $0.00 |
DisclosureSEC source: 0001192482-18-000209 · edgar.xml · derivative · entry 2 Ashton William · CIK 0001474553 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 13,274 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: Restricted stock units convert into common stock on a one-for-one basis. F2 · derivative.exercise_date: On May 12, 2017, the reporting person was granted 13,274 restricted stock units, vesting on the first anniversary of the grant date. F2 · derivative.expiration_date: On May 12, 2017, the reporting person was granted 13,274 restricted stock units, vesting on the first anniversary of the grant date. Read SEC document |
| May 12, 2018 Filed May 14, 2018 20:57 UTC | Societal CDMO, Inc. REPH · Entity 92137 | Exercise / conversionCommon Stock | 13,274 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001192482-18-000209 · edgar.xml · nonDerivative · entry 1 Ashton William · CIK 0001474553 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,457 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: Restricted stock units convert into common stock on a one-for-one basis. Read SEC document |
| May 04, 2018 Filed May 8, 2018 21:29 UTC | Societal CDMO, Inc. REPH · Entity 92137 | GrantStock Option (right to buy) · Derivative | 5,742 | $0.00 Strike: $11.32 | $0.00 |
DisclosureSEC source: 0001192482-18-000186 · edgar.xml · derivative · entry 2 Ashton William · CIK 0001474553 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,742 Underlying: Common Stock · 5,742 shares Expires 2028-05-04 F2 · derivative.exercise_date: The stock option will vest on May 4, 2019. 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.