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person · Reporting owner

O'Connor Daniel J.

Disclosed activity across 7 companies

Tapewire entity
41698
SEC CIK
0001376847

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Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
Ambrx Biopharma Inc.AMAM · Entity 109604Director · President and CEOJuly 05, 2023July 07, 2023
Ayala Pharmaceuticals, Inc.ADXS · Entity 93434Director · Chief Executive OfficerJune 30, 2017July 03, 2017
DiaMedica Therapeutics Inc.DMAC · Entity 5813DirectorJune 01, 2026June 03, 2026
ONCOSEC MEDICAL IncONCS · Entity 117092Director · CEO and PresidentApril 30, 2021May 04, 2021
SEELOS THERAPEUTICS, INC.SEEL · Entity 93662DirectorJanuary 04, 2024January 08, 2024
ZyVersa Therapeutics, Inc.ZVSA · Entity 8639Director · 10% ownerDecember 12, 2022December 15, 2022

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.

Ambrx Biopharma Inc.

Report date July 05, 2023 · Filed July 07, 2023

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.38 · Expires 2033-07-05Direct1,216,500 Reported balance After 2023-07-05 transaction · row 1 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 1 · 2023-07-05 · Grant · Acquired 1,216,500 · Balance 1,216,500

F1: The options will have an exercise price per share equal to the fair market value per ordinary share on the grant date based on the trading price of the Issuer's American Depositary Shares ("ADSs").

F2: 1/6 of the Ordinary Shares subject to the option vest on January 5, 2024, and the remainder vests in ten (10) equal quarterly installments following such date.

F3: The Ordinary Shares of the Issuer may be represented by ADSs. Each ADS represents seven Ordinary Shares of the Issuer.

Filing footnotes · ownership attribution and instrument terms

F1: The options will have an exercise price per share equal to the fair market value per ordinary share on the grant date based on the trading price of the Issuer's American Depositary Shares ("ADSs").

F2: 1/6 of the Ordinary Shares subject to the option vest on January 5, 2024, and the remainder vests in ten (10) equal quarterly installments following such date.

F3: The Ordinary Shares of the Issuer may be represented by ADSs. Each ADS represents seven Ordinary Shares of the Issuer.

Ayala Pharmaceuticals, Inc.

Report date June 30, 2017 · Filed July 03, 2017

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect618,352 Reported balance After 2017-06-30 transaction · row 1
1 source row

Row 1 · 2017-06-30 · Grant · Acquired 742 · Balance 618,352

F1: The reporting person voluntarily purchases restricted stock directly from the Company at market price on the last trading day of the month pursuant to an arrangement that was approved by the Compensation Committee of the Company's Board of Directors in a manner that satisfied Exchange Act Rule 16b-3(d). The Company utilizes the net withholding method for each monthly purchase. The reporting person purchased a gross amount of 996 shares of which 254 shares were forfeited to pay withholding taxes associated with the stock issuance.

Filing footnotes · ownership attribution and instrument terms

F1: The reporting person voluntarily purchases restricted stock directly from the Company at market price on the last trading day of the month pursuant to an arrangement that was approved by the Compensation Committee of the Company's Board of Directors in a manner that satisfied Exchange Act Rule 16b-3(d). The Company utilizes the net withholding method for each monthly purchase. The reporting person purchased a gross amount of 996 shares of which 254 shares were forfeited to pay withholding taxes associated with the stock issuance.

DiaMedica Therapeutics Inc.

Report date June 01, 2026 · Filed June 03, 2026

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.84 · Expires 2036-06-01Direct40,412 Reported balance After 2026-06-01 transaction · row 1 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 1 · 2026-06-01 · Grant · Acquired 40,412 · Balance 40,412

F1: Scheduled to vest in four equal quarterly installments.

Filing footnotes · ownership attribution and instrument terms

F1: Scheduled to vest in four equal quarterly installments.

ONCOSEC MEDICAL Inc

Report date April 30, 2021 · Filed May 04, 2021

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect96,097 Reported balance After 2021-04-30 transaction · row 1
1 source row

Row 1 · 2021-04-30 · Sale · Disposed 3,172 · Balance 96,097

F1: In connection with the vesting of 6,250 RSUs on April 30, 2021, a total of 3,172 shares were sold in order to satisfy the reporting person's tax withholding obligations. This sale occurred automatically, and the amount sold corresponded to the tax withholding amount. The reporting person had no control with respect to such sale, which was conducted in accordance with the Issuer's corporate policies.

Filing footnotes · ownership attribution and instrument terms

F1: In connection with the vesting of 6,250 RSUs on April 30, 2021, a total of 3,172 shares were sold in order to satisfy the reporting person's tax withholding obligations. This sale occurred automatically, and the amount sold corresponded to the tax withholding amount. The reporting person had no control with respect to such sale, which was conducted in accordance with the Issuer's corporate policies.

SEELOS THERAPEUTICS, INC.

Report date January 04, 2024 · Filed January 08, 2024

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.33 · Expires 2034-01-04Direct1,666 Reported balance After 2024-01-04 transaction · row 1 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 1 · 2024-01-04 · Grant · Acquired 1,666 · Balance 1,666

F1: 1/12th of the shares subject to the option shall vest on February 4, 2024, and 1/12th of the shares subject to the option shall vest monthly thereafter.

Filing footnotes · ownership attribution and instrument terms

F1: 1/12th of the shares subject to the option shall vest on February 4, 2024, and 1/12th of the shares subject to the option shall vest monthly thereafter.

ZyVersa Therapeutics, Inc.

Report date December 12, 2022 · Filed December 15, 2022

Jointly reported with Larkspur Health LLC

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee Footnote1,377,598 Reported balance After 2022-12-12 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2022-12-12 · Other · Acquired 1,377,598 · Balance 1,377,598

F1: The Issuer completed a business combination with Larkspur Health Acquisition Corp., a Delaware corporation ("Larkspur") in accordance with the terms of the Business Combination Agreement, dated July 20, 2022, as amended (the "Business Combination Agreement") by and among ZyVersa Therapeutics, Inc., a Florida corporation ("Old ZyVersa"), the Securityholder Representative (as defined in the Business Combination Agreement) named therein, Larkspur, and Larkspur Merger Sub, Inc., a Delaware corporation and a direct, wholly owned subsidiary of Larkspur ("Merger Sub") pursuant to which Merger Sub merged with and into Old ZyVersa (the "Acquisition Merger"), with Old Zyversa as the surviving company of the Acquisition Merger and, after giving effecting to such Acquisition Merger, Old ZyVersa became a wholly-owned subsidiary of Larkspur and changed its name to the Issuer.

F2: The securities were previously securities of Larkspur but were converted automatically to securities of the Issuer in connection with the transactions contemplated by the Business Combination Agreement.

F3: The securities are held of record by Larkspur Health LLC (the "Sponsor"). Daniel J. O'Connor is the sole manager of Larkspur Health LLC and in such capacity has voting and investment discretion with respect to the common stock held of record by Larkspur Health LLC. By virtue of this relationship, Mr. O'Connor may be deemed to have beneficial ownership of the securities held of record by the Sponsor. Mr. O'Connor disclaims any such beneficial ownership except to the extent of his pecuniary interest.

Series A Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $10.00Direct1,750 Reported balance After 2022-12-12 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · 2022-12-12 · Other · Acquired 1,750 · Balance 1,750

F1: The Issuer completed a business combination with Larkspur Health Acquisition Corp., a Delaware corporation ("Larkspur") in accordance with the terms of the Business Combination Agreement, dated July 20, 2022, as amended (the "Business Combination Agreement") by and among ZyVersa Therapeutics, Inc., a Florida corporation ("Old ZyVersa"), the Securityholder Representative (as defined in the Business Combination Agreement) named therein, Larkspur, and Larkspur Merger Sub, Inc., a Delaware corporation and a direct, wholly owned subsidiary of Larkspur ("Merger Sub") pursuant to which Merger Sub merged with and into Old ZyVersa (the "Acquisition Merger"), with Old Zyversa as the surviving company of the Acquisition Merger and, after giving effecting to such Acquisition Merger, Old ZyVersa became a wholly-owned subsidiary of Larkspur and changed its name to the Issuer.

F2: The securities were previously securities of Larkspur but were converted automatically to securities of the Issuer in connection with the transactions contemplated by the Business Combination Agreement.

F5: Mr. O'Connor paid $1,000 per share of Series A Convertible Preferred Stock and warrants in an amount equal to 100% of the common shares issuable upon conversion of the Series A Convertible Preferred Stock for an aggregate of $17,500. No half shares of the Series A Convertible Preferred Stock were issued, therefore, the reporting person received 18 shares of such preferred stock instead of 17.5.

F4: The Series A Convertible Preferred Stock is perpetual and therefore has no expiration date.

Warrant (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $11.50 · Expires 2027-12-12Direct1,750 Reported balance After 2022-12-12 transaction · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 3 · 2022-12-12 · Other · Acquired 1,750 · Balance 1,750

F1: The Issuer completed a business combination with Larkspur Health Acquisition Corp., a Delaware corporation ("Larkspur") in accordance with the terms of the Business Combination Agreement, dated July 20, 2022, as amended (the "Business Combination Agreement") by and among ZyVersa Therapeutics, Inc., a Florida corporation ("Old ZyVersa"), the Securityholder Representative (as defined in the Business Combination Agreement) named therein, Larkspur, and Larkspur Merger Sub, Inc., a Delaware corporation and a direct, wholly owned subsidiary of Larkspur ("Merger Sub") pursuant to which Merger Sub merged with and into Old ZyVersa (the "Acquisition Merger"), with Old Zyversa as the surviving company of the Acquisition Merger and, after giving effecting to such Acquisition Merger, Old ZyVersa became a wholly-owned subsidiary of Larkspur and changed its name to the Issuer.

F2: The securities were previously securities of Larkspur but were converted automatically to securities of the Issuer in connection with the transactions contemplated by the Business Combination Agreement.

F5: Mr. O'Connor paid $1,000 per share of Series A Convertible Preferred Stock and warrants in an amount equal to 100% of the common shares issuable upon conversion of the Series A Convertible Preferred Stock for an aggregate of $17,500. No half shares of the Series A Convertible Preferred Stock were issued, therefore, the reporting person received 18 shares of such preferred stock instead of 17.5.

F6: The warrant is immediately exercisable in full.

Warrant (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $11.50 · Expires 2027-12-12IndirectSee Footnote177,204 Reported balance After 2022-12-12 transaction · row 4 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 4 · 2022-12-12 · Other · Acquired 177,204 · Balance 177,204

F1: The Issuer completed a business combination with Larkspur Health Acquisition Corp., a Delaware corporation ("Larkspur") in accordance with the terms of the Business Combination Agreement, dated July 20, 2022, as amended (the "Business Combination Agreement") by and among ZyVersa Therapeutics, Inc., a Florida corporation ("Old ZyVersa"), the Securityholder Representative (as defined in the Business Combination Agreement) named therein, Larkspur, and Larkspur Merger Sub, Inc., a Delaware corporation and a direct, wholly owned subsidiary of Larkspur ("Merger Sub") pursuant to which Merger Sub merged with and into Old ZyVersa (the "Acquisition Merger"), with Old Zyversa as the surviving company of the Acquisition Merger and, after giving effecting to such Acquisition Merger, Old ZyVersa became a wholly-owned subsidiary of Larkspur and changed its name to the Issuer.

F2: The securities were previously securities of Larkspur but were converted automatically to securities of the Issuer in connection with the transactions contemplated by the Business Combination Agreement.

F6: The warrant is immediately exercisable in full.

F3: The securities are held of record by Larkspur Health LLC (the "Sponsor"). Daniel J. O'Connor is the sole manager of Larkspur Health LLC and in such capacity has voting and investment discretion with respect to the common stock held of record by Larkspur Health LLC. By virtue of this relationship, Mr. O'Connor may be deemed to have beneficial ownership of the securities held of record by the Sponsor. Mr. O'Connor disclaims any such beneficial ownership except to the extent of his pecuniary interest.

Filing footnotes · ownership attribution and instrument terms

F1: The Issuer completed a business combination with Larkspur Health Acquisition Corp., a Delaware corporation ("Larkspur") in accordance with the terms of the Business Combination Agreement, dated July 20, 2022, as amended (the "Business Combination Agreement") by and among ZyVersa Therapeutics, Inc., a Florida corporation ("Old ZyVersa"), the Securityholder Representative (as defined in the Business Combination Agreement) named therein, Larkspur, and Larkspur Merger Sub, Inc., a Delaware corporation and a direct, wholly owned subsidiary of Larkspur ("Merger Sub") pursuant to which Merger Sub merged with and into Old ZyVersa (the "Acquisition Merger"), with Old Zyversa as the surviving company of the Acquisition Merger and, after giving effecting to such Acquisition Merger, Old ZyVersa became a wholly-owned subsidiary of Larkspur and changed its name to the Issuer.

F2: The securities were previously securities of Larkspur but were converted automatically to securities of the Issuer in connection with the transactions contemplated by the Business Combination Agreement.

F3: The securities are held of record by Larkspur Health LLC (the "Sponsor"). Daniel J. O'Connor is the sole manager of Larkspur Health LLC and in such capacity has voting and investment discretion with respect to the common stock held of record by Larkspur Health LLC. By virtue of this relationship, Mr. O'Connor may be deemed to have beneficial ownership of the securities held of record by the Sponsor. Mr. O'Connor disclaims any such beneficial ownership except to the extent of his pecuniary interest.

F4: The Series A Convertible Preferred Stock is perpetual and therefore has no expiration date.

F5: Mr. O'Connor paid $1,000 per share of Series A Convertible Preferred Stock and warrants in an amount equal to 100% of the common shares issuable upon conversion of the Series A Convertible Preferred Stock for an aggregate of $17,500. No half shares of the Series A Convertible Preferred Stock were issued, therefore, the reporting person received 18 shares of such preferred stock instead of 17.5.

F6: The warrant is immediately exercisable in full.

Past disclosures · reporting ended (1)

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

Ambrx Biopharma, Inc.

Report date March 07, 2024 · Filed March 07, 2024

Section 16 reporting ended · disclosed 2024-03-07. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect0 Reported balance After 2024-03-07 transaction · row 1
1 source row

Row 1 · 2024-03-07 · Disposition to issuer · Disposed 48,202 · Balance 0

F1: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of January 5, 2024, among the Issuer, Johnson & Johnson ("J&J"), and Charm Merger Sub, Inc., a wholly owned subsidiary of J&J ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer (the "Merger"), effective as of March 7, 2024 (such date and time of such Merger, the "Effective Time"), with the Issuer surviving the Merger as a wholly owned subsidiary of J&J.

F2: Pursuant to the Merger Agreement, at the Effective Time, each outstanding share of common stock of the Issuer ("Company Common Stock") reported in this Form 4 was converted into the right to receive an amount equal to $28.00 per share in cash (the "Merger Consideration"), without interest and less any applicable withholding taxes.

Restricted Stock UnitsSEC Table II · derivative / convertible securityDirect0 Reported balance After 2024-03-07 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · 2024-03-07 · Disposition to issuer · Disposed 294,643 · Balance 0

F3: Each of these restricted stock units ("RSUs") represents a contingent right to receive one share of the Company Common Stock.

F5: Pursuant to the Merger Agreement, at the Effective Time, each of these RSUs that was outstanding as of immediately prior to the Effective Time was cancelled and the Reporting Person was entitled to receive the Merger Consideration, without interest and less any applicable withholding taxes, in respect of each such RSU.

F4: These RSUs vest as follows: (i) one-third (1/3) of the RSUs will vest on the 12-month anniversary of April 26, 2023 (the "Grant Date"), (ii) one-third (1/3) of the RSUs will vest on the 24-month anniversary of the Grant Date, and (iii) one-third (1/3) of the RSUs will vest on the 36-month anniversary of the Grant Date.

Restricted Stock UnitsSEC Table II · derivative / convertible securityDirect0 Reported balance After 2024-03-07 transaction · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 3 · 2024-03-07 · Disposition to issuer · Disposed 750,000 · Balance 0

F3: Each of these restricted stock units ("RSUs") represents a contingent right to receive one share of the Company Common Stock.

F5: Pursuant to the Merger Agreement, at the Effective Time, each of these RSUs that was outstanding as of immediately prior to the Effective Time was cancelled and the Reporting Person was entitled to receive the Merger Consideration, without interest and less any applicable withholding taxes, in respect of each such RSU.

F6: These RSUs vest as follows: (i) one-sixth (1/6) of the RSUs will vest on the six (6)-month anniversary of the grant date of December 11, 2023, and (ii) one-twelfth (1/12) of the RSUs will vest on a quarterly basis thereafter.

Option to Purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.91 · Expires 2032-10-31Direct0 Reported balance After 2024-03-07 transaction · row 4 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 4 · 2024-03-07 · Disposition to issuer · Disposed 772,857 · Balance 0

F8: Pursuant to the Merger Agreement, at the Effective Time, each Company Option that was outstanding and unexercised as of immediately prior to the Effective Time, whether vested or unvested, with a per share exercise price ("Per Share Exercise Price") that was less than the Merger Consideration, was cancelled and converted into the right to receive an amount in cash (without interest and less any applicable withholding taxes) equal to the product of (i) the aggregate number of shares of Company Common Stock underlying such Company Option immediately prior to the Effective Time, and (ii) the excess of (A) the Merger Consideration over (B) the Per Share Exercise Price of such Company Option. Each Company Option that had a Per Share Exercise Price that was equal to or exceeded the amount of the Merger Consideration at the Effective Time was cancelled for no consideration.

F7: The Company Common Stock subject to the options to purchase shares of Company Common Stock (each, a "Company Option") vest as follows: (i) twenty-five (25) percent of the Company Common Stock vested on November 1, 2023, and (ii) the remainder vests in thirty-six equal monthly installments following such date.

Option to Purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $16.66 · Expires 2033-07-05Direct0 Reported balance After 2024-03-07 transaction · row 5 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 5 · 2024-03-07 · Disposition to issuer · Disposed 173,785 · Balance 0

F8: Pursuant to the Merger Agreement, at the Effective Time, each Company Option that was outstanding and unexercised as of immediately prior to the Effective Time, whether vested or unvested, with a per share exercise price ("Per Share Exercise Price") that was less than the Merger Consideration, was cancelled and converted into the right to receive an amount in cash (without interest and less any applicable withholding taxes) equal to the product of (i) the aggregate number of shares of Company Common Stock underlying such Company Option immediately prior to the Effective Time, and (ii) the excess of (A) the Merger Consideration over (B) the Per Share Exercise Price of such Company Option. Each Company Option that had a Per Share Exercise Price that was equal to or exceeded the amount of the Merger Consideration at the Effective Time was cancelled for no consideration.

F9: The Company Common Stock subject to the Company Options vest as follows: (i) 1/6 of the Company Common Stock vested on January 5, 2024, and the remainder vests in ten (10) equal quarterly installments following such date.

Filing footnotes · ownership attribution and instrument terms

F1: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of January 5, 2024, among the Issuer, Johnson & Johnson ("J&J"), and Charm Merger Sub, Inc., a wholly owned subsidiary of J&J ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer (the "Merger"), effective as of March 7, 2024 (such date and time of such Merger, the "Effective Time"), with the Issuer surviving the Merger as a wholly owned subsidiary of J&J.

F2: Pursuant to the Merger Agreement, at the Effective Time, each outstanding share of common stock of the Issuer ("Company Common Stock") reported in this Form 4 was converted into the right to receive an amount equal to $28.00 per share in cash (the "Merger Consideration"), without interest and less any applicable withholding taxes.

F3: Each of these restricted stock units ("RSUs") represents a contingent right to receive one share of the Company Common Stock.

F4: These RSUs vest as follows: (i) one-third (1/3) of the RSUs will vest on the 12-month anniversary of April 26, 2023 (the "Grant Date"), (ii) one-third (1/3) of the RSUs will vest on the 24-month anniversary of the Grant Date, and (iii) one-third (1/3) of the RSUs will vest on the 36-month anniversary of the Grant Date.

F5: Pursuant to the Merger Agreement, at the Effective Time, each of these RSUs that was outstanding as of immediately prior to the Effective Time was cancelled and the Reporting Person was entitled to receive the Merger Consideration, without interest and less any applicable withholding taxes, in respect of each such RSU.

F6: These RSUs vest as follows: (i) one-sixth (1/6) of the RSUs will vest on the six (6)-month anniversary of the grant date of December 11, 2023, and (ii) one-twelfth (1/12) of the RSUs will vest on a quarterly basis thereafter.

F7: The Company Common Stock subject to the options to purchase shares of Company Common Stock (each, a "Company Option") vest as follows: (i) twenty-five (25) percent of the Company Common Stock vested on November 1, 2023, and (ii) the remainder vests in thirty-six equal monthly installments following such date.

F8: Pursuant to the Merger Agreement, at the Effective Time, each Company Option that was outstanding and unexercised as of immediately prior to the Effective Time, whether vested or unvested, with a per share exercise price ("Per Share Exercise Price") that was less than the Merger Consideration, was cancelled and converted into the right to receive an amount in cash (without interest and less any applicable withholding taxes) equal to the product of (i) the aggregate number of shares of Company Common Stock underlying such Company Option immediately prior to the Effective Time, and (ii) the excess of (A) the Merger Consideration over (B) the Per Share Exercise Price of such Company Option. Each Company Option that had a Per Share Exercise Price that was equal to or exceeded the amount of the Merger Consideration at the Effective Time was cancelled for no consideration.

F9: The Company Common Stock subject to the Company Options vest as follows: (i) 1/6 of the Company Common Stock vested on January 5, 2024, and the remainder vests in ten (10) equal quarterly installments following such date.

Transaction history

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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 dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
June 01, 2026 Filed Jun 3, 2026 21:27 UTC DiaMedica Therapeutics Inc. DMAC · Entity 5813 GrantStock Option (right to buy) · Derivative 40,412 $0.00 Strike: $5.84 $0.00
Disclosure

SEC source: 0001376847-26-000002 · form4-06032026_090622.xml · derivative · entry 1

O'Connor Daniel J. · CIK 0001376847 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,412

Underlying: Voting Common Shares · 40,412 shares

Expires 2036-06-01

F1 · derivative.exercise_date: Scheduled to vest in four equal quarterly installments.

Read SEC document
February 20, 2025 Filed Feb 24, 2025 22:06 UTC DiaMedica Therapeutics Inc. DMAC · Entity 5813 GrantStock Option (right to buy) · Derivative 64,242 $0.00 Strike: $6.61 $0.00
Disclosure

SEC source: 0001235802-25-000012 · primary_doc.xml · derivative · entry 2

O'Connor Daniel J. · CIK 0001376847 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 64,242

Underlying: Common Stock · 64,242 shares

Expires 2035-02-19

F1 · derivative.exercise_date: Vests in 12 nearly equal quarterly installments over three years.

Read SEC document
March 07, 2024 Filed Mar 7, 2024 17:46 UTC Ambrx Biopharma, Inc. AMAM · Entity 93373 Disposition to issuerOption to Purchase Common Stock · Derivative 173,785 Not disclosed Strike: $16.66 Not disclosed
Disclosure

SEC source: 0000950170-24-028190 · ownership.xml · derivative · entry 5

O'Connor Daniel J. · CIK 0001376847 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 173,785 shares

Expires 2033-07-05

F8 · price: Pursuant to the Merger Agreement, at the Effective Time, each Company Option that was outstanding and unexercised as of immediately prior to the Effective Time, whether vested or unvested, with a per share exercise price ("Per Share Exercise Price") that was less than the Merger Consideration, was cancelled and converted into the right to receive an amount in cash (without interest and less any applicable withholding taxes) equal to the product of (i) the aggregate number of shares of Company Common Stock underlying such Company Option immediately prior to the Effective Time, and (ii) the excess of (A) the Merger Consideration over (B) the Per Share Exercise Price of such Company Option. Each Company Option that had a Per Share Exercise Price that was equal to or exceeded the amount of the Merger Consideration at the Effective Time was cancelled for no consideration.

F9 · derivative.exercise_date: The Company Common Stock subject to the Company Options vest as follows: (i) 1/6 of the Company Common Stock vested on January 5, 2024, and the remainder vests in ten (10) equal quarterly installments following such date.

Read SEC document
March 07, 2024 Filed Mar 7, 2024 17:46 UTC Ambrx Biopharma, Inc. AMAM · Entity 93373 Disposition to issuerOption to Purchase Common Stock · Derivative 772,857 Not disclosed Strike: $0.91 Not disclosed
Disclosure

SEC source: 0000950170-24-028190 · ownership.xml · derivative · entry 4

O'Connor Daniel J. · CIK 0001376847 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 772,857 shares

Expires 2032-10-31

F8 · price: Pursuant to the Merger Agreement, at the Effective Time, each Company Option that was outstanding and unexercised as of immediately prior to the Effective Time, whether vested or unvested, with a per share exercise price ("Per Share Exercise Price") that was less than the Merger Consideration, was cancelled and converted into the right to receive an amount in cash (without interest and less any applicable withholding taxes) equal to the product of (i) the aggregate number of shares of Company Common Stock underlying such Company Option immediately prior to the Effective Time, and (ii) the excess of (A) the Merger Consideration over (B) the Per Share Exercise Price of such Company Option. Each Company Option that had a Per Share Exercise Price that was equal to or exceeded the amount of the Merger Consideration at the Effective Time was cancelled for no consideration.

F7 · derivative.exercise_date: The Company Common Stock subject to the options to purchase shares of Company Common Stock (each, a "Company Option") vest as follows: (i) twenty-five (25) percent of the Company Common Stock vested on November 1, 2023, and (ii) the remainder vests in thirty-six equal monthly installments following such date.

Read SEC document
March 07, 2024 Filed Mar 7, 2024 17:46 UTC Ambrx Biopharma, Inc. AMAM · Entity 93373 Disposition to issuerRestricted Stock Units · Derivative 750,000 Not disclosed Not disclosed
Disclosure

SEC source: 0000950170-24-028190 · ownership.xml · derivative · entry 3

O'Connor Daniel J. · CIK 0001376847 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 750,000 shares

Expires not disclosed

F3 · derivative.exercise_price: Each of these restricted stock units ("RSUs") represents a contingent right to receive one share of the Company Common Stock.

F5 · price: Pursuant to the Merger Agreement, at the Effective Time, each of these RSUs that was outstanding as of immediately prior to the Effective Time was cancelled and the Reporting Person was entitled to receive the Merger Consideration, without interest and less any applicable withholding taxes, in respect of each such RSU.

F6 · derivative.exercise_date: These RSUs vest as follows: (i) one-sixth (1/6) of the RSUs will vest on the six (6)-month anniversary of the grant date of December 11, 2023, and (ii) one-twelfth (1/12) of the RSUs will vest on a quarterly basis thereafter.

F6 · derivative.expiration_date: These RSUs vest as follows: (i) one-sixth (1/6) of the RSUs will vest on the six (6)-month anniversary of the grant date of December 11, 2023, and (ii) one-twelfth (1/12) of the RSUs will vest on a quarterly basis thereafter.

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March 07, 2024 Filed Mar 7, 2024 17:46 UTC Ambrx Biopharma, Inc. AMAM · Entity 93373 Disposition to issuerRestricted Stock Units · Derivative 294,643 Not disclosed Not disclosed
Disclosure

SEC source: 0000950170-24-028190 · ownership.xml · derivative · entry 2

O'Connor Daniel J. · CIK 0001376847 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 294,643 shares

Expires not disclosed

F3 · derivative.exercise_price: Each of these restricted stock units ("RSUs") represents a contingent right to receive one share of the Company Common Stock.

F5 · price: Pursuant to the Merger Agreement, at the Effective Time, each of these RSUs that was outstanding as of immediately prior to the Effective Time was cancelled and the Reporting Person was entitled to receive the Merger Consideration, without interest and less any applicable withholding taxes, in respect of each such RSU.

F4 · derivative.exercise_date: These RSUs vest as follows: (i) one-third (1/3) of the RSUs will vest on the 12-month anniversary of April 26, 2023 (the "Grant Date"), (ii) one-third (1/3) of the RSUs will vest on the 24-month anniversary of the Grant Date, and (iii) one-third (1/3) of the RSUs will vest on the 36-month anniversary of the Grant Date.

F4 · derivative.expiration_date: These RSUs vest as follows: (i) one-third (1/3) of the RSUs will vest on the 12-month anniversary of April 26, 2023 (the "Grant Date"), (ii) one-third (1/3) of the RSUs will vest on the 24-month anniversary of the Grant Date, and (iii) one-third (1/3) of the RSUs will vest on the 36-month anniversary of the Grant Date.

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March 07, 2024 Filed Mar 7, 2024 17:46 UTC Ambrx Biopharma, Inc. AMAM · Entity 93373 Disposition to issuerCommon Stock 48,202 Not disclosed Not disclosed
Disclosure

SEC source: 0000950170-24-028190 · ownership.xml · nonDerivative · entry 1

O'Connor Daniel J. · CIK 0001376847 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F1 · price: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of January 5, 2024, among the Issuer, Johnson & Johnson ("J&J"), and Charm Merger Sub, Inc., a wholly owned subsidiary of J&J ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer (the "Merger"), effective as of March 7, 2024 (such date and time of such Merger, the "Effective Time"), with the Issuer surviving the Merger as a wholly owned subsidiary of J&J.

F2 · price: Pursuant to the Merger Agreement, at the Effective Time, each outstanding share of common stock of the Issuer ("Company Common Stock") reported in this Form 4 was converted into the right to receive an amount equal to $28.00 per share in cash (the "Merger Consideration"), without interest and less any applicable withholding taxes.

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January 04, 2024 Filed Jan 8, 2024 21:45 UTC SEELOS THERAPEUTICS, INC. SEEL · Entity 93662 GrantStock Option (right to buy) · Derivative 1,666 $0.00 Strike: $1.33 $0.00
Disclosure

SEC source: 0001104659-24-002383 · tm242318-1_4seq1.xml · derivative · entry 1

O'Connor Daniel J. · CIK 0001376847 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,666

Underlying: Common Stock · 1,666 shares

Expires 2034-01-04

F1 · derivative.exercise_date: 1/12th of the shares subject to the option shall vest on February 4, 2024, and 1/12th of the shares subject to the option shall vest monthly thereafter.

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December 11, 2023 Filed Dec 11, 2023 17:15 UTC Ambrx Biopharma, Inc. AMAM · Entity 93373 GrantCommon Stock 750,000 $0.00 $0.00
Disclosure

SEC source: 0000950170-23-069446 · ownership.xml · nonDerivative · entry 1

O'Connor Daniel J. · CIK 0001376847 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,363,332

F1 · security: Represents Restricted Stock Units ("RSUs") payable in common stock of the Issuer granted to the Reporting Person on December 11, 2023 (the "Grant Date"). The RSUs were granted in connection with the completion of the year-end review process and will be issued pursuant to the Company's Amended and Restated 2021 Equity Incentive Plan. The award represents an aggregate of the Reporting Person's year-end and make-whole awards based on market data for similarly situated officers at peer companies.

F2 · shares: The RSUs will vest over thirty-six (36) months as follows: (i) one-sixth (1/6) of the RSUs will vest on the six (6)-month anniversary of the Grant Date, and (ii) one-twelfth (1/12) of the RSUs will vest on a quarterly basis thereafter.

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October 27, 2023 Filed Oct 31, 2023 17:00 UTC Ambrx Biopharma, Inc. AMAM · Entity 93373 SaleCommon Stock 50,012 $9.82 $491,117.84
Disclosure

SEC source: 0000950170-23-056943 · ownership.xml · nonDerivative · entry 1

O'Connor Daniel J. · CIK 0001376847 · Director · President and CEO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 342,845

F1 · security: Reflects an adjustment in connection with the holding company reorganization resulting in Ambrx Biopharma, Inc. ("Ambrx") becoming a Delaware corporation (the "Domestication"). Pursuant to the transactions contemplated by the Domestication, each Ordinary Share of the previous holding company (Ambrx Biopharma Inc., a Cayman Islands company) converted into one-seventh (1/7th) of a share of common stock of Ambrx. Represents Restricted Stock Units ("RSUs") payable in Ambrx common stock granted to the Reporting Person as previously disclosed.

F2 · kind: The sale reported on this Form 4 represents shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of the RSUs. The sale is mandated by Ambrx's election to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary transaction by the Reporting Person. The sale is being made pursuant to the Reporting Person's effective 10b5-1 plan.

F3 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $9.70 to $9.99. The Reporting Person undertakes to provide to Ambrx, any security holder of Ambrx or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

F1 · balance_after: Reflects an adjustment in connection with the holding company reorganization resulting in Ambrx Biopharma, Inc. ("Ambrx") becoming a Delaware corporation (the "Domestication"). Pursuant to the transactions contemplated by the Domestication, each Ordinary Share of the previous holding company (Ambrx Biopharma Inc., a Cayman Islands company) converted into one-seventh (1/7th) of a share of common stock of Ambrx. Represents Restricted Stock Units ("RSUs") payable in Ambrx common stock granted to the Reporting Person as previously disclosed.

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July 05, 2023 Filed Jul 7, 2023 16:06 UTC Ambrx Biopharma Inc. AMAM · Entity 109604 GrantStock Option (right to buy) · Derivative 1,216,500 $0.00 Strike: $2.38 $0.00
Disclosure

SEC source: 0000950170-23-032232 · ownership.xml · derivative · entry 1

O'Connor Daniel J. · CIK 0001376847 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,216,500

Underlying: Ordinary Shares · 1,216,500 shares

Expires 2033-07-05

F1 · derivative.exercise_price: The options will have an exercise price per share equal to the fair market value per ordinary share on the grant date based on the trading price of the Issuer's American Depositary Shares ("ADSs").

F2 · derivative.exercise_date: 1/6 of the Ordinary Shares subject to the option vest on January 5, 2024, and the remainder vests in ten (10) equal quarterly installments following such date.

F3 · derivative.underlying: The Ordinary Shares of the Issuer may be represented by ADSs. Each ADS represents seven Ordinary Shares of the Issuer.

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April 26, 2023 Filed Apr 28, 2023 17:59 UTC Ambrx Biopharma Inc. AMAM · Entity 109604 GrantOrdinary Shares 2,750,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-026093 · doc4.xml · nonDerivative · entry 1

O'Connor Daniel J. · CIK 0001376847 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,750,000

F1 · security: The Ordinary Shares of the Issuer may be represented by American Depositary Shares ("ADSs"). Each ADS represents seven Ordinary Shares of the Issuer.

F2 · shares: Represents grant of Restricted Stock Units (the "RSUs") payable solely in Ordinary Shares of the Issuer that vest as follows: (i) 25% of the RSUs will vest on the six-month anniversary of the grant date of April 26, 2023 (the "Grant Date"), (ii) 25% of the RSUs will vest on the 12-month anniversary of the Grant Date, (iii) 25% of the RSUs will vest on the 24-month anniversary of the Grant Date, and (iv) 25% of the RSUs will vest on the 36-month anniversary of the Grant Date.

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January 05, 2023 Filed Jan 5, 2023 19:20 UTC SEELOS THERAPEUTICS, INC. SEEL · Entity 93662 GrantStock Option (right to buy) · Derivative 50,000 $0.00 Strike: $0.81 $0.00
Disclosure

SEC source: 0001136261-23-000007 · ownership.xml · derivative · entry 1

O'Connor Daniel J. · CIK 0001376847 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2033-01-05

F1 · derivative.exercise_date: 1/12th of the shares subject to the option shall vest on February 5, 2023, and 1/12th of the shares subject to the option shall vest monthly thereafter.

Read SEC document
December 12, 2022 Filed Dec 15, 2022 00:21 UTC ZyVersa Therapeutics, Inc. ZVSA · Entity 8639 OtherWarrant (right to buy) · Derivative 177,204 $0.00 Strike: $11.50 $0.00
Disclosure

SEC source: 0001493152-22-035477 · ownership.xml · derivative · entry 4

O'Connor Daniel J. · CIK 0001376847 · Director · 10% owner

Larkspur Health LLC · CIK 0001915818 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 177,204

Underlying: Common Stock · 177,204 shares

Expires 2027-12-12

F1 · kind: The Issuer completed a business combination with Larkspur Health Acquisition Corp., a Delaware corporation ("Larkspur") in accordance with the terms of the Business Combination Agreement, dated July 20, 2022, as amended (the "Business Combination Agreement") by and among ZyVersa Therapeutics, Inc., a Florida corporation ("Old ZyVersa"), the Securityholder Representative (as defined in the Business Combination Agreement) named therein, Larkspur, and Larkspur Merger Sub, Inc., a Delaware corporation and a direct, wholly owned subsidiary of Larkspur ("Merger Sub") pursuant to which Merger Sub merged with and into Old ZyVersa (the "Acquisition Merger"), with Old Zyversa as the surviving company of the Acquisition Merger and, after giving effecting to such Acquisition Merger, Old ZyVersa became a wholly-owned subsidiary of Larkspur and changed its name to the Issuer.

F2 · kind: The securities were previously securities of Larkspur but were converted automatically to securities of the Issuer in connection with the transactions contemplated by the Business Combination Agreement.

F6 · derivative.exercise_date: The warrant is immediately exercisable in full.

F3 · ownership.nature: The securities are held of record by Larkspur Health LLC (the "Sponsor"). Daniel J. O'Connor is the sole manager of Larkspur Health LLC and in such capacity has voting and investment discretion with respect to the common stock held of record by Larkspur Health LLC. By virtue of this relationship, Mr. O'Connor may be deemed to have beneficial ownership of the securities held of record by the Sponsor. Mr. O'Connor disclaims any such beneficial ownership except to the extent of his pecuniary interest.

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December 12, 2022 Filed Dec 15, 2022 00:21 UTC ZyVersa Therapeutics, Inc. ZVSA · Entity 8639 OtherWarrant (right to buy) · Derivative 1,750 Not disclosed Strike: $11.50 Not disclosed
Disclosure

SEC source: 0001493152-22-035477 · ownership.xml · derivative · entry 3

O'Connor Daniel J. · CIK 0001376847 · Director · 10% owner

Larkspur Health LLC · CIK 0001915818 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,750

Underlying: Common Stock · 1,750 shares

Expires 2027-12-12

F1 · kind: The Issuer completed a business combination with Larkspur Health Acquisition Corp., a Delaware corporation ("Larkspur") in accordance with the terms of the Business Combination Agreement, dated July 20, 2022, as amended (the "Business Combination Agreement") by and among ZyVersa Therapeutics, Inc., a Florida corporation ("Old ZyVersa"), the Securityholder Representative (as defined in the Business Combination Agreement) named therein, Larkspur, and Larkspur Merger Sub, Inc., a Delaware corporation and a direct, wholly owned subsidiary of Larkspur ("Merger Sub") pursuant to which Merger Sub merged with and into Old ZyVersa (the "Acquisition Merger"), with Old Zyversa as the surviving company of the Acquisition Merger and, after giving effecting to such Acquisition Merger, Old ZyVersa became a wholly-owned subsidiary of Larkspur and changed its name to the Issuer.

F2 · kind: The securities were previously securities of Larkspur but were converted automatically to securities of the Issuer in connection with the transactions contemplated by the Business Combination Agreement.

F5 · price: Mr. O'Connor paid $1,000 per share of Series A Convertible Preferred Stock and warrants in an amount equal to 100% of the common shares issuable upon conversion of the Series A Convertible Preferred Stock for an aggregate of $17,500. No half shares of the Series A Convertible Preferred Stock were issued, therefore, the reporting person received 18 shares of such preferred stock instead of 17.5.

F6 · derivative.exercise_date: The warrant is immediately exercisable in full.

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December 12, 2022 Filed Dec 15, 2022 00:21 UTC ZyVersa Therapeutics, Inc. ZVSA · Entity 8639 OtherSeries A Convertible Preferred Stock · Derivative 1,750 Not disclosed Strike: $10.00 Not disclosed
Disclosure

SEC source: 0001493152-22-035477 · ownership.xml · derivative · entry 2

O'Connor Daniel J. · CIK 0001376847 · Director · 10% owner

Larkspur Health LLC · CIK 0001915818 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,750

Underlying: Common Stock · 1,750 shares

Expires not disclosed

F1 · kind: The Issuer completed a business combination with Larkspur Health Acquisition Corp., a Delaware corporation ("Larkspur") in accordance with the terms of the Business Combination Agreement, dated July 20, 2022, as amended (the "Business Combination Agreement") by and among ZyVersa Therapeutics, Inc., a Florida corporation ("Old ZyVersa"), the Securityholder Representative (as defined in the Business Combination Agreement) named therein, Larkspur, and Larkspur Merger Sub, Inc., a Delaware corporation and a direct, wholly owned subsidiary of Larkspur ("Merger Sub") pursuant to which Merger Sub merged with and into Old ZyVersa (the "Acquisition Merger"), with Old Zyversa as the surviving company of the Acquisition Merger and, after giving effecting to such Acquisition Merger, Old ZyVersa became a wholly-owned subsidiary of Larkspur and changed its name to the Issuer.

F2 · kind: The securities were previously securities of Larkspur but were converted automatically to securities of the Issuer in connection with the transactions contemplated by the Business Combination Agreement.

F5 · price: Mr. O'Connor paid $1,000 per share of Series A Convertible Preferred Stock and warrants in an amount equal to 100% of the common shares issuable upon conversion of the Series A Convertible Preferred Stock for an aggregate of $17,500. No half shares of the Series A Convertible Preferred Stock were issued, therefore, the reporting person received 18 shares of such preferred stock instead of 17.5.

F4 · derivative.expiration_date: The Series A Convertible Preferred Stock is perpetual and therefore has no expiration date.

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December 12, 2022 Filed Dec 15, 2022 00:21 UTC ZyVersa Therapeutics, Inc. ZVSA · Entity 8639 OtherCommon Stock 1,377,598 $0.00 $0.00
Disclosure

SEC source: 0001493152-22-035477 · ownership.xml · nonDerivative · entry 1

O'Connor Daniel J. · CIK 0001376847 · Director · 10% owner

Larkspur Health LLC · CIK 0001915818 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,377,598

F1 · kind: The Issuer completed a business combination with Larkspur Health Acquisition Corp., a Delaware corporation ("Larkspur") in accordance with the terms of the Business Combination Agreement, dated July 20, 2022, as amended (the "Business Combination Agreement") by and among ZyVersa Therapeutics, Inc., a Florida corporation ("Old ZyVersa"), the Securityholder Representative (as defined in the Business Combination Agreement) named therein, Larkspur, and Larkspur Merger Sub, Inc., a Delaware corporation and a direct, wholly owned subsidiary of Larkspur ("Merger Sub") pursuant to which Merger Sub merged with and into Old ZyVersa (the "Acquisition Merger"), with Old Zyversa as the surviving company of the Acquisition Merger and, after giving effecting to such Acquisition Merger, Old ZyVersa became a wholly-owned subsidiary of Larkspur and changed its name to the Issuer.

F2 · kind: The securities were previously securities of Larkspur but were converted automatically to securities of the Issuer in connection with the transactions contemplated by the Business Combination Agreement.

F3 · ownership.nature: The securities are held of record by Larkspur Health LLC (the "Sponsor"). Daniel J. O'Connor is the sole manager of Larkspur Health LLC and in such capacity has voting and investment discretion with respect to the common stock held of record by Larkspur Health LLC. By virtue of this relationship, Mr. O'Connor may be deemed to have beneficial ownership of the securities held of record by the Sponsor. Mr. O'Connor disclaims any such beneficial ownership except to the extent of his pecuniary interest.

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June 01, 2022 Filed Jun 2, 2022 16:29 UTC SEELOS THERAPEUTICS, INC. SEEL · Entity 93662 PurchaseCommon Stock 16,000 $0.61 $9,788.80
Disclosure

SEC source: 0001136261-22-000249 · ownership.xml · nonDerivative · entry 1

O'Connor Daniel J. · CIK 0001376847 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,000

F1 · price: The price reported in Column 4 is a weighted average purchase price. These shares were acquired in multiple open market transactions at prices ranging from $0.6054 per share to $0.6127 per share, inclusive. The Reporting Person undertakes to provide to the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares acquired at each separate price.

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January 06, 2022 Filed Mar 10, 2022 22:31 UTC ZyVersa Therapeutics, Inc. LSPR · Entity 8639 OtherClass B common stock · Derivative 609 $0.00 $0.00
Disclosure

SEC source: 0001213900-22-011644 · ownership.xml · derivative · entry 3

O'Connor Daniel J. · CIK 0001376847 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 201,848

Underlying: Class A common stock · 609 shares

Expires not disclosed

F3 · security: As described in the Issuer's registration statement on Form S-1 (File No. 333-256056) (the "Registration Statement") under the section entitled "Description of Securities - Founder Shares," the shares of Class B Common Stock, par value $0.0001 per share, will automatically be converted into shares of Class A Common Stock, par value $0.0001 per share, at the time of the Issuer's initial business combination, on a one-for-one basis, subject to certain adjustment described therein, and have no expiration date

F3 · derivative.exercise_price: As described in the Issuer's registration statement on Form S-1 (File No. 333-256056) (the "Registration Statement") under the section entitled "Description of Securities - Founder Shares," the shares of Class B Common Stock, par value $0.0001 per share, will automatically be converted into shares of Class A Common Stock, par value $0.0001 per share, at the time of the Issuer's initial business combination, on a one-for-one basis, subject to certain adjustment described therein, and have no expiration date

F3 · kind: As described in the Issuer's registration statement on Form S-1 (File No. 333-256056) (the "Registration Statement") under the section entitled "Description of Securities - Founder Shares," the shares of Class B Common Stock, par value $0.0001 per share, will automatically be converted into shares of Class A Common Stock, par value $0.0001 per share, at the time of the Issuer's initial business combination, on a one-for-one basis, subject to certain adjustment described therein, and have no expiration date

F5 · shares: In connection with the partial exercise of the underwriters' over-allotment option, A.G.P./Alliance Global Partners transferred 3,427 shares to the Sponsor for no consideration.

F3 · derivative.exercise_date: As described in the Issuer's registration statement on Form S-1 (File No. 333-256056) (the "Registration Statement") under the section entitled "Description of Securities - Founder Shares," the shares of Class B Common Stock, par value $0.0001 per share, will automatically be converted into shares of Class A Common Stock, par value $0.0001 per share, at the time of the Issuer's initial business combination, on a one-for-one basis, subject to certain adjustment described therein, and have no expiration date

F3 · derivative.expiration_date: As described in the Issuer's registration statement on Form S-1 (File No. 333-256056) (the "Registration Statement") under the section entitled "Description of Securities - Founder Shares," the shares of Class B Common Stock, par value $0.0001 per share, will automatically be converted into shares of Class A Common Stock, par value $0.0001 per share, at the time of the Issuer's initial business combination, on a one-for-one basis, subject to certain adjustment described therein, and have no expiration date

F2 · ownership.direct: The shares represent those owned by Mr. O'Connor, a member of Larkspur Health LLC based on his pro rata share of ownership of Larkspur Health LLC.

Read SEC document
January 06, 2022 Filed Mar 10, 2022 22:31 UTC ZyVersa Therapeutics, Inc. LSPR · Entity 8639 OtherClass B common stock · Derivative 23,404 $0.00 $0.00
Disclosure

SEC source: 0001213900-22-011644 · ownership.xml · derivative · entry 2

O'Connor Daniel J. · CIK 0001376847 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 201,239

Underlying: Class A common stock · 23,404 shares

Expires not disclosed

F3 · security: As described in the Issuer's registration statement on Form S-1 (File No. 333-256056) (the "Registration Statement") under the section entitled "Description of Securities - Founder Shares," the shares of Class B Common Stock, par value $0.0001 per share, will automatically be converted into shares of Class A Common Stock, par value $0.0001 per share, at the time of the Issuer's initial business combination, on a one-for-one basis, subject to certain adjustment described therein, and have no expiration date

F3 · derivative.exercise_price: As described in the Issuer's registration statement on Form S-1 (File No. 333-256056) (the "Registration Statement") under the section entitled "Description of Securities - Founder Shares," the shares of Class B Common Stock, par value $0.0001 per share, will automatically be converted into shares of Class A Common Stock, par value $0.0001 per share, at the time of the Issuer's initial business combination, on a one-for-one basis, subject to certain adjustment described therein, and have no expiration date

F3 · kind: As described in the Issuer's registration statement on Form S-1 (File No. 333-256056) (the "Registration Statement") under the section entitled "Description of Securities - Founder Shares," the shares of Class B Common Stock, par value $0.0001 per share, will automatically be converted into shares of Class A Common Stock, par value $0.0001 per share, at the time of the Issuer's initial business combination, on a one-for-one basis, subject to certain adjustment described therein, and have no expiration date

F4 · shares: As contemplated in connection with the initial public offering of the Issuer, 22,343 shares of Class B common stock of the Issuer were forfeited for no consideration and cancelled because the underwriters of the Issuer's initial public offering did not exercise their over-allotment option in full, as described in the Issuer's Registration Statement.

F3 · derivative.exercise_date: As described in the Issuer's registration statement on Form S-1 (File No. 333-256056) (the "Registration Statement") under the section entitled "Description of Securities - Founder Shares," the shares of Class B Common Stock, par value $0.0001 per share, will automatically be converted into shares of Class A Common Stock, par value $0.0001 per share, at the time of the Issuer's initial business combination, on a one-for-one basis, subject to certain adjustment described therein, and have no expiration date

F3 · derivative.expiration_date: As described in the Issuer's registration statement on Form S-1 (File No. 333-256056) (the "Registration Statement") under the section entitled "Description of Securities - Founder Shares," the shares of Class B Common Stock, par value $0.0001 per share, will automatically be converted into shares of Class A Common Stock, par value $0.0001 per share, at the time of the Issuer's initial business combination, on a one-for-one basis, subject to certain adjustment described therein, and have no expiration date

F2 · ownership.direct: The shares represent those owned by Mr. O'Connor, a member of Larkspur Health LLC based on his pro rata share of ownership of Larkspur Health LLC.

Read SEC document
January 06, 2022 Filed Mar 10, 2022 22:31 UTC ZyVersa Therapeutics, Inc. LSPR · Entity 8639 OtherClass A Common Stock 42,005 $0.00 $0.00
Disclosure

SEC source: 0001213900-22-011644 · ownership.xml · nonDerivative · entry 1

O'Connor Daniel J. · CIK 0001376847 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 42,005

F1 · security: These shares are underlying units (each unit consisting of one share of Class A common stock and three-fourths of one warrant, each whole warrant exercisable to purchase one share of Class A common stock) acquired in a private placement by the Larkspur Health LLC (the "Sponsor") in connection with the issuer's initial public offering and subsequent partial exercise of the underwriters' over-allotment option. The above refers to the shares of Class A common stock included in the units purchased.

F1 · kind: These shares are underlying units (each unit consisting of one share of Class A common stock and three-fourths of one warrant, each whole warrant exercisable to purchase one share of Class A common stock) acquired in a private placement by the Larkspur Health LLC (the "Sponsor") in connection with the issuer's initial public offering and subsequent partial exercise of the underwriters' over-allotment option. The above refers to the shares of Class A common stock included in the units purchased.

F2 · ownership.nature: The shares represent those owned by Mr. O'Connor, a member of Larkspur Health LLC based on his pro rata share of ownership of Larkspur Health LLC.

Read SEC document
January 05, 2022 Filed Jan 6, 2022 20:06 UTC SEELOS THERAPEUTICS, INC. SEEL · Entity 93662 GrantStock Option (right to buy) · Derivative 35,000 $0.00 Strike: $1.56 $0.00
Disclosure

SEC source: 0001136261-22-000020 · ownership.xml · derivative · entry 1

O'Connor Daniel J. · CIK 0001376847 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2032-01-05

F1 · derivative.exercise_date: 1/12th of the shares subject to the option shall vest on February 5, 2022, and 1/12th of the shares subject to the option shall vest monthly thereafter.

Read SEC document
April 30, 2021 Filed May 4, 2021 20:00 UTC ONCOSEC MEDICAL Inc ONCS · Entity 117092 SaleCommon Stock 3,172 $4.86 $15,415.92
Disclosure

SEC source: 0001493152-21-010454 · ownership.xml · nonDerivative · entry 1

O'Connor Daniel J. · CIK 0001376847 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 96,097

F1 · shares: In connection with the vesting of 6,250 RSUs on April 30, 2021, a total of 3,172 shares were sold in order to satisfy the reporting person's tax withholding obligations. This sale occurred automatically, and the amount sold corresponded to the tax withholding amount. The reporting person had no control with respect to such sale, which was conducted in accordance with the Issuer's corporate policies.

F1 · price: In connection with the vesting of 6,250 RSUs on April 30, 2021, a total of 3,172 shares were sold in order to satisfy the reporting person's tax withholding obligations. This sale occurred automatically, and the amount sold corresponded to the tax withholding amount. The reporting person had no control with respect to such sale, which was conducted in accordance with the Issuer's corporate policies.

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February 01, 2021 Filed Feb 2, 2021 20:00 UTC ONCOSEC MEDICAL Inc ONCS · Entity 117092 SaleCommon Stock 3,413 $7.71 $26,314.23
Disclosure

SEC source: 0001493152-21-002424 · ownership.xml · nonDerivative · entry 1

O'Connor Daniel J. · CIK 0001376847 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 99,269

F1 · shares: In connection with the vesting of 6,250 RSUs on January 31, 2021, a total of 3,413 shares were sold in order to satisfy the reporting person's tax withholding obligations. This sale occurred automatically, and the amount sold corresponded to the tax withholding amount. The reporting person had no control with respect to such sale, which was conducted in accordance with the Issuer's corporate policies.

F1 · price: In connection with the vesting of 6,250 RSUs on January 31, 2021, a total of 3,413 shares were sold in order to satisfy the reporting person's tax withholding obligations. This sale occurred automatically, and the amount sold corresponded to the tax withholding amount. The reporting person had no control with respect to such sale, which was conducted in accordance with the Issuer's corporate policies.

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January 06, 2021 Filed Jan 8, 2021 16:29 UTC SEELOS THERAPEUTICS, INC. SEEL · Entity 93662 GrantStock Option (right to buy) · Derivative 16,000 $0.00 Strike: $1.35 $0.00
Disclosure

SEC source: 0001136261-21-000001 · primary_doc.xml · derivative · entry 1

O'Connor Daniel J. · CIK 0001376847 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,000

Underlying: Common Stock · 16,000 shares

Expires 2031-01-06

F1 · derivative.exercise_date: 1/12th of the shares subject to the option shall vest on February 6, 2021, and 1/12th of the shares subject to the option shall vest monthly thereafter.

Read SEC document
November 02, 2020 Filed Nov 3, 2020 20:04 UTC ONCOSEC MEDICAL Inc ONCS · Entity 117092 SaleCommon Stock 3,280 $3.79 $12,431.20
Disclosure

SEC source: 0001493152-20-020427 · ownership.xml · nonDerivative · entry 1

O'Connor Daniel J. · CIK 0001376847 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 102,682

F1 · shares: In connection with the vesting of 6,250 RSUs on November 02, 2020, a total of 3,280 shares were sold in order to satisfy the reporting person's tax withholding obligations. The reporting person had no discretion with respect to such withholding, which was conducted automatically in accordance with the issuer's corporate policies.

F1 · price: In connection with the vesting of 6,250 RSUs on November 02, 2020, a total of 3,280 shares were sold in order to satisfy the reporting person's tax withholding obligations. The reporting person had no discretion with respect to such withholding, which was conducted automatically in accordance with the issuer's corporate policies.

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August 24, 2020 Filed Aug 26, 2020 20:00 UTC ONCOSEC MEDICAL Inc ONCS · Entity 117092 GrantStock Option (Right to Buy) · Derivative 152,000 $0.00 Strike: $3.82 $0.00
Disclosure

SEC source: 0001493152-20-016794 · ownership.xml · derivative · entry 1

O'Connor Daniel J. · CIK 0001376847 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 152,000

Underlying: Common Stock · 152,000 shares

Expires 2030-08-24

F1 · derivative.exercise_date: The option vests quarterly over the next three years.

Read SEC document
July 31, 2020 Filed Aug 4, 2020 21:21 UTC ONCOSEC MEDICAL Inc ONCS · Entity 117092 SaleCommon Stock 3,133 $4.20 $13,158.60
Disclosure

SEC source: 0001493152-20-014643 · ownership.xml · nonDerivative · entry 1

O'Connor Daniel J. · CIK 0001376847 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 105,962

F1 · shares: In connection with the vesting of 6,250 RSUs on July 31, 2020, a total of 3,133 shares were sold in order to satisfy the reporting person's tax withholding obligations. The reporting person had no discretion with respect to such withholding, which was conducted automatically in accordance with the issuer's corporate policies.

F1 · price: In connection with the vesting of 6,250 RSUs on July 31, 2020, a total of 3,133 shares were sold in order to satisfy the reporting person's tax withholding obligations. The reporting person had no discretion with respect to such withholding, which was conducted automatically in accordance with the issuer's corporate policies.

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May 29, 2020 Filed Jun 3, 2020 21:05 UTC ONCOSEC MEDICAL Inc ONCS · Entity 117092 GrantStock Option (Right to Buy) · Derivative 304,000 $0.00 Strike: $1.56 $0.00
Disclosure

SEC source: 0001493152-20-010500 · ownership.xml · derivative · entry 3

O'Connor Daniel J. · CIK 0001376847 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 304,000

Underlying: Common Stock · 304,000 shares

Expires 2030-04-14

F1 · date: The option grant was approved by the Issuer's Compensation Committee on April 14, 2020, subject to stockholder approval of an amendment to the Issuer's 2011 Incentive Plan to increase the number of authorized shares. The Issuer's stockholders approved the plan amendment on May 29, 2020.

F2 · derivative.exercise_date: The option was 25% vested on April 14, 2020, and the remainder vests quarterly over the next three years.

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May 29, 2020 Filed Jun 3, 2020 21:05 UTC ONCOSEC MEDICAL Inc ONCS · Entity 117092 Tax withholdingCommon Stock 44,471 $2.23 $99,170.33
Disclosure

SEC source: 0001493152-20-010500 · ownership.xml · nonDerivative · entry 2

O'Connor Daniel J. · CIK 0001376847 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 109,095

Read SEC document
May 29, 2020 Filed Jun 3, 2020 21:05 UTC ONCOSEC MEDICAL Inc ONCS · Entity 117092 GrantCommon Stock 90,580 $0.00 $0.00
Disclosure

SEC source: 0001493152-20-010500 · ownership.xml · nonDerivative · entry 1

O'Connor Daniel J. · CIK 0001376847 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 153,566

Read SEC document
April 30, 2020 Filed May 4, 2020 18:07 UTC ONCOSEC MEDICAL Inc ONCS · Entity 117092 SaleCommon Stock 3,075 $1.79 $5,504.25
Disclosure

SEC source: 0001493152-20-007676 · ownership.xml · nonDerivative · entry 1

O'Connor Daniel J. · CIK 0001376847 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,986

F1 · shares: In connection with the vesting of 6,250 RSUs on April 30, 2020, a total of 3,075 shares were sold in order to satisfy the reporting person's tax withholding obligations. The reporting person had no discretion with respect to such withholding, which was conducted automatically in accordance with the issuer's corporate policies.

F1 · price: In connection with the vesting of 6,250 RSUs on April 30, 2020, a total of 3,075 shares were sold in order to satisfy the reporting person's tax withholding obligations. The reporting person had no discretion with respect to such withholding, which was conducted automatically in accordance with the issuer's corporate policies.

Read SEC document
January 31, 2020 Filed Feb 3, 2020 20:00 UTC ONCOSEC MEDICAL Inc ONCS · Entity 117092 SaleCommon Stock 2,654 $1.96 $5,201.84
Disclosure

SEC source: 0001493152-20-001537 · ownership.xml · nonDerivative · entry 1

O'Connor Daniel J. · CIK 0001376847 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,061

F1 · shares: In connection with the vesting of 6,250 RSUs on January 31, 2020, a total of 2,654 shares were sold in order to satisfy the reporting person's tax withholding obligations. The reporting person had no discretion with respect to such withholding, which was conducted automatically in accordance with the issuer's corporate policies.

F1 · price: In connection with the vesting of 6,250 RSUs on January 31, 2020, a total of 2,654 shares were sold in order to satisfy the reporting person's tax withholding obligations. The reporting person had no discretion with respect to such withholding, which was conducted automatically in accordance with the issuer's corporate policies.

Read SEC document
January 06, 2020 Filed Jan 7, 2020 16:32 UTC SEELOS THERAPEUTICS, INC. SEEL · Entity 93662 GrantStock Option (right to buy) · Derivative 16,000 $0.00 Strike: $1.42 $0.00
Disclosure

SEC source: 0001136261-20-000010 · primary_doc.xml · derivative · entry 1

O'Connor Daniel J. · CIK 0001376847 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,000

Underlying: Common Stock · 16,000 shares

Expires 2030-01-06

F1 · derivative.exercise_date: 1/12th of the shares subject to the option shall vest on February 6, 2020, and 1/12th of the shares subject to the option shall vest monthly thereafter.

Read SEC document
October 31, 2019 Filed Nov 1, 2019 20:00 UTC ONCOSEC MEDICAL Inc ONCS · Entity 117092 SaleCommon Stock 2,128 $2.16 $4,596.48
Disclosure

SEC source: 0001493152-19-016362 · ownership.xml · nonDerivative · entry 1

O'Connor Daniel J. · CIK 0001376847 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,715

F1 · shares: In connection with the vesting of 6,250 RSUs on October 31, 2019, a total of 2,128 shares were sold in order to satisfy the reporting person's tax withholding obligations. The reporting person had no discretion with respect to such withholding, which was conducted automatically in accordance with the issuer's corporate policies.

F1 · price: In connection with the vesting of 6,250 RSUs on October 31, 2019, a total of 2,128 shares were sold in order to satisfy the reporting person's tax withholding obligations. The reporting person had no discretion with respect to such withholding, which was conducted automatically in accordance with the issuer's corporate policies.

Read SEC document
July 31, 2019 Filed Aug 2, 2019 18:00 UTC ONCOSEC MEDICAL Inc ONCS · Entity 117092 Tax withholdingCommon Stock 2,156 $2.23 $4,807.88
Disclosure

SEC source: 0001493152-19-011572 · ownership.xml · nonDerivative · entry 1

O'Connor Daniel J. · CIK 0001376847 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,843

F1 · shares: In connection with the vesting of 6,250 RSUs on July 31, 2019, a total of 2,156 shares were sold in order to satisfy the reporting person's tax withholding obligations. The reporting person had no discretion with respect to such withholding, which was conducted automatically in accordance with the issuer's corporate policies.

F1 · price: In connection with the vesting of 6,250 RSUs on July 31, 2019, a total of 2,156 shares were sold in order to satisfy the reporting person's tax withholding obligations. The reporting person had no discretion with respect to such withholding, which was conducted automatically in accordance with the issuer's corporate policies.

Read SEC document
April 30, 2019 Filed May 2, 2019 16:15 UTC ONCOSEC MEDICAL Inc ONCS · Entity 117092 Tax withholdingCommon Stock 21,357 $0.57 $12,066.71
Disclosure

SEC source: 0001493152-19-006293 · ownership.xml · nonDerivative · entry 1

O'Connor Daniel J. · CIK 0001376847 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 729,992

F1 · shares: In connection with the vesting of 62,500 RSUs on April 30, 2019, a total of 21,357 shares were sold in order to satisfy the reporting person's tax withholding obligations. The reporting person had no discretion with respect to such withholding, which was conducted automatically in accordance with the issuer's corporate policies.

F1 · price: In connection with the vesting of 62,500 RSUs on April 30, 2019, a total of 21,357 shares were sold in order to satisfy the reporting person's tax withholding obligations. The reporting person had no discretion with respect to such withholding, which was conducted automatically in accordance with the issuer's corporate policies.

Read SEC document
March 20, 2019 Filed Mar 21, 2019 18:07 UTC SEELOS THERAPEUTICS, INC. SEEL · Entity 93662 GrantStock Option (right to buy) · Derivative 16,000 $0.00 Strike: $2.33 $0.00
Disclosure

SEC source: 0001136261-19-000108 · primary_doc.xml · derivative · entry 2

O'Connor Daniel J. · CIK 0001376847 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,000

Underlying: Common Stock · 16,000 shares

Expires 2029-03-20

F2 · derivative.exercise_date: 1/12th of the shares subject to the option shall vest on April 20, 2019, and 1/12th of the shares subject to the option shall vest monthly thereafter.

Read SEC document
March 20, 2019 Filed Mar 21, 2019 18:07 UTC SEELOS THERAPEUTICS, INC. SEEL · Entity 93662 GrantStock Option (right to buy) · Derivative 24,000 $0.00 Strike: $2.33 $0.00
Disclosure

SEC source: 0001136261-19-000108 · primary_doc.xml · derivative · entry 1

O'Connor Daniel J. · CIK 0001376847 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,000

Underlying: Common Stock · 24,000 shares

Expires 2029-03-20

F1 · derivative.exercise_date: 1/3rd of the shares subject to the option shall vest on March 20, 2020, and 1/36th of the shares subject to the option shall vest monthly thereafter.

Read SEC document
January 31, 2019 Filed Feb 1, 2019 21:00 UTC ONCOSEC MEDICAL Inc ONCS · Entity 117092 Tax withholdingCommon Stock 25,318 $0.88 $22,279.84
Disclosure

SEC source: 0001493152-19-001271 · ownership.xml · nonDerivative · entry 1

O'Connor Daniel J. · CIK 0001376847 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 751,349

F1 · shares: In connection with the vesting of 62,500 RSUs on January 31, 2019, a total of 25,318 shares were sold in order to satisfy the reporting person's tax withholding obligations. The reporting person had no discretion with respect to such withholding, which was conducted automatically in accordance with the issuer's corporate policies.

F1 · price: In connection with the vesting of 62,500 RSUs on January 31, 2019, a total of 25,318 shares were sold in order to satisfy the reporting person's tax withholding obligations. The reporting person had no discretion with respect to such withholding, which was conducted automatically in accordance with the issuer's corporate policies.

Read SEC document
December 24, 2018 Filed Dec 27, 2018 21:00 UTC ONCOSEC MEDICAL Inc ONCS · Entity 117092 GrantCommon Stock 750,000 $0.00 $0.00
Disclosure

SEC source: 0001493152-18-018024 · ownership.xml · nonDerivative · entry 1

O'Connor Daniel J. · CIK 0001376847 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 776,667

F1 · shares: This is a long-term equity incentive award of restricted stock which will vest quarterly over the next three years. The first vesting will occur on 1/31/2019, and the award will be fully vested on 10/31/2021, pursuant to the OncoSec Medical Incorporated 2011 Stock Incentive Plan.

F1 · price: This is a long-term equity incentive award of restricted stock which will vest quarterly over the next three years. The first vesting will occur on 1/31/2019, and the award will be fully vested on 10/31/2021, pursuant to the OncoSec Medical Incorporated 2011 Stock Incentive Plan.

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November 07, 2018 Filed Nov 7, 2018 12:08 UTC ONCOSEC MEDICAL Inc ONCS · Entity 117092 PurchaseCommon Stock 10,000 $0.91 $9,100.00
Disclosure

SEC source: 0001493152-18-015311 · ownership.xml · nonDerivative · entry 1

O'Connor Daniel J. · CIK 0001376847 · Director · CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,667

F1 · shares: Mr. O'Connor purchased 10,000 shares in the open market at a price of $0.91 per share.

F1 · price: Mr. O'Connor purchased 10,000 shares in the open market at a price of $0.91 per share.

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May 03, 2018 Filed May 7, 2018 17:23 UTC ONCOSEC MEDICAL Inc ONCS · Entity 117092 GrantStock Option (Right to Buy) · Derivative 250,000 $1.47 Strike: $1.47 $367,500.00
Disclosure

SEC source: 0001493152-18-006355 · form4.xml · derivative · entry 1

O'Connor Daniel J. · CIK 0001376847 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,850,000

Underlying: Common Stock · 250,000 shares

Expires 2028-05-03

F1 · derivative.exercise_price: OncoSec's (ONCS) stock closing price was $1.47 on May 3, 2018.

F2 · derivative.exercise_date: 25% vested on the Grant Date of May 3, 2018, and the remaining 75% are vesting in 36 equal monthly increments, which began on the first monthly anniversary of the Grant Date, pursuant to the OncoSec Medical Incorporated 2011 Stock Incentive Plan.

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February 05, 2018 Filed Feb 6, 2018 09:15 UTC ONCOSEC MEDICAL Inc ONCS · Entity 117092 PurchaseCommon Stock 16,667 $1.50 $25,000.50
Disclosure

SEC source: 0001493152-18-001498 · form4.xml · nonDerivative · entry 1

O'Connor Daniel J. · CIK 0001376847 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,667

F1 · kind: The shares purchased were pursuant to a Confidentially Marketed Public Offering (CMPO)

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January 12, 2018 Filed Jan 17, 2018 17:29 UTC ONCOSEC MEDICAL Inc ONCS · Entity 117092 GrantStock Option (Right to Buy) · Derivative 500,000 $0.00 Strike: $1.25 $0.00
Disclosure

SEC source: 0001493152-18-000671 · form4.xml · derivative · entry 2

O'Connor Daniel J. · CIK 0001376847 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500,000

Underlying: Common Stock · 500,000 shares

Expires 2027-11-07

F1 · derivative.exercise_price: OncoSec's (ONCS) stock closing price was $1.25 on November 7, 2017.

F2 · date: The above listed Stock Options were approved by OncoSec's stockholders at OncoSec's Annual Stockholders Meeting held on January 12, 2018.

F3 · shares: The shares subject to the stock option were approved by the Company's Board of Directors on November 7, 2017 ("Grant Date"), contingent upon approval by the Company's stockholders at the Company's Annual Stockholders Meeting on January 12, 2018.

F5 · derivative.underlying_shares: The stock option were approved by the Company's Board of Directors on November 7, 2017 ("Grant Date"), subject to stockholder approval and the Company's stockholders approved the grant at the Company's Annual Stockholders Meeting on January 12, 2018. Subject to the terms of the Company's 2011 Stock Incentive Plan and related award agreement, two hundred fifty thousand (250,000) of the options shall be fully vested on the date that the Company achieves one hundred percent (100%) enrollment in the first cohort of the Pisces Study (the "Enrollment Date") and the remaining two hundred fifty thousand (250,000) PISCES Options shall vest on the first anniversary of the Enrollment Date, pursuant to the OncoSec Medical Incorporated 2011 Stock Incentive Plan.

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January 12, 2018 Filed Jan 17, 2018 17:29 UTC ONCOSEC MEDICAL Inc ONCS · Entity 117092 GrantStock Option (Right to Buy) · Derivative 2,000,000 $0.00 Strike: $1.25 $0.00
Disclosure

SEC source: 0001493152-18-000671 · form4.xml · derivative · entry 1

O'Connor Daniel J. · CIK 0001376847 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,000,000

Underlying: Common Stock · 2,000,000 shares

Expires 2027-11-07

F1 · derivative.exercise_price: OncoSec's (ONCS) stock closing price was $1.25 on November 7, 2017.

F2 · date: The above listed Stock Options were approved by OncoSec's stockholders at OncoSec's Annual Stockholders Meeting held on January 12, 2018.

F3 · shares: The shares subject to the stock option were approved by the Company's Board of Directors on November 7, 2017 ("Grant Date"), contingent upon approval by the Company's stockholders at the Company's Annual Stockholders Meeting on January 12, 2018.

F4 · derivative.underlying_shares: One million (1,000,000) Options vested upon the Company's stockholders' approval of the Option at the Company's Annual Stockholders Meeting held on January 12, 2018 and one twenty-fourth (1/24th) of the remaining one million (1,000,000) Options shall vest on each monthly anniversary of the date of the Grant Date.

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September 07, 2017 Filed Sep 11, 2017 06:16 UTC ONCOSEC MEDICAL Inc ONCS · Entity 117092 GrantStock Option (Right to Buy) · Derivative 100,000 $0.00 Strike: $1.08 $0.00
Disclosure

SEC source: 0001493152-17-010416 · form4.xml · derivative · entry 1

O'Connor Daniel · CIK 0001376847 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2027-09-07

Read SEC document
June 30, 2017 Filed Jul 3, 2017 16:30 UTC Ayala Pharmaceuticals, Inc. ADXS · Entity 93434 GrantCommon Stock 742 $6.49 $4,815.58
Disclosure

SEC source: 0001493152-17-007453 · form4.xml · nonDerivative · entry 1

O'Connor Daniel · CIK 0001376847 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 618,352

F1 · shares: The reporting person voluntarily purchases restricted stock directly from the Company at market price on the last trading day of the month pursuant to an arrangement that was approved by the Compensation Committee of the Company's Board of Directors in a manner that satisfied Exchange Act Rule 16b-3(d). The Company utilizes the net withholding method for each monthly purchase. The reporting person purchased a gross amount of 996 shares of which 254 shares were forfeited to pay withholding taxes associated with the stock issuance.

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June 19, 2017 Filed Jun 20, 2017 18:30 UTC Ayala Pharmaceuticals, Inc. ADXS · Entity 93434 GrantCommon Stock 177,102 $0.00 $0.00
Disclosure

SEC source: 0001493152-17-006928 · form4.xml · nonDerivative · entry 1

O'Connor Daniel · CIK 0001376847 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 617,610

F1 · shares: As part of his long-term incentive compensation, the reporting person was previously granted a performance based restricted stock award by the Compensation Committee. The specific terms of performance, which were required to be achieved prior to earning the award, have now been met. These performance terms were (i) the FDA acceptance of the ADXS-NEO IND, and (ii) the opening of a certain pre-defined number of clinical sites for the AIM2CERV study prior to November 1, 2017. The award vests one-third in November 2017, one-third in November 2018, and will be fully vested in November 2019.

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May 31, 2017 Filed Jun 1, 2017 16:30 UTC Ayala Pharmaceuticals, Inc. ADXS · Entity 93434 GrantCommon Stock 421 $8.07 $3,397.47
Disclosure

SEC source: 0001493152-17-006084 · form4.xml · nonDerivative · entry 1

O'Connor Daniel · CIK 0001376847 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 440,508

F1 · shares: The reporting person voluntarily purchases restricted stock directly from the Company at market price on the last trading day of the month pursuant to an arrangement that was approved by the Compensation Committee of the Company's Board of Directors in a manner that satisfied Exchange Act Rule 16b-3(d). The Company utilizes the net withholding method for each monthly purchase. The reporting person purchased a gross amount of 534 shares of which 113 shares were forfeited to pay withholding taxes associated with the stock issuance.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.