Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Ambrx Biopharma Inc.AMAM · Entity 109604 | Director · President and CEO | July 05, 2023 | July 07, 2023 |
| Ayala Pharmaceuticals, Inc.ADXS · Entity 93434 | Director · Chief Executive Officer | June 30, 2017 | July 03, 2017 |
| DiaMedica Therapeutics Inc.DMAC · Entity 5813 | Director | June 01, 2026 | June 03, 2026 |
| ONCOSEC MEDICAL IncONCS · Entity 117092 | Director · CEO and President | April 30, 2021 | May 04, 2021 |
| SEELOS THERAPEUTICS, INC.SEEL · Entity 93662 | Director | January 04, 2024 | January 08, 2024 |
| ZyVersa Therapeutics, Inc.ZVSA · Entity 8639 | Director · 10% owner | December 12, 2022 | December 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 / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.38 · Expires 2033-07-05 | Direct | 1,216,500 |
Reported balance
After 2023-07-05 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 618,352 |
Reported balance
After 2017-06-30 transaction · row 1
1 source rowRow 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 / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.84 · Expires 2036-06-01 | Direct | 40,412 |
Reported balance
After 2026-06-01 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 96,097 |
Reported balance
After 2021-04-30 transaction · row 1
1 source rowRow 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 / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.33 · Expires 2034-01-04 | Direct | 1,666 |
Reported balance
After 2024-01-04 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 1,377,598 |
Reported balance
After 2022-12-12 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 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 $10.00 | Direct | 1,750 |
Reported balance
After 2022-12-12 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 2027-12-12 | Direct | 1,750 |
Reported balance
After 2022-12-12 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 2027-12-12 | IndirectSee Footnote | 177,204 |
Reported balance
After 2022-12-12 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2024-03-07 transaction · row 1
1 source rowRow 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 security | Direct | 0 |
Reported balance
After 2024-03-07 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 security | Direct | 0 |
Reported balance
After 2024-03-07 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 2032-10-31 | Direct | 0 |
Reported balance
After 2024-03-07 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 2033-07-05 | Direct | 0 |
Reported balance
After 2024-03-07 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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
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 |
|---|---|---|---|---|---|---|
| May 01, 2017 Filed May 1, 2017 17:31 UTC | Ayala Pharmaceuticals, Inc. ADXS · Entity 93434 | GrantCommon Stock | 142,996 | $0.00 | $0.00 |
DisclosureSEC source: 0001493152-17-004628 · form4.xml · nonDerivative · entry 2 O'Connor Daniel · CIK 0001376847 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 440,087 F2 · shares: The award vests one-third on November 1, 2017, one-third on November 1, 2018, and will be fully vested on November 1, 2019. Read SEC document |
| April 28, 2017 Filed May 1, 2017 17:31 UTC | Ayala Pharmaceuticals, Inc. ADXS · Entity 93434 | GrantCommon Stock | 349 | $8.56 | $2,987.44 |
DisclosureSEC source: 0001493152-17-004628 · form4.xml · nonDerivative · entry 1 O'Connor Daniel · CIK 0001376847 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 297,091 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 503 shares of which 154 shares were forfeited to pay withholding taxes associated with the stock issuance. Read SEC document |
| March 31, 2017 Filed Apr 3, 2017 16:36 UTC | Ayala Pharmaceuticals, Inc. ADXS · Entity 93434 | GrantCommon Stock | 365 | $8.17 | $2,982.05 |
DisclosureSEC source: 0001493152-17-003404 · form4.xml · nonDerivative · entry 1 O'Connor Daniel · CIK 0001376847 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 296,742 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 527 shares of which 162 shares were forfeited to pay withholding taxes associated with the stock issuance. Read SEC document |
| February 28, 2017 Filed Mar 1, 2017 16:30 UTC | Ayala Pharmaceuticals, Inc. ADXS · Entity 93434 | Tax withholdingCommon Stock | 104 | $8.79 | $914.16 |
DisclosureSEC source: 0001493152-17-002029 · form4.xml · nonDerivative · entry 2 O'Connor Daniel · CIK 0001376847 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 296,377 F2 · shares: Represents shares forfeited by the reporting person in order to pay withholding taxes associated with the stock issuance. Read SEC document |
| February 28, 2017 Filed Mar 1, 2017 16:30 UTC | Ayala Pharmaceuticals, Inc. ADXS · Entity 93434 | GrantCommon Stock | 490 | $8.79 | $4,307.10 |
DisclosureSEC source: 0001493152-17-002029 · form4.xml · nonDerivative · entry 1 O'Connor Daniel · CIK 0001376847 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 296,481 F1 · shares: The reporting person 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). Read SEC document |
| January 31, 2017 Filed Feb 2, 2017 16:30 UTC | Ayala Pharmaceuticals, Inc. ADXS · Entity 93434 | Tax withholdingCommon Stock | 97 | $8.96 | $869.12 |
DisclosureSEC source: 0001493152-17-001037 · form4.xml · nonDerivative · entry 2 O'Connor Daniel · CIK 0001376847 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 295,991 F2 · shares: Represents shares forfeited by the reporting person in order to pay withholding taxes associated with the stock issuance. Read SEC document |
| January 31, 2017 Filed Feb 2, 2017 16:30 UTC | Ayala Pharmaceuticals, Inc. ADXS · Entity 93434 | GrantCommon Stock | 466 | $8.96 | $4,175.36 |
DisclosureSEC source: 0001493152-17-001037 · form4.xml · nonDerivative · entry 1 O'Connor Daniel · CIK 0001376847 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 296,088 F1 · shares: The reporting person 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). Read SEC document |
| December 30, 2016 Filed Jan 3, 2017 17:29 UTC | Ayala Pharmaceuticals, Inc. ADXS · Entity 93434 | Tax withholdingCommon Stock | 192 | $7.16 | $1,374.72 |
DisclosureSEC source: 0001493152-17-000066 · form4.xml · nonDerivative · entry 2 O'Connor Daniel · CIK 0001376847 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 295,622 F2 · shares: Represents shares forfeited by the reporting person in order to pay withholding taxes associated with the stock issuance. Read SEC document |
| December 30, 2016 Filed Jan 3, 2017 17:29 UTC | Ayala Pharmaceuticals, Inc. ADXS · Entity 93434 | GrantCommon Stock | 792 | $7.16 | $5,670.72 |
DisclosureSEC source: 0001493152-17-000066 · form4.xml · nonDerivative · entry 1 O'Connor Daniel · CIK 0001376847 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 295,814 F1 · shares: The reporting person 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). Read SEC document |
| November 30, 2016 Filed Dec 1, 2016 16:33 UTC | Ayala Pharmaceuticals, Inc. ADXS · Entity 93434 | Tax withholdingCommon Stock | 89 | $8.31 | $739.59 |
DisclosureSEC source: 0001493152-16-015590 · form4.xml · nonDerivative · entry 2 O'Connor Daniel · CIK 0001376847 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 295,022 F2 · shares: Represents shares forfeited by the reporting person in order to pay withholding taxes associated with the stock issuance. Read SEC document |
| November 30, 2016 Filed Dec 1, 2016 16:33 UTC | Ayala Pharmaceuticals, Inc. ADXS · Entity 93434 | GrantCommon Stock | 455 | $8.31 | $3,781.05 |
DisclosureSEC source: 0001493152-16-015590 · form4.xml · nonDerivative · entry 1 O'Connor Daniel · CIK 0001376847 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 295,111 F1 · shares: The reporting person 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). Read SEC document |
| November 03, 2016 Filed Nov 7, 2016 16:31 UTC | Ayala Pharmaceuticals, Inc. ADXS · Entity 93434 | GrantOption · Derivative | 170,234 | $0.00 Strike: $7.71 | $0.00 |
DisclosureSEC source: 0001493152-16-014576 · form4.xml · derivative · entry 1 O'Connor Daniel · CIK 0001376847 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 170,234 Underlying: Common Stock · 170,234 shares Expires 2026-11-03 F1 · shares: This award relates to the annual long term incentive grant awarded by the Compensation Committee following the completion of our 2016 Fiscal Year and is subject to the terms of our 2015 Incentive Plan. The award vests one-third on November 3, 2017, one-third on November 3, 2018, and will be fully vested on November 3, 2019. Read SEC document |
| November 02, 2016 Filed Nov 2, 2016 16:40 UTC | Ayala Pharmaceuticals, Inc. ADXS · Entity 93434 | SaleCommon Stock | 8,240 | $8.32 | $68,556.80 |
DisclosureSEC source: 0001493152-16-014442 · form4.xml · nonDerivative · entry 3 O'Connor Daniel · CIK 0001376847 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 294,656 F3 · shares: In connection with the vesting of 16,667 shares on October 31, 2016, a total of 8,240 of such shares were withheld by the Company in order to satisfy the reporting person's tax withholding obligations. The reporting person had no discretion with respect to such sale, which was conducted automatically in accordance with the issuer's corporate policies. F4 · price: Reflects the weighted average sale price. The range of prices for such transaction is $8.19 to $8.46. The reporting person effected multiple same-way open market sale transactions on the same day at different prices through a trade order executed by a broker-dealer. The reporting person reported on a single line all such transactions that occurred within a one dollar price range. The reporting person hereby undertakes to provide upon request by the Securities Exchange Commission staff, the issuer, or a shareholder of the issuer, full information regarding the number of shares sold at each separate price. Read SEC document |
| October 31, 2016 Filed Nov 2, 2016 16:40 UTC | Ayala Pharmaceuticals, Inc. ADXS · Entity 93434 | Tax withholdingCommon Stock | 231 | $8.09 | $1,868.79 |
DisclosureSEC source: 0001493152-16-014442 · form4.xml · nonDerivative · entry 2 O'Connor Daniel · CIK 0001376847 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 302,896 F2 · shares: Represents shares forfeited by the reporting person in order to pay withholding taxes associated with the stock issuance. Read SEC document |
| October 31, 2016 Filed Nov 2, 2016 16:40 UTC | Ayala Pharmaceuticals, Inc. ADXS · Entity 93434 | GrantCommon Stock | 467 | $8.09 | $3,778.03 |
DisclosureSEC source: 0001493152-16-014442 · form4.xml · nonDerivative · entry 1 O'Connor Daniel · CIK 0001376847 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 303,127 F1 · shares: The reporting person 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). Read SEC document |
| September 30, 2016 Filed Oct 4, 2016 18:21 UTC | Ayala Pharmaceuticals, Inc. ADXS · Entity 93434 | Tax withholdingCommon Stock | 50 | $10.69 | $534.50 |
DisclosureSEC source: 0001493152-16-013842 · form4.xml · nonDerivative · entry 2 O'Connor Daniel · CIK 0001376847 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 302,660 F2 · shares: Represents shares forfeited by the reporting person in order to pay withholding taxes associated with the stock issuance. Read SEC document |
| September 30, 2016 Filed Oct 4, 2016 18:21 UTC | Ayala Pharmaceuticals, Inc. ADXS · Entity 93434 | GrantCommon Stock | 354 | $10.69 | $3,784.26 |
DisclosureSEC source: 0001493152-16-013842 · form4.xml · nonDerivative · entry 1 O'Connor Daniel · CIK 0001376847 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 302,710 F1 · shares: The reporting person 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). 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.