Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Clarus Therapeutics Holdings, Inc.BLUW · Entity 126356 | Director | December 15, 2020 | December 15, 2020 |
| Cocrystal Pharma, Inc.COCP · Entity 7621 | Chief Executive Officer | June 03, 2026 | June 03, 2026 |
| GridAI Technologies Corp.ENTO · Entity 7534 | Director · Chairman and CEO | July 02, 2024 | July 03, 2024 |
| Hepion Pharmaceuticals, Inc.CTRV · Entity 8208 | Director · Chief Executive Officer | January 03, 2018 | January 05, 2018 |
| Inmune Bio, Inc.INMB · Entity 7094 | Director | September 15, 2026 | September 17, 2026 |
| Lunai Bioworks Inc.RENB · Entity 7981 | Director | June 25, 2024 | June 27, 2024 |
| MARIZYME, INC.MRZM · Entity 95786 | Director · Interim CEO | March 05, 2021 | March 23, 2021 |
| Onconetix, Inc.ONCO · Entity 8471 | Director | September 26, 2024 | September 30, 2024 |
| RespireRx Pharmaceuticals Inc.RSPI · Entity 146118 | Director | December 09, 2017 | December 12, 2017 |
| ZyVersa Therapeutics, Inc.ZVSA · Entity 8639 | Director | July 11, 2025 | July 15, 2025 |
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.
Clarus Therapeutics Holdings, Inc.
Report date December 15, 2020 · Filed December 15, 2020
This filing explicitly reported no securities owned.
Cocrystal Pharma, Inc.
Report date June 03, 2026 · Filed June 03, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Options (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.12 · Expires 2036-06-03 | Direct | 235,000 |
Reported balance
After 2026-06-03 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-06-03 · Grant · Acquired 235,000 · Balance 235,000 F1: The grant of the Issuer's non-qualified stock options was exempt from Section 16(b) of the Securities Exchange Act of 1934 by virtue of Rule 16b-3 promulgated thereunder, as it was approved by the Issuer's Board of Directors. The options were granted under the Issuer's 2025 Equity Incentive Plan and the exercisability of the options is subject to execution of the Issuer's standard form of Stock Option Agreement. The options vest in four equal annual installments, with the first such installment to vest on June 3, 2027, subject in each case to continued employment with the Issuer on the applicable vesting date and subject to potential accelerated vesting upon a Change in Control or termination for Cause, as such terms are defined in the 2025 Equity Incentive Plan. |
Filing footnotes · ownership attribution and instrument terms
F1: The grant of the Issuer's non-qualified stock options was exempt from Section 16(b) of the Securities Exchange Act of 1934 by virtue of Rule 16b-3 promulgated thereunder, as it was approved by the Issuer's Board of Directors. The options were granted under the Issuer's 2025 Equity Incentive Plan and the exercisability of the options is subject to execution of the Issuer's standard form of Stock Option Agreement. The options vest in four equal annual installments, with the first such installment to vest on June 3, 2027, subject in each case to continued employment with the Issuer on the applicable vesting date and subject to potential accelerated vesting upon a Change in Control or termination for Cause, as such terms are defined in the 2025 Equity Incentive Plan.
GridAI Technologies Corp.
Report date July 02, 2024 · Filed July 03, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 35,816 |
Reported balance
After 2024-07-02 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2024-07-02 · Sale · Disposed 1,289 · Balance 35,816 F1: 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 Restricted Stock Units ("RSUs"). The sale is mandated by the Issuer'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. F2: The price in column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $1.05 - $1.16, inclusive. The Reporting Person undertakes to provide Entero Therapeutics, Inc. ("Entero"), any security holder of Entero, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4. F3: Includes unvested RSUs. |
Filing footnotes · ownership attribution and instrument terms
F1: 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 Restricted Stock Units ("RSUs"). The sale is mandated by the Issuer'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.
F2: The price in column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $1.05 - $1.16, inclusive. The Reporting Person undertakes to provide Entero Therapeutics, Inc. ("Entero"), any security holder of Entero, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4.
F3: Includes unvested RSUs.
Hepion Pharmaceuticals, Inc.
Report date January 03, 2018 · Filed January 05, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 492,819 |
Reported balance
After 2018-01-03 transaction · row 1
1 source rowRow 1 · 2018-01-03 · Grant · Acquired 322,092 · Balance 492,819 F1: The reported item represents an award of restricted stock pursuant to the Company's 2013 Equity Incentive Plan. All of the shares vested upon grant. Such shares were issued in lieu of a cash bonus to the reporting person. |
Filing footnotes · ownership attribution and instrument terms
F1: The reported item represents an award of restricted stock pursuant to the Company's 2013 Equity Incentive Plan. All of the shares vested upon grant. Such shares were issued in lieu of a cash bonus to the reporting person.
Inmune Bio, Inc.
Report date September 15, 2026 · Filed September 17, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $2.33 · Expires 2036-09-14 | Direct | 100,000 |
Reported balance
After 2026-09-15 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-09-15 · Grant · Acquired 100,000 · Balance 100,000 F1: Represent an initial award of options in consideration for the Reporting Person's service to the Board of Directors of INmune Bio, Inc. Granted pursuant to the Issuer's Third Amended and Restated 2021 Stock Incentive Plan. The options will vest in 36 equal installments over three (3) years (1/36 per month) beginning one month after the grant date until the option is 100% vested which shall occur on the three-year anniversary of the date of grant. |
Filing footnotes · ownership attribution and instrument terms
F1: Represent an initial award of options in consideration for the Reporting Person's service to the Board of Directors of INmune Bio, Inc. Granted pursuant to the Issuer's Third Amended and Restated 2021 Stock Incentive Plan. The options will vest in 36 equal installments over three (3) years (1/36 per month) beginning one month after the grant date until the option is 100% vested which shall occur on the three-year anniversary of the date of grant.
Lunai Bioworks Inc.
Report date June 25, 2024 · Filed June 27, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Option to purchase shares of common stockSEC Table II · derivative / convertible security · Conversion / exercise price $1.61 · Expires 2034-06-25 | Direct | 48,137 |
Reported balance
After 2024-06-25 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2024-06-25 · Grant · Acquired 48,137 · Balance 48,137 |
MARIZYME, INC.
Report date March 05, 2021 · Filed March 23, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $1.25 · Expires 2031-03-04 | Direct | 1,350,000 |
Reported balance
After 2021-03-05 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2021-03-05 · Grant · Acquired 125,000 · Balance 1,350,000 F1: Consists of 125,000 options for common stock granted to the reporting person under an agreement dated March 5, 2021. The options vest quarterly in equal installments starting March 5, 2021. |
Filing footnotes · ownership attribution and instrument terms
F1: Consists of 125,000 options for common stock granted to the reporting person under an agreement dated March 5, 2021. The options vest quarterly in equal installments starting March 5, 2021.
Onconetix, Inc.
Report date September 26, 2024 · Filed September 30, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 3,477 |
Reported balance
After 2024-09-26 transaction · row 1
1 source rowRow 1 · 2024-09-26 · Grant · Acquired 3,318 · Balance 3,477 F1: Represents a restricted stock award granted to the Reporting Person pursuant to the Issuer's 2022 Equity Incentive Plan, as amended. The award will vest in full on August 31, 2025 so long as the Reporting Person continues to serve as a non-employee director of the Issuer until such date. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents a restricted stock award granted to the Reporting Person pursuant to the Issuer's 2022 Equity Incentive Plan, as amended. The award will vest in full on August 31, 2025 so long as the Reporting Person continues to serve as a non-employee director of the Issuer until such date.
RespireRx Pharmaceuticals Inc.
Report date December 09, 2017 · Filed December 12, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock Options (to purchase shares of Common Stock)SEC Table II · derivative / convertible security · Conversion / exercise price $1.45 · Expires 2022-12-09 | Direct | 38,114 |
Reported balance
After 2017-12-09 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2017-12-09 · Other · Acquired 38,114 · Balance 38,114 F1: On December 9, 2017, Mr. Sapirstein forgave all of the accrued but unpaid directors fees to which he was entitled as of September 30, 2017, an aggregate of $55,000. On that date, the Company granted to Mr. Sapirstein options to purchase 38,114 shares of the Company's common stock, with a black-scholes value of $1.44 per option and an aggregate value of $55,000. These Common Stock Options vested upon issuance. |
| Common Stock Options (to purchase shares of Common Stock)SEC Table II · derivative / convertible security · Conversion / exercise price $2.00 · Expires 2022-06-30 | Direct | 25,000 |
Reported balance
Holding disclosure · report date 2017-12-09 · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · Balance 25,000 F2: These Common Stock Options vested upon issuance. |
| Common Stock Options (to purchase shares of Common Stock)SEC Table II · derivative / convertible security · Conversion / exercise price $3.90 · Expires 2022-01-18 | Direct | 25,000 |
Reported balance
Holding disclosure · report date 2017-12-09 · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · Balance 25,000 F3: These Common Stock Options vested in three installments: 25 percent on January 18, 2017 (the grant date), 25 percent on March 31, 2017, and 50 percent on June 30, 2017, and are all currently vested. |
| Common Stock Options (to purchase shares of Common Stock)SEC Table II · derivative / convertible security · Conversion / exercise price $7.38 · Expires 2021-03-31 | Direct | 30,770 |
Reported balance
Holding disclosure · report date 2017-12-09 · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · Balance 30,770 F4: The exercise price and number of shares of these securities have been adjusted to reflect the Company's 325-to-1 reverse stock split effective September 1, 2016, and are all currently vested. F5: These Common Stock Options vested in four equal installments: 25 percent on March 31, 2016 (the grant date), 25 percent on June 30, 2016, 25 percent on September 30, 2016, and 25 percent on December 31, 2016, and are all currently vested. |
| Common Stock Options (to purchase shares of Common Stock)SEC Table II · derivative / convertible security · Conversion / exercise price $6.40 · Expires 2022-08-18 | Direct | 9,231 |
Reported balance
Holding disclosure · report date 2017-12-09 · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · Balance 9,231 F4: The exercise price and number of shares of these securities have been adjusted to reflect the Company's 325-to-1 reverse stock split effective September 1, 2016, and are all currently vested. F6: These Common Stock Options vested in four equal installments: 25 percent on December 31, 2015, 25 percent on March 31, 2016, 25 percent on June 30, 2016, and 25 percent on September 30, 2016, and are all currently vested. |
| Common Stock Options (to purchase shares of Common Stock)SEC Table II · derivative / convertible security · Conversion / exercise price $8.13 · Expires 2022-06-30 | Direct | 6,154 |
Reported balance
Holding disclosure · report date 2017-12-09 · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · Balance 6,154 F4: The exercise price and number of shares of these securities have been adjusted to reflect the Company's 325-to-1 reverse stock split effective September 1, 2016, and are all currently vested. F7: The Common Stock Options vested in three installments: 50 percent on June 30, 2015, 25 percent on September 30, 2015, and 25 percent on December 31, 2015, and are all currently vested. |
Filing footnotes · ownership attribution and instrument terms
F1: On December 9, 2017, Mr. Sapirstein forgave all of the accrued but unpaid directors fees to which he was entitled as of September 30, 2017, an aggregate of $55,000. On that date, the Company granted to Mr. Sapirstein options to purchase 38,114 shares of the Company's common stock, with a black-scholes value of $1.44 per option and an aggregate value of $55,000. These Common Stock Options vested upon issuance.
F2: These Common Stock Options vested upon issuance.
F3: These Common Stock Options vested in three installments: 25 percent on January 18, 2017 (the grant date), 25 percent on March 31, 2017, and 50 percent on June 30, 2017, and are all currently vested.
F4: The exercise price and number of shares of these securities have been adjusted to reflect the Company's 325-to-1 reverse stock split effective September 1, 2016, and are all currently vested.
F5: These Common Stock Options vested in four equal installments: 25 percent on March 31, 2016 (the grant date), 25 percent on June 30, 2016, 25 percent on September 30, 2016, and 25 percent on December 31, 2016, and are all currently vested.
F6: These Common Stock Options vested in four equal installments: 25 percent on December 31, 2015, 25 percent on March 31, 2016, 25 percent on June 30, 2016, and 25 percent on September 30, 2016, and are all currently vested.
F7: The Common Stock Options vested in three installments: 50 percent on June 30, 2015, 25 percent on September 30, 2015, and 25 percent on December 31, 2015, and are all currently vested.
ZyVersa Therapeutics, Inc.
Report date July 11, 2025 · Filed July 15, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $0.59 · Expires 2035-07-11 | Direct | 11,066 |
Reported balance
After 2025-07-11 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2025-07-11 · Grant · Acquired 11,066 · Balance 11,066 F1: The options were granted on July 11, 2025, and vest and become exercisable in equal annual installments on the first three anniversaries of the grant date, subject to the Reporting Person's continued service on each such vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: The options were granted on July 11, 2025, and vest and become exercisable in equal annual installments on the first three anniversaries of the grant date, subject to the Reporting Person's continued service on each such vesting date.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Probility Media Corp
Report date November 08, 2016 · Filed February 15, 2017
Section 16 reporting ended · disclosed 2017-02-15. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 210,000 |
Reported balance
After 2016-11-08 transaction · row 1
1 source rowRow 1 · 2016-11-08 · Grant · Acquired 75,000 · Balance 210,000 |
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 |
|---|---|---|---|---|---|---|
| September 15, 2026 Filed Sep 17, 2026 17:44 UTC | Inmune Bio, Inc. INMB · Entity 7094 | GrantStock Options · Derivative | 100,000 | $0.00 Strike: $2.33 | $0.00 |
DisclosureSEC source: 0001213900-26-100877 · ownership.xml · derivative · entry 1 SAPIRSTEIN JAMES · CIK 0001559509 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock · 100,000 shares Expires 2036-09-14 F1 · derivative.exercise_date: Represent an initial award of options in consideration for the Reporting Person's service to the Board of Directors of INmune Bio, Inc. Granted pursuant to the Issuer's Third Amended and Restated 2021 Stock Incentive Plan. The options will vest in 36 equal installments over three (3) years (1/36 per month) beginning one month after the grant date until the option is 100% vested which shall occur on the three-year anniversary of the date of grant. Read SEC document |
| June 03, 2026 Filed Jun 3, 2026 20:10 UTC | Cocrystal Pharma, Inc. COCP · Entity 7621 | GrantStock Options (Right to Buy) · Derivative | 235,000 | $0.00 Strike: $1.12 | $0.00 |
DisclosureSEC source: 0001493152-26-027054 · ownership.xml · derivative · entry 1 SAPIRSTEIN JAMES · CIK 0001559509 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 235,000 Underlying: Common Stock · 235,000 shares Expires 2036-06-03 F1 · security: The grant of the Issuer's non-qualified stock options was exempt from Section 16(b) of the Securities Exchange Act of 1934 by virtue of Rule 16b-3 promulgated thereunder, as it was approved by the Issuer's Board of Directors. The options were granted under the Issuer's 2025 Equity Incentive Plan and the exercisability of the options is subject to execution of the Issuer's standard form of Stock Option Agreement. The options vest in four equal annual installments, with the first such installment to vest on June 3, 2027, subject in each case to continued employment with the Issuer on the applicable vesting date and subject to potential accelerated vesting upon a Change in Control or termination for Cause, as such terms are defined in the 2025 Equity Incentive Plan. F1 · derivative.exercise_date: The grant of the Issuer's non-qualified stock options was exempt from Section 16(b) of the Securities Exchange Act of 1934 by virtue of Rule 16b-3 promulgated thereunder, as it was approved by the Issuer's Board of Directors. The options were granted under the Issuer's 2025 Equity Incentive Plan and the exercisability of the options is subject to execution of the Issuer's standard form of Stock Option Agreement. The options vest in four equal annual installments, with the first such installment to vest on June 3, 2027, subject in each case to continued employment with the Issuer on the applicable vesting date and subject to potential accelerated vesting upon a Change in Control or termination for Cause, as such terms are defined in the 2025 Equity Incentive Plan. Read SEC document |
| July 11, 2025 Filed Jul 15, 2025 16:22 UTC | ZyVersa Therapeutics, Inc. ZVSA · Entity 8639 | GrantStock Options · Derivative | 11,066 | $0.00 Strike: $0.59 | $0.00 |
DisclosureSEC source: 0001641172-25-019728 · ownership.xml · derivative · entry 1 SAPIRSTEIN JAMES · CIK 0001559509 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 11,066 Underlying: Common Stock · 11,066 shares Expires 2035-07-11 F1 · derivative.exercise_date: The options were granted on July 11, 2025, and vest and become exercisable in equal annual installments on the first three anniversaries of the grant date, subject to the Reporting Person's continued service on each such vesting date. Read SEC document |
| September 26, 2024 Filed Sep 30, 2024 19:11 UTC | Onconetix, Inc. ONCO · Entity 8471 | GrantCommon Stock | 3,318 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-24-083522 · ownership.xml · nonDerivative · entry 1 SAPIRSTEIN JAMES · CIK 0001559509 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 3,477 F1 · shares: Represents a restricted stock award granted to the Reporting Person pursuant to the Issuer's 2022 Equity Incentive Plan, as amended. The award will vest in full on August 31, 2025 so long as the Reporting Person continues to serve as a non-employee director of the Issuer until such date. Read SEC document |
| July 02, 2024 Filed Jul 3, 2024 18:33 UTC | GridAI Technologies Corp. ENTO · Entity 7534 | SaleCommon Stock | 1,289 | $1.07 | $1,379.23 |
DisclosureSEC source: 0001104659-24-077713 · tm2418821-1_4seq1.xml · nonDerivative · entry 1 SAPIRSTEIN JAMES · CIK 0001559509 · Director · Chairman and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 35,816 F1 · 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 Restricted Stock Units ("RSUs"). The sale is mandated by the Issuer'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. F2 · price: The price in column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $1.05 - $1.16, inclusive. The Reporting Person undertakes to provide Entero Therapeutics, Inc. ("Entero"), any security holder of Entero, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4. F3 · balance_after: Includes unvested RSUs. Read SEC document |
| June 25, 2024 Filed Jun 27, 2024 22:55 UTC | Lunai Bioworks Inc. RENB · Entity 7981 | GrantOption to purchase shares of common stock · Derivative | 48,137 | $0.00 Strike: $1.61 | $0.00 |
DisclosureSEC source: 0001731122-24-001037 · ownership.xml · derivative · entry 1 SAPIRSTEIN JAMES · CIK 0001559509 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 48,137 Underlying: Common stock · 48,137 shares Expires 2034-06-25 Read SEC document |
| April 01, 2024 Filed Apr 3, 2024 21:14 UTC | GridAI Technologies Corp. FWBI · Entity 7534 | SaleCommon Stock | 174 | $4.23 | $735.92 |
DisclosureSEC source: 0001104659-24-043156 · tm2411006-1_4seq1.xml · nonDerivative · entry 1 SAPIRSTEIN JAMES · CIK 0001559509 · Director · Chairman and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 37,105 F1 · 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 Restricted Stock Units ("RSUs"). The sale is mandated by the Issuer'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. F2 · balance_after: Includes unvested RSUs. Read SEC document |
| March 15, 2024 Filed Mar 19, 2024 20:13 UTC | GridAI Technologies Corp. FWBI · Entity 7534 | SaleCommon Stock | 1,887 | $4.96 | $9,359.52 |
DisclosureSEC source: 0001104659-24-036143 · tm249257-2_4seq1.xml · nonDerivative · entry 1 SAPIRSTEIN JAMES · CIK 0001559509 · Director · Chairman and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 37,279 F1 · 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 Restricted Stock Units ("RSUs"). The sale is mandated by the Issuer'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. F2 · price: The price in column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $4.90 - $5.175, inclusive. The Reporting Person undertakes to provide First Wave BioPharma, Inc. ("First Wave"), any security holder of First Wave, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4. F3 · balance_after: Includes unvested RSUs. Read SEC document |
| March 06, 2024 Filed Mar 19, 2024 15:18 UTC | Lunai Bioworks Inc. RENB · Entity 7981 | GrantOption to Purchase Common Stock · Derivative | 28,196 | $0.00 Strike: $2.66 | $0.00 |
DisclosureSEC source: 0001731122-24-000455 · ownership.xml · derivative · entry 1 SAPIRSTEIN JAMES · CIK 0001559509 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 28,196 Underlying: Common Stock · 28,196 shares Expires 2034-03-06 Read SEC document |
| January 12, 2024 Filed Jan 17, 2024 21:01 UTC | GridAI Technologies Corp. FWBI · Entity 7534 | SaleCommon Stock | 166 | $4.20 | $697.20 |
DisclosureSEC source: 0001104659-24-004458 · tm243514-1_4seq1.xml · nonDerivative · entry 1 SAPIRSTEIN JAMES · CIK 0001559509 · Director · Chairman, President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 39,166 F1 · 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 Restricted Stock Units ("RSUs"). The sale is mandated by the Issuer'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. F2 · balance_after: Includes unvested RSUs. Read SEC document |
| January 02, 2024 Filed Jan 4, 2024 00:55 UTC | GridAI Technologies Corp. FWBI · Entity 7534 | GrantCommon Stock | 20,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-24-001026 · tm241923-1_4seq1.xml · nonDerivative · entry 2 SAPIRSTEIN JAMES · CIK 0001559509 · Director · Chairman, President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 39,332 F2 · shares: On January 2, 2024, the Reporting Person was granted 20,000 restricted stock units, which will be settled in shares of common stock, par value $0.0001. The restricted stock units vest quarterly for one year with 25% vesting quarterly beginning April 1, 2024. F3 · balance_after: Includes unvested RSUs. Read SEC document |
| December 29, 2023 Filed Jan 4, 2024 00:55 UTC | GridAI Technologies Corp. FWBI · Entity 7534 | GrantCommon Stock | 17,660 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-24-001026 · tm241923-1_4seq1.xml · nonDerivative · entry 1 SAPIRSTEIN JAMES · CIK 0001559509 · Director · Chairman, President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 19,332 F1 · shares: On December 29, 2023, the Reporting Person was granted 17,660 restricted stock units, which will be settled in shares of common stock, par value $0.0001. The restricted stock units vest upon closing of the Issuer's proposed acquisition of ImmunogenX, Inc. F3 · balance_after: Includes unvested RSUs. Read SEC document |
| October 04, 2023 Filed Oct 6, 2023 20:04 UTC | GridAI Technologies Corp. FWBI · Entity 7534 | SaleCommon Stock | 2,764 | $0.29 | $801.56 |
DisclosureSEC source: 0001104659-23-107481 · tm2327991-1_4seq1.xml · nonDerivative · entry 1 SAPIRSTEIN JAMES · CIK 0001559509 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 33,397 F1 · 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 Restricted Stock Units ("RSUs"). The sale is mandated by the Issuer'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. F2 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.291 to $0.293. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F3 · balance_after: Includes unvested RSUs. Read SEC document |
| July 03, 2023 Filed Jul 5, 2023 20:27 UTC | GridAI Technologies Corp. FWBI · Entity 7534 | SaleCommon Stock | 3,349 | $1.54 | $5,157.46 |
DisclosureSEC source: 0001104659-23-078144 · tm2320603-1_4seq1.xml · nonDerivative · entry 1 SAPIRSTEIN JAMES · CIK 0001559509 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 36,161 F1 · 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 Restricted Stock Units ("RSUs"). The sale is mandated by the Issuer'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. F2 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.49 to $1.61. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F3 · balance_after: Includes unvested RSUs. Read SEC document |
| May 31, 2023 Filed Jun 1, 2023 21:10 UTC | Onconetix, Inc. BWV · Entity 8471 | GrantCommon Stock | 6,360 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-23-045323 · ownership.xml · nonDerivative · entry 1 SAPIRSTEIN JAMES · CIK 0001559509 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 6,360 F1 · shares: Represents a restricted stock award granted to the Reporting Person pursuant to the Issuer's 2022 Equity Incentive Plan, as amended. The award will vest in full on May 31, 2024 so long as the Reporting Person continues to serve as a non-employee director of the Issuer until such date. Read SEC document |
| May 24, 2023 Filed Jul 18, 2024 21:35 UTC | ZyVersa Therapeutics, Inc. ZVSA · Entity 8639 | GrantStock Options · Derivative | 132 | $0.00 Strike: $152.46 | $0.00 |
DisclosureSEC source: 0001493152-24-028403 · ownership.xml · derivative · entry 1 SAPIRSTEIN JAMES · CIK 0001559509 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 132 Underlying: Common Stock · 132 shares Expires 2033-05-24 F1 · date: The option disclosed on this Form 4 was not previously reported due to an administrative oversight. F2 · shares: Share and dollar amounts give effect to the issuer's 1-for-35 reverse stock split effectuated on December 4, 2023, and 1-for-10 reverse stock split effectuated on April 25, 2024. F3 · derivative.exercise_date: The option vests annually in three equal installments commencing on May 24, 2024. Read SEC document |
| April 03, 2023 Filed Apr 5, 2023 20:07 UTC | GridAI Technologies Corp. FWBI · Entity 7534 | SaleCommon Stock | 3,347 | $2.50 | $8,367.50 |
DisclosureSEC source: 0001104659-23-042156 · tm2311820-1_4seq1.xml · nonDerivative · entry 1 SAPIRSTEIN JAMES · CIK 0001559509 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 39,510 F1 · 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 Restricted Stock Units ("RSUs"). The sale is mandated by the Issuer'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. F2 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.41 to $2.60. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F3 · balance_after: Includes unvested RSUs. F4 · balance_after: All amounts reflect the 1:7 reverse stock split effective as of January 18, 2023. Read SEC document |
| March 06, 2023 Filed Apr 4, 2023 20:07 UTC | Lunai Bioworks Inc. ENOB · Entity 7981 | GrantOption to Purchase Common Stock · Derivative | 64,655 | $0.00 Strike: $1.16 | $0.00 |
DisclosureSEC source: 0001731122-23-000571 · ownership.xml · derivative · entry 1 SAPIRSTEIN JAMES · CIK 0001559509 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 64,655 Underlying: Common Stock · 64,655 shares Expires 2033-03-06 Read SEC document |
| January 03, 2023 Filed Jan 5, 2023 14:00 UTC | GridAI Technologies Corp. FWBI · Entity 7534 | GrantCommon Stock | 300,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-23-001228 · tm231522-5_4seq1.xml · nonDerivative · entry 1 SAPIRSTEIN JAMES · CIK 0001559509 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 300,000 F1 · shares: On January 3, 2023, the Reporting Person was granted 300,000 restricted stock units, which will be settled in shares of common stock, par value $0.0001. The restricted stock units vest quarterly for one year with 25% vesting quarterly beginning March 31, 2023. F2 · balance_after: Includes unvested RSUs. Read SEC document |
| May 04, 2022 Filed May 27, 2022 10:40 UTC | Onconetix, Inc. BWV · Entity 8471 | GrantStock Option · Derivative | 50,575 | $0.00 Strike: $6.45 | $0.00 |
DisclosureSEC source: 0001213900-22-029995 · ownership.xml · derivative · entry 1 SAPIRSTEIN JAMES · CIK 0001559509 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,575 Underlying: Common Stock, par value $0.00001 per share · 50,575 shares Expires 2032-05-04 F1 · derivative.exercise_date: Stock options (the "Options") were granted to Mr. Sapirstein on May 4, 2022. The Options vest and become exercisable as follows: (A) with respect to 45,920 of the Options: (i) 1,912 Options vested immediately upon grant; (ii) 956 Options vest at the end of each calendar month from the date of issuance through January 31, 2026 and (iii) the remaining 988 Options vest on February 28, 2026 and (B) with respect to 4,655 of the Options: (i) (1) 774 of the Options vested immediately upon grant; (ii) 388 Options vest at the end of each calendar month from the date of issuance through February 28, 2023 and (iii) the remaining 389 Options vest on March 31, 2023. Read SEC document |
| January 03, 2022 Filed Jan 4, 2022 02:07 UTC | GridAI Technologies Corp. FWBI · Entity 7534 | GrantStock option (right to buy) · Derivative | 150,000 | $0.00 Strike: $1.45 | $0.00 |
DisclosureSEC source: 0001140361-22-000302 · form4.xml · derivative · entry 1 SAPIRSTEIN JAMES · CIK 0001559509 · Director · PRES, CEO & CHAIRMAN OF BOARD 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 150,000 Underlying: Common stock, par value $0.0001 per share · 150,000 shares Expires 2032-01-03 F1 · derivative.exercise_date: The stock option vests in 36 equal monthly installments over a term of three (3) years beginning on the date of grant, conditioned on Mr. Sapirstein's continued employment by First Wave BioPharma, Inc. on the applicable vesting date. Read SEC document |
| June 30, 2021 Filed Jul 2, 2021 21:07 UTC | GridAI Technologies Corp. AZRX · Entity 7534 | GrantStock options (right to buy) · Derivative | 900,000 | $0.00 Strike: $0.85 | $0.00 |
DisclosureSEC source: 0001415889-21-003426 · form4-07022021_020749.xml · derivative · entry 2 SAPIRSTEIN JAMES · CIK 0001559509 · Director · PRES, CEO & CHAIRMAN OF BOARD 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 900,000 Underlying: Common Stock, par value $0.0001 per share · 900,000 shares Expires 2031-06-30 F1 · kind: On June 30, 2021, the board of directors of AzurRx BioPharma, Inc. (the "Company") rescinded and cancelled stock option awards previously made to Mr. Sapirstein on July 16, 2020 covering 900,000 shares under the Company's Amended and Restated 2014 Omnibus Equity Incentive Plan and granted new stock options under the Company's 2020 Omnibus Equity Incentive Plan, as amended and restated, on substantially similar terms to the rescinded stock options. F3 · derivative.exercise_date: The stock option vests (i) with respect to 300,000 shares over a term of 18 months in 18 equal monthly installments starting with the first monthly installment on February 16, 2022, (ii) with respect to 200,000 shares immediately, and (iii) with respect to 400,000 shares, if at all, upon the achievement of certain performance targets. Vesting is conditioned on Mr. Sapirstein's continued employment by the Company on the applicable vesting date. Read SEC document |
| June 30, 2021 Filed Jul 2, 2021 21:07 UTC | GridAI Technologies Corp. AZRX · Entity 7534 | OtherStock options (right to buy) · Derivative | 900,000 | $0.00 Strike: $0.85 | $0.00 |
DisclosureSEC source: 0001415889-21-003426 · form4-07022021_020749.xml · derivative · entry 1 SAPIRSTEIN JAMES · CIK 0001559509 · Director · PRES, CEO & CHAIRMAN OF BOARD 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 300,000 Underlying: Common Stock, par value $0.0001 per share · 900,000 shares Expires 2030-07-15 F1 · kind: On June 30, 2021, the board of directors of AzurRx BioPharma, Inc. (the "Company") rescinded and cancelled stock option awards previously made to Mr. Sapirstein on July 16, 2020 covering 900,000 shares under the Company's Amended and Restated 2014 Omnibus Equity Incentive Plan and granted new stock options under the Company's 2020 Omnibus Equity Incentive Plan, as amended and restated, on substantially similar terms to the rescinded stock options. F2 · derivative.exercise_date: The stock options vest with respect to 300,000 shares in 18 equal monthly installments over a term of 18 months beginning 19 months after the grant of such options on July 16, 2020, and with respect to the remaining shares, if at all, upon the achievement of certain performance targets. Vesting is conditioned on Mr. Sapirstein's continued employment by the Company on the applicable vesting date. F1 · balance_after: On June 30, 2021, the board of directors of AzurRx BioPharma, Inc. (the "Company") rescinded and cancelled stock option awards previously made to Mr. Sapirstein on July 16, 2020 covering 900,000 shares under the Company's Amended and Restated 2014 Omnibus Equity Incentive Plan and granted new stock options under the Company's 2020 Omnibus Equity Incentive Plan, as amended and restated, on substantially similar terms to the rescinded stock options. Read SEC document |
| March 06, 2021 Filed Mar 12, 2021 01:02 UTC | Lunai Bioworks Inc. ENOB · Entity 7981 | GrantOption to Purchase Common Stock · Derivative | 19,894 | $0.00 Strike: $3.77 | $0.00 |
DisclosureSEC source: 0001731122-21-000358 · ownership.xml · derivative · entry 1 SAPIRSTEIN JAMES · CIK 0001559509 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,894 Underlying: Common Stock · 19,894 shares Expires 2031-03-06 F1 · security: On March 6, 2021, Mr. Sapirstein was granted an option to purchase 19,894 shares of common stock of Enochian Biosciences Inc., said option to vest on March 6, 2022. Read SEC document |
| March 05, 2021 Filed Mar 23, 2021 20:30 UTC | MARIZYME, INC. MRZM · Entity 95786 | GrantOptions · Derivative | 125,000 | $1.25 Strike: $1.25 | $156,250.00 |
DisclosureSEC source: 0001493152-21-006628 · ownership.xml · derivative · entry 1 SAPIRSTEIN JAMES · CIK 0001559509 · Director · Interim CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,350,000 Underlying: Common Stock · 125,000 shares Expires 2031-03-04 F1 · security: Consists of 125,000 options for common stock granted to the reporting person under an agreement dated March 5, 2021. The options vest quarterly in equal installments starting March 5, 2021. Read SEC document |
| July 16, 2020 Filed Jul 21, 2020 01:50 UTC | GridAI Technologies Corp. AZRX · Entity 7534 | GrantSeries B Warrants · Derivative | 64,935 | Not disclosed Strike: $0.85 | Not disclosed |
DisclosureSEC source: 0001415889-20-001935 · form4-07202020_060729.xml · derivative · entry 3 SAPIRSTEIN JAMES · CIK 0001559509 · Director · PRESIDENT AND CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,935 Underlying: Common stock, par value $0.0001 per share · 64,935 shares Expires 2025-07-16 F5 · price: Mr. Sapirstein purchased 12.987012 shares of Series B Stock, together with Series B Warrants to purchase 64,935 shares of Common Stock, for cash consideration of $7,700.00 per share of Series B Stock. The amount of the Series B Warrants is equal to 50% of the shares of Common Stock into which the Series B Stock is initially convertible. F3 · derivative.exercise_date: Mr. Sapirstein cannot convert the Series B Stock or exercise the warrants (the "Series B Warrants") until the Company obtains stockholder approval pursuant to Nasdaq Listing Rule 5635(c) and 5635(d) (the "Stockholder Approval"). F6 · derivative.expiration_date: In the event that the Company has not obtained the Stockholder Approval on or prior to the Approval Deadline, Mr. Sapirstein shall surrender the Series B Warrants to the Company for cancellation in connection with the Company's repurchase of the Series B Stock described above. Read SEC document |
| July 16, 2020 Filed Jul 21, 2020 01:50 UTC | GridAI Technologies Corp. AZRX · Entity 7534 | GrantSeries B Convertible Preferred Stock · Derivative | 12.987 | Not disclosed Strike: $0.77 | Not disclosed |
DisclosureSEC source: 0001415889-20-001935 · form4-07202020_060729.xml · derivative · entry 2 SAPIRSTEIN JAMES · CIK 0001559509 · Director · PRESIDENT AND CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12.987 Underlying: Common stock, par value $0.0001 per share · 129,870 shares Expires not disclosed F2 · derivative.exercise_price: Each share of the Company's Series B Preferred Stock, par value $0.0001 per share (the "Series B Stock"), is convertible, at Mr. Sapirstein's option, into Common Stock at a conversion rate equal to the quotient of (x) its stated value, which is initially $7,700 per share, divided by (y) the conversion price, which is initially of $0.77 per share of Common Stock, subject in each case to specified adjustments for stock splits, cash or stock dividends, reorganizations, reclassifications other similar events as set forth in the Certificate of Designations for the Series B Stock (the "Certificate of Designations"). Each share of Series B Stock also carries a cumulative dividend, accruing daily at a rate of 9.0% per year, payable each June 30 and December 30 arrears, in cash or shares of Series B Stock at the sole option of the Company, as specified in the Certificate of Designations. F5 · price: Mr. Sapirstein purchased 12.987012 shares of Series B Stock, together with Series B Warrants to purchase 64,935 shares of Common Stock, for cash consideration of $7,700.00 per share of Series B Stock. The amount of the Series B Warrants is equal to 50% of the shares of Common Stock into which the Series B Stock is initially convertible. F3 · derivative.exercise_date: Mr. Sapirstein cannot convert the Series B Stock or exercise the warrants (the "Series B Warrants") until the Company obtains stockholder approval pursuant to Nasdaq Listing Rule 5635(c) and 5635(d) (the "Stockholder Approval"). F4 · derivative.expiration_date: The Series B Stock has no expiration date. However, if the Company has not obtained the Stockholder Approval on or prior to the 90th day following the issuance date of the Series B Stock (the "Approval Deadline"), the Company is required to repurchase the Series B Stock from Mr. Sapirstein at a price equal to 150% of its stated value, as adjusted pursuant to the Certificate of Designations, plus accrued and unpaid dividends thereon to the repurchase date. Read SEC document |
| July 16, 2020 Filed Jul 21, 2020 01:50 UTC | GridAI Technologies Corp. AZRX · Entity 7534 | GrantStock options (right to buy) · Derivative | 1,200,000 | $0.00 Strike: $0.85 | $0.00 |
DisclosureSEC source: 0001415889-20-001935 · form4-07202020_060729.xml · derivative · entry 1 SAPIRSTEIN JAMES · CIK 0001559509 · Director · PRESIDENT AND CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,200,000 Underlying: Common stock, par value $0.0001 per share · 1,200,000 shares Expires 2030-07-15 F1 · derivative.exercise_date: On July 16, 2020, the board of directors of AzurRx BioPharma, Inc. (the "Company") awarded Mr. Sapirstein stock options to purchase 1,200,000 shares of the Company's common stock, par value $0.0001 per share (the "Common Stock"), pursuant to the Company's 2014 Omnibus Equity Incentive Plan. The stock options vest with respect to 600,000 shares in 36 equal monthly installments over a term of three (3) years beginning on August 16, 2020, and with respect to the remaining shares, if at all, upon the achievement of certain performance targets. Vesting is conditioned on Mr. Sapirstein's continued employment by the Company on the applicable vesting date. Read SEC document |
| October 08, 2019 Filed Oct 11, 2019 01:11 UTC | GridAI Technologies Corp. AZRX · Entity 7534 | GrantOptions · Derivative | 300,000 | Not disclosed Strike: $0.52 | Not disclosed |
DisclosureSEC source: 0001415889-19-001167 · form4-10102019_061006.xml · derivative · entry 2 SAPIRSTEIN JAMES · CIK 0001559509 · Director · PRESIDENT AND CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 300,000 Underlying: Common Stock · 300,000 shares Expires 2029-10-08 F2 · price: Options granted in connection with the Reporting Person's appointment as President and Chief Executive Officer of the Issuer. The options will vest (i) 50,000 upon the Company initiating its next Phase II clinical trial in the United States for MS1819, (ii) 50,000 upon the Company completing its next Phase II clinical trial in the United States for MS1819, (iii) 100,000 upon the Company initiating a Phase III clinical trial in the United States for MS1819 and (iv) 100,000 upon the Company initiating a Phase I clinical trial in the United States for any product other than MS1819. F2 · derivative.exercise_date: Options granted in connection with the Reporting Person's appointment as President and Chief Executive Officer of the Issuer. The options will vest (i) 50,000 upon the Company initiating its next Phase II clinical trial in the United States for MS1819, (ii) 50,000 upon the Company completing its next Phase II clinical trial in the United States for MS1819, (iii) 100,000 upon the Company initiating a Phase III clinical trial in the United States for MS1819 and (iv) 100,000 upon the Company initiating a Phase I clinical trial in the United States for any product other than MS1819. Read SEC document |
| October 08, 2019 Filed Oct 11, 2019 01:11 UTC | GridAI Technologies Corp. AZRX · Entity 7534 | GrantCommon Stock | 200,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001415889-19-001167 · form4-10102019_061006.xml · nonDerivative · entry 1 SAPIRSTEIN JAMES · CIK 0001559509 · Director · PRESIDENT AND CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 200,000 F1 · price: Represents grant of restricted stock issued in connection with the Reporting Person's appointment as President and Chief Executive Officer of the Issuer. The shares of restricted stock will vest (i) 100,000 upon the first commercial sale in the United States of MS1819 and (ii) 100,000 shares upon the total market capitalization of the Company exceeding $1.0 billion for 20 consecutive trading days. Read SEC document |
| August 22, 2019 Filed Aug 26, 2019 20:47 UTC | Lunai Bioworks Inc. ENOB · Entity 7981 | GrantOption to Purchase Common Stock · Derivative | 9,173 | $0.00 Strike: $6.25 | $0.00 |
DisclosureSEC source: 0001731122-19-000516 · ownership.xml · derivative · entry 1 SAPIRSTEIN JAMES · CIK 0001559509 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,173 Underlying: Common Stock · 9,173 shares Expires 2029-03-03 F1 · security: On August 22, 2019, Mr. Sapirstein was granted an option to purchase 9,173 shares of common stock of Enochian Biosciences, Inc., said option to vest on December 10, 2019. Read SEC document |
| September 19, 2018 Filed Sep 27, 2018 10:43 UTC | Lunai Bioworks Inc. ENOB · Entity 7981 | GrantOption to Purchase Common Stock · Derivative | 5,226 | $5.74 Strike: $5.74 | $29,997.24 |
DisclosureSEC source: 0001731122-18-000085 · ownership.xml · derivative · entry 1 SAPIRSTEIN JAMES · CIK 0001559509 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,770 Underlying: Common Stock · 5,226 shares Expires 2028-09-19 F1 · security: On September 19, 2018, Mr. Sapirstein was granted an option to purchase shares of common stock of Enochian Biosciences, Inc. valued at $30,000, said option to vest on the anniversary date of Mr. Sapirstein's appointment as director of Enochian, exercisable at the closing market price per share on the date of the grant. Read SEC document |
| January 03, 2018 Filed Jan 5, 2018 13:09 UTC | Hepion Pharmaceuticals, Inc. CTRV · Entity 8208 | GrantCommon Stock | 322,092 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-18-000924 · a4.xml · nonDerivative · entry 1 SAPIRSTEIN JAMES · CIK 0001559509 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 492,819 F1 · price: The reported item represents an award of restricted stock pursuant to the Company's 2013 Equity Incentive Plan. All of the shares vested upon grant. Such shares were issued in lieu of a cash bonus to the reporting person. Read SEC document |
| December 09, 2017 Filed Dec 12, 2017 19:38 UTC | RespireRx Pharmaceuticals Inc. RSPI · Entity 146118 | OtherCommon Stock Options (to purchase shares of Common Stock) · Derivative | 38,114 | Not disclosed Strike: $1.45 | Not disclosed |
DisclosureSEC source: 0001573202-17-000012 · primary_doc.xml · derivative · entry 1 SAPIRSTEIN JAMES · CIK 0001559509 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,114 Underlying: Common Stock · 38,114 shares Expires 2022-12-09 F1 · kind: On December 9, 2017, Mr. Sapirstein forgave all of the accrued but unpaid directors fees to which he was entitled as of September 30, 2017, an aggregate of $55,000. On that date, the Company granted to Mr. Sapirstein options to purchase 38,114 shares of the Company's common stock, with a black-scholes value of $1.44 per option and an aggregate value of $55,000. These Common Stock Options vested upon issuance. F1 · price: On December 9, 2017, Mr. Sapirstein forgave all of the accrued but unpaid directors fees to which he was entitled as of September 30, 2017, an aggregate of $55,000. On that date, the Company granted to Mr. Sapirstein options to purchase 38,114 shares of the Company's common stock, with a black-scholes value of $1.44 per option and an aggregate value of $55,000. These Common Stock Options vested upon issuance. F1 · derivative.exercise_date: On December 9, 2017, Mr. Sapirstein forgave all of the accrued but unpaid directors fees to which he was entitled as of September 30, 2017, an aggregate of $55,000. On that date, the Company granted to Mr. Sapirstein options to purchase 38,114 shares of the Company's common stock, with a black-scholes value of $1.44 per option and an aggregate value of $55,000. These Common Stock Options vested upon issuance. Read SEC document |
| July 06, 2017 Filed Jul 7, 2017 17:01 UTC | Hepion Pharmaceuticals, Inc. CTRV · Entity 8208 | GrantCommon Stock | 141,061 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-17-044100 · a4.xml · nonDerivative · entry 1 SAPIRSTEIN JAMES · CIK 0001559509 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 170,727 F1 · price: The reported item represents an award of restricted stock pursuant to the Company's 2013 Equity Incentive Plan. All of the shares vested upon grant. Such shares were issued in lieu of a cash bonus to the reporting person. Read SEC document |
| June 30, 2017 Filed Jul 5, 2017 19:37 UTC | RespireRx Pharmaceuticals Inc. RSPI · Entity 146118 | GrantCommon Stock Options (to purchase shares of Common Stock) · Derivative | 25,000 | $0.00 Strike: $2.00 | $0.00 |
DisclosureSEC source: 0001573202-17-000002 · primary_doc.xml · derivative · entry 1 SAPIRSTEIN JAMES · CIK 0001559509 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 Underlying: common stock · 25,000 shares Expires 2022-06-30 F1 · derivative.exercise_date: These Common Stock Options vested upon issuance. Read SEC document |
| March 06, 2017 Filed Mar 7, 2017 16:00 UTC | Hepion Pharmaceuticals, Inc. CTRV · Entity 8208 | GrantStock Options · Derivative | 313,898 | $0.00 Strike: $1.48 | $0.00 |
DisclosureSEC source: 0001104659-17-014835 · a4.xml · derivative · entry 2 SAPIRSTEIN JAMES · CIK 0001559509 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,761,129 Underlying: Common Stock · 313,898 shares Expires 2027-03-06 F2 · derivative.exercise_date: Options vest in three installments as follows: 104,632 of the options vest on each of March 6, 2018 and 2019 and 104,634 vest on March 6, 2020. Read SEC document |
| March 03, 2017 Filed Mar 7, 2017 16:00 UTC | Hepion Pharmaceuticals, Inc. CTRV · Entity 8208 | GrantStock Options · Derivative | 313,898 | $0.00 Strike: $1.43 | $0.00 |
DisclosureSEC source: 0001104659-17-014835 · a4.xml · derivative · entry 1 SAPIRSTEIN JAMES · CIK 0001559509 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,447,231 Underlying: Common Stock · 313,898 shares Expires 2027-03-03 F1 · derivative.exercise_date: Options vest in three installments as follows: 104,632 of the options vest on each of March 3, 2018 and 2019 and 104,634 vest on March 3, 2020. Read SEC document |
| January 18, 2017 Filed Jan 20, 2017 21:24 UTC | RespireRx Pharmaceuticals Inc. RSPI · Entity 146118 | GrantCommon Stock Options (to purchase shares of Common Stock) · Derivative | 25,000 | $0.00 Strike: $3.90 | $0.00 |
DisclosureSEC source: 0001363763-17-000005 · primary_doc.xml · derivative · entry 1 SAPIRSTEIN JAMES · CIK 0001559509 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 Underlying: Common Stock · 25,000 shares Expires 2022-01-18 F1 · derivative.exercise_date: These Common Stock Options vest in three installments: 25 percent on January 18, 2017 (the grant date), 25 percent on March 31, 2017, and 50 percent on June 30, 2017. Read SEC document |
| November 08, 2016 Filed Feb 15, 2017 15:48 UTC | Probility Media Corp PBYA · Entity 157801 | GrantCommon Stock | 75,000 | $0.79 | $59,250.00 |
DisclosureSEC source: 0001683168-17-000380 · sapirstein_f4.xml · nonDerivative · entry 1 SAPIRSTEIN JAMES · CIK 0001559509 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 210,000 Read SEC document |
| October 27, 2016 Filed Oct 31, 2016 17:39 UTC | Hepion Pharmaceuticals, Inc. CTRV · Entity 8208 | Exercise / conversionStock Options · Derivative | 16,666 | $0.00 Strike: $1.50 | $0.00 |
DisclosureSEC source: 0001104659-16-153407 · a4.xml · derivative · entry 2 SAPIRSTEIN JAMES · CIK 0001559509 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,133,334 Underlying: Common Stock · 16,666 shares Expires 2026-06-13 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_date: Fully vested. Read SEC document |
| October 27, 2016 Filed Oct 31, 2016 17:39 UTC | Hepion Pharmaceuticals, Inc. CTRV · Entity 8208 | Exercise / conversionCommon Stock | 16,666 | $1.50 | $24,999.00 |
DisclosureSEC source: 0001104659-16-153407 · a4.xml · nonDerivative · entry 1 SAPIRSTEIN JAMES · CIK 0001559509 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,666 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. 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.