Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Alaunos Therapeutics, Inc.TCRT · Entity 8339 | Director | June 06, 2023 | June 08, 2023 |
| Atara Biotherapeutics, Inc.ATRA · Entity 6828 | Director · 10% owner | May 07, 2026 | May 11, 2026 |
| CASI Pharmaceuticals, Inc.CASI · Entity 8458 | Director | March 18, 2026 | March 18, 2026 |
| CASI Pharmaceuticals, Inc.CASI · Entity 123920 | Director | September 06, 2022 | September 08, 2022 |
| Connect Biopharma Holdings LtdCNTB · Entity 6516 | Director | May 29, 2026 | June 02, 2026 |
| WINDTREE THERAPEUTICS INC /DE/WINT · Entity 8761 | Director | February 22, 2023 | February 23, 2023 |
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.
Alaunos Therapeutics, Inc.
Report date June 06, 2023 · Filed June 08, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Employee Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.48 · Expires 2033-06-05 | Direct | 100,000 |
Reported balance
After 2023-06-06 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2023-06-06 · Grant · Acquired 100,000 · Balance 100,000 F1: One-twelfth of the shares underlying the option vest in equal monthly installments measured from June 6, 2023, with the first vesting occurring on July 6, 2023, subject to the Reporting Person's continued service through each such date. |
Filing footnotes · ownership attribution and instrument terms
F1: One-twelfth of the shares underlying the option vest in equal monthly installments measured from June 6, 2023, with the first vesting occurring on July 6, 2023, subject to the Reporting Person's continued service through each such date.
Atara Biotherapeutics, Inc.
Report date May 07, 2026 · Filed May 11, 2026
Jointly reported with Panacea Innovation Ltd
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 1,011,000 |
Reported balance
After 2026-05-07 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2026-05-07 · Sale · Disposed 313,446 · Balance 1,011,000 F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $10.00 to $10.50, inclusive. The Reporting Person undertake to provide to the Issuer, any securityholder 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 above. F2: Represents securities held by Panacea Venture Healthcare Fund II, L.P. F3: James Huang is the sole owner of Panacea Innovation Limited, which is the sole owner of Panacea Venture Healthcare Fund II GP Company, Ltd. ("Fund II GP") and Panacea Opportunity Fund I GP Company, Ltd. ("Opportunity Fund GP"), which are the general partners of Panacea Venture Healthcare Fund II, L.P. and Panacea Opportunity Fund I, L.P. As a result, each of the Reporting Persons may be deemed to share beneficial ownership of the securities held of record by Panacea Venture Healthcare Fund II, L.P. and Panacea Opportunity Fund I, L.P., but each disclaims such beneficial ownership. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 307,894 |
Reported balance
Holding disclosure · report date 2026-05-07 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 307,894 F3: James Huang is the sole owner of Panacea Innovation Limited, which is the sole owner of Panacea Venture Healthcare Fund II GP Company, Ltd. ("Fund II GP") and Panacea Opportunity Fund I GP Company, Ltd. ("Opportunity Fund GP"), which are the general partners of Panacea Venture Healthcare Fund II, L.P. and Panacea Opportunity Fund I, L.P. As a result, each of the Reporting Persons may be deemed to share beneficial ownership of the securities held of record by Panacea Venture Healthcare Fund II, L.P. and Panacea Opportunity Fund I, L.P., but each disclaims such beneficial ownership. F4: Represents securities held by Panacea Opportunity Fund I, L.P. |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $10.00 to $10.50, inclusive. The Reporting Person undertake to provide to the Issuer, any securityholder 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 above.
F2: Represents securities held by Panacea Venture Healthcare Fund II, L.P.
F3: James Huang is the sole owner of Panacea Innovation Limited, which is the sole owner of Panacea Venture Healthcare Fund II GP Company, Ltd. ("Fund II GP") and Panacea Opportunity Fund I GP Company, Ltd. ("Opportunity Fund GP"), which are the general partners of Panacea Venture Healthcare Fund II, L.P. and Panacea Opportunity Fund I, L.P. As a result, each of the Reporting Persons may be deemed to share beneficial ownership of the securities held of record by Panacea Venture Healthcare Fund II, L.P. and Panacea Opportunity Fund I, L.P., but each disclaims such beneficial ownership.
F4: Represents securities held by Panacea Opportunity Fund I, L.P.
CASI Pharmaceuticals, Inc.
Report date March 18, 2026 · Filed March 18, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Ordinary SharesSEC Table I · non-derivative | IndirectSee Footnote | 4,529,956 |
Reported balance
Holding disclosure · report date 2026-03-18 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 4,529,956 F1: Panacea Venture Healthcare Fund II, L.P. is the record holder of the Ordinary Shares reported herein. James Huang is the sole owner of Panacea Innovation Limited, which is the sole owner of Panacea Venture Healthcare Fund II GP Company, Ltd., which is the general partner of Panacea Venture Healthcare Fund II, L.P. As a result, James Huang may be deemed to share beneficial ownership of the Ordinary Shares reported herein, but disclaims such beneficial ownership. |
| Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $1.69 · Expires 2035-10-01 | Direct | Not disclosed |
Reported balance
Holding disclosure · report date 2026-03-18 · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · Balance Not disclosed F2: The stock option is fully vested and exercisable. |
| Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $2.69 · Expires 2033-05-01 | Direct | Not disclosed |
Reported balance
Holding disclosure · report date 2026-03-18 · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · Balance Not disclosed F2: The stock option is fully vested and exercisable. |
| Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $1.93 · Expires 2026-03-20 | Direct | Not disclosed |
Reported balance
Holding disclosure · report date 2026-03-18 · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · Balance Not disclosed F2: The stock option is fully vested and exercisable. |
Filing footnotes · ownership attribution and instrument terms
F1: Panacea Venture Healthcare Fund II, L.P. is the record holder of the Ordinary Shares reported herein. James Huang is the sole owner of Panacea Innovation Limited, which is the sole owner of Panacea Venture Healthcare Fund II GP Company, Ltd., which is the general partner of Panacea Venture Healthcare Fund II, L.P. As a result, James Huang may be deemed to share beneficial ownership of the Ordinary Shares reported herein, but disclaims such beneficial ownership.
F2: The stock option is fully vested and exercisable.
CASI Pharmaceuticals, Inc.
Report date September 06, 2022 · Filed September 08, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 371,517 |
Last balance in matching sequence
After 2022-09-08 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rowsRow 1 · 2022-09-06 · Purchase · Acquired 19,162 · Balance 335,106 F1: The price reported in Column 4 is a weighted-average price. These shares were purchased in multiple transactions at prices ranging from $3.80 to $4.00. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F2: Represents securities held by Panacea Opportunity Fund I, L.P., over which the reporting person may be deemed to indirectly share beneficial ownership. The reporting person disclaims such beneficial ownership except to the extent of his pecuniary interest therein, if any. Row 2 · 2022-09-07 · Purchase · Acquired 3,111 · Balance 338,217 F3: The price reported in Column 4 is a weighted-average price. These shares were purchased in multiple transactions at prices ranging from $3.9401 to $4.00. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F2: Represents securities held by Panacea Opportunity Fund I, L.P., over which the reporting person may be deemed to indirectly share beneficial ownership. The reporting person disclaims such beneficial ownership except to the extent of his pecuniary interest therein, if any. Row 3 · 2022-09-08 · Purchase · Acquired 33,300 · Balance 371,517 F4: The price reported in Column 4 is a weighted-average price. These shares were purchased in multiple transactions at prices ranging from $4.115 to $4.40. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F2: Represents securities held by Panacea Opportunity Fund I, L.P., over which the reporting person may be deemed to indirectly share beneficial ownership. The reporting person disclaims such beneficial ownership except to the extent of his pecuniary interest therein, if any. |
| Common StockSEC Table I · non-derivative | Direct | 191 |
Reported balance
Holding disclosure · report date 2022-09-06 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 191 |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported in Column 4 is a weighted-average price. These shares were purchased in multiple transactions at prices ranging from $3.80 to $4.00. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.
F2: Represents securities held by Panacea Opportunity Fund I, L.P., over which the reporting person may be deemed to indirectly share beneficial ownership. The reporting person disclaims such beneficial ownership except to the extent of his pecuniary interest therein, if any.
F3: The price reported in Column 4 is a weighted-average price. These shares were purchased in multiple transactions at prices ranging from $3.9401 to $4.00. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.
F4: The price reported in Column 4 is a weighted-average price. These shares were purchased in multiple transactions at prices ranging from $4.115 to $4.40. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.
Connect Biopharma Holdings Ltd
Report date May 29, 2026 · Filed June 02, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Ordinary SharesSEC Table I · non-derivative | IndirectSee Footnote | 13,310,000 |
Reported balance
After 2026-05-29 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2026-05-29 · Purchase · Acquired 150,000 · Balance 13,310,000 F1: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions ranging from $2.37 to $2.52, inclusive. The Reporting Person undertakes to provide to the Issuer, any securityholder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth above. F2: Panacea Venture Healthcare Fund II, L.P. is the record holder of the Ordinary Shares reported herein. James Huang is the sole owner of Panacea Innovation Limited, which is the sole owner of Panacea Venture Healthcare Fund II GP Company, Ltd., which is the general partner of Panacea Venture Healthcare Fund II, L.P. As a result, James Huang may be deemed to share beneficial ownership of the Ordinary Shares reported herein, but disclaims such beneficial ownership. |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions ranging from $2.37 to $2.52, inclusive. The Reporting Person undertakes to provide to the Issuer, any securityholder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth above.
F2: Panacea Venture Healthcare Fund II, L.P. is the record holder of the Ordinary Shares reported herein. James Huang is the sole owner of Panacea Innovation Limited, which is the sole owner of Panacea Venture Healthcare Fund II GP Company, Ltd., which is the general partner of Panacea Venture Healthcare Fund II, L.P. As a result, James Huang may be deemed to share beneficial ownership of the Ordinary Shares reported herein, but disclaims such beneficial ownership.
WINDTREE THERAPEUTICS INC /DE/
Report date February 22, 2023 · Filed February 23, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 3,449,161 |
Reported balance
After 2023-02-22 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2023-02-22 · Other · Acquired 1,112,308 · Balance 3,449,161 F1: Represents securities held by Panacea Venture Healthcare Fund I L.P. ("Panacea Healthcare"), over which the reporting person may be deemed to indirectly share beneficial ownership. The reporting person disclaims such beneficial ownership except to the extent of his pecuniary interest therein, if any. |
| Warrants (right to purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $7.98 · Expires 2025-05-22 | IndirectSee Footnote | 0 |
Reported balance
After 2023-02-22 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2023-02-22 · Disposition to issuer · Disposed 275,862 · Balance 0 F2: Pursuant to a warrant exercise inducement offer letter, the Issuer and Panacea Healthcare agreed to amend the outstanding warrants held by Panacea Healthcare to lower the exercise price to $0.1411 and to issue Panacea Healthcare warrants to purchase an additional 2,224,616 shares of Common Stock, in exchange for Panacea Healthcare agreeing to immediately exercise the repriced warrants. F1: Represents securities held by Panacea Venture Healthcare Fund I L.P. ("Panacea Healthcare"), over which the reporting person may be deemed to indirectly share beneficial ownership. The reporting person disclaims such beneficial ownership except to the extent of his pecuniary interest therein, if any. |
| Warrants (right to purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $12.09 · Expires 2024-12-06 | IndirectSee Footnote | 0 |
Reported balance
After 2023-02-22 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2023-02-22 · Disposition to issuer · Disposed 275,938 · Balance 0 F2: Pursuant to a warrant exercise inducement offer letter, the Issuer and Panacea Healthcare agreed to amend the outstanding warrants held by Panacea Healthcare to lower the exercise price to $0.1411 and to issue Panacea Healthcare warrants to purchase an additional 2,224,616 shares of Common Stock, in exchange for Panacea Healthcare agreeing to immediately exercise the repriced warrants. F1: Represents securities held by Panacea Venture Healthcare Fund I L.P. ("Panacea Healthcare"), over which the reporting person may be deemed to indirectly share beneficial ownership. The reporting person disclaims such beneficial ownership except to the extent of his pecuniary interest therein, if any. |
| Warrants (right to purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $12.15 · Expires 2023-12-24 | IndirectSee Footnote | 0 |
Reported balance
After 2023-02-22 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2023-02-22 · Disposition to issuer · Disposed 498,008 · Balance 0 F2: Pursuant to a warrant exercise inducement offer letter, the Issuer and Panacea Healthcare agreed to amend the outstanding warrants held by Panacea Healthcare to lower the exercise price to $0.1411 and to issue Panacea Healthcare warrants to purchase an additional 2,224,616 shares of Common Stock, in exchange for Panacea Healthcare agreeing to immediately exercise the repriced warrants. F1: Represents securities held by Panacea Venture Healthcare Fund I L.P. ("Panacea Healthcare"), over which the reporting person may be deemed to indirectly share beneficial ownership. The reporting person disclaims such beneficial ownership except to the extent of his pecuniary interest therein, if any. |
| Warrants (right to purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $12.00 · Expires 2023-07-02 | IndirectSee Footnote | 0 |
Reported balance
After 2023-02-22 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2023-02-22 · Disposition to issuer · Disposed 62,500 · Balance 0 F2: Pursuant to a warrant exercise inducement offer letter, the Issuer and Panacea Healthcare agreed to amend the outstanding warrants held by Panacea Healthcare to lower the exercise price to $0.1411 and to issue Panacea Healthcare warrants to purchase an additional 2,224,616 shares of Common Stock, in exchange for Panacea Healthcare agreeing to immediately exercise the repriced warrants. F1: Represents securities held by Panacea Venture Healthcare Fund I L.P. ("Panacea Healthcare"), over which the reporting person may be deemed to indirectly share beneficial ownership. The reporting person disclaims such beneficial ownership except to the extent of his pecuniary interest therein, if any. |
| Warrants (right to purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $0.14 · Expires 2023-02-22 | IndirectSee Footnote | 1,112,308 |
Reported balance
After 2023-02-22 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2023-02-22 · Grant · Acquired 1,112,308 · Balance 1,112,308 F2: Pursuant to a warrant exercise inducement offer letter, the Issuer and Panacea Healthcare agreed to amend the outstanding warrants held by Panacea Healthcare to lower the exercise price to $0.1411 and to issue Panacea Healthcare warrants to purchase an additional 2,224,616 shares of Common Stock, in exchange for Panacea Healthcare agreeing to immediately exercise the repriced warrants. F1: Represents securities held by Panacea Venture Healthcare Fund I L.P. ("Panacea Healthcare"), over which the reporting person may be deemed to indirectly share beneficial ownership. The reporting person disclaims such beneficial ownership except to the extent of his pecuniary interest therein, if any. |
| Warrants (right to purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $0.14 · Expires 2023-02-22 | IndirectSee Footnote | 0 |
Reported balance
After 2023-02-22 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2023-02-22 · Other · Disposed 1,112,308 · Balance 0 F1: Represents securities held by Panacea Venture Healthcare Fund I L.P. ("Panacea Healthcare"), over which the reporting person may be deemed to indirectly share beneficial ownership. The reporting person disclaims such beneficial ownership except to the extent of his pecuniary interest therein, if any. |
| Warrants (right to purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $0.22 · Expires 2028-08-21 | IndirectSee Footnote | 2,224,616 |
Reported balance
After 2023-02-22 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2023-02-22 · Grant · Acquired 2,224,616 · Balance 2,224,616 F2: Pursuant to a warrant exercise inducement offer letter, the Issuer and Panacea Healthcare agreed to amend the outstanding warrants held by Panacea Healthcare to lower the exercise price to $0.1411 and to issue Panacea Healthcare warrants to purchase an additional 2,224,616 shares of Common Stock, in exchange for Panacea Healthcare agreeing to immediately exercise the repriced warrants. F1: Represents securities held by Panacea Venture Healthcare Fund I L.P. ("Panacea Healthcare"), over which the reporting person may be deemed to indirectly share beneficial ownership. The reporting person disclaims such beneficial ownership except to the extent of his pecuniary interest therein, if any. |
| Common StockSEC Table I · non-derivative | Direct | 296,281 |
Reported balance
Holding disclosure · report date 2023-02-22 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 296,281 |
Filing footnotes · ownership attribution and instrument terms
F1: Represents securities held by Panacea Venture Healthcare Fund I L.P. ("Panacea Healthcare"), over which the reporting person may be deemed to indirectly share beneficial ownership. The reporting person disclaims such beneficial ownership except to the extent of his pecuniary interest therein, if any.
F2: Pursuant to a warrant exercise inducement offer letter, the Issuer and Panacea Healthcare agreed to amend the outstanding warrants held by Panacea Healthcare to lower the exercise price to $0.1411 and to issue Panacea Healthcare warrants to purchase an additional 2,224,616 shares of Common Stock, in exchange for Panacea Healthcare agreeing to immediately exercise the repriced warrants.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Orion Biotech Opportunities Corp.
Report date May 17, 2023 · Filed May 18, 2023
Jointly reported with Orion Sponsor Holdings, LLC
Section 16 reporting ended · disclosed 2023-05-18. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class B ordinary sharesSEC Table II · derivative / convertible security | Direct | 1 |
Reported balance
After 2023-05-17 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2023-05-17 · Disposition to issuer · Disposed 4,879,999 · Balance 1 F1: On April 21, 2023, the Issuer announced that it will not consummate an initial business combination within the time period required. Pursuant to the Issuer's Amended and Restated Memorandum and Articles of Association (the "Articles") and in connection with the winding up of the Issuer, the Class B ordinary shares, par value $0.0001, held by Orion Sponsor Holdings, LLC (the "Sponsor") were surrendered for no compensation on May 17, 2023. F2: This Form 4 is being filed by the Sponsor. The Class B ordinary shares are held in the name of the Sponsor. The Sponsor is managed by a board of managers comprised of James Huang, John Phelan and Robert Platek, who control the Sponsor. Accordingly, Messrs. Huang, Phelan and Platek have voting and investment discretion with respect to the securities held by the Sponsor, and may be deemed to have beneficial ownership of the securities held directly by the Sponsor. Each of Messrs. Huang, Phelan and Platek disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: On April 21, 2023, the Issuer announced that it will not consummate an initial business combination within the time period required. Pursuant to the Issuer's Amended and Restated Memorandum and Articles of Association (the "Articles") and in connection with the winding up of the Issuer, the Class B ordinary shares, par value $0.0001, held by Orion Sponsor Holdings, LLC (the "Sponsor") were surrendered for no compensation on May 17, 2023.
F2: This Form 4 is being filed by the Sponsor. The Class B ordinary shares are held in the name of the Sponsor. The Sponsor is managed by a board of managers comprised of James Huang, John Phelan and Robert Platek, who control the Sponsor. Accordingly, Messrs. Huang, Phelan and Platek have voting and investment discretion with respect to the securities held by the Sponsor, and may be deemed to have beneficial ownership of the securities held directly by the Sponsor. Each of Messrs. Huang, Phelan and Platek disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.
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 29, 2026 Filed Jun 2, 2026 20:30 UTC | Connect Biopharma Holdings Ltd CNTB · Entity 6516 | PurchaseOrdinary Shares | 150,000 | $2.48 | $371,610.00 |
DisclosureSEC source: 0001193125-26-253607 · ownership.xml · nonDerivative · entry 1 Huang James · CIK 0001573160 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 13,310,000 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions ranging from $2.37 to $2.52, inclusive. The Reporting Person undertakes to provide to the Issuer, any securityholder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth above. F2 · ownership.nature: Panacea Venture Healthcare Fund II, L.P. is the record holder of the Ordinary Shares reported herein. James Huang is the sole owner of Panacea Innovation Limited, which is the sole owner of Panacea Venture Healthcare Fund II GP Company, Ltd., which is the general partner of Panacea Venture Healthcare Fund II, L.P. As a result, James Huang may be deemed to share beneficial ownership of the Ordinary Shares reported herein, but disclaims such beneficial ownership. Read SEC document |
| May 07, 2026 Filed May 11, 2026 22:45 UTC | Atara Biotherapeutics, Inc. ATRA · Entity 6828 | SaleCommon Stock | 313,446 | $10.10 | $3,165,020.99 |
DisclosureSEC source: 0001193125-26-217380 · ownership.xml · nonDerivative · entry 1 Panacea Innovation Ltd · CIK 0002010692 · 10% owner Huang James · CIK 0001573160 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 1,011,000 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $10.00 to $10.50, inclusive. The Reporting Person undertake to provide to the Issuer, any securityholder 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 above. F2 · ownership.nature: Represents securities held by Panacea Venture Healthcare Fund II, L.P. F3 · ownership.nature: James Huang is the sole owner of Panacea Innovation Limited, which is the sole owner of Panacea Venture Healthcare Fund II GP Company, Ltd. ("Fund II GP") and Panacea Opportunity Fund I GP Company, Ltd. ("Opportunity Fund GP"), which are the general partners of Panacea Venture Healthcare Fund II, L.P. and Panacea Opportunity Fund I, L.P. As a result, each of the Reporting Persons may be deemed to share beneficial ownership of the securities held of record by Panacea Venture Healthcare Fund II, L.P. and Panacea Opportunity Fund I, L.P., but each disclaims such beneficial ownership. Read SEC document |
| March 31, 2026 Filed Apr 1, 2026 20:30 UTC | Connect Biopharma Holdings Ltd CNTB · Entity 6516 | PurchaseOrdinary Shares | 1,160,000 | $3.45 | $4,002,000.00 |
DisclosureSEC source: 0001193125-26-138012 · ownership.xml · nonDerivative · entry 1 Huang James · CIK 0001573160 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 13,160,000 F1 · ownership.nature: Panacea Venture Healthcare Fund II, L.P. is the record holder of the Ordinary Shares reported herein. James Huang is the sole owner of Panacea Innovation Limited, which is the sole owner of Panacea Venture Healthcare Fund II GP Company, Ltd., which is the general partner of Panacea Venture Healthcare Fund II, L.P. As a result, James Huang may be deemed to share beneficial ownership of the Ordinary Shares reported herein, but disclaims such beneficial ownership. Read SEC document |
| March 17, 2026 Filed Mar 19, 2026 20:30 UTC | Atara Biotherapeutics, Inc. ATRA · Entity 6828 | Exercise / conversionWarrants · Derivative | 259,163 | $6.61 Strike: $0.00 | $1,713,041.51 |
DisclosureSEC source: 0001193125-26-116060 · ownership.xml · derivative · entry 4 Panacea Innovation Ltd · CIK 0002010692 · 10% owner Huang James · CIK 0001573160 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 0 Underlying: Common Stock · 259,163 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_date: The warrants are immediately exercisable and do not expire. Pursuant to the terms of the warrants, no portion of the warrants held by a holder may be exercised to the extent that, after giving effect to the attempted exercise, such holder, together with such holder's affiliates and any other person whose beneficial ownership of the Issuer's common stock would be aggregated with such holder's for the purposes of Section 13(d) of the Exchange Act, would beneficially own in excess of 19.99% of the outstanding common stock. F4 · derivative.expiration_date: The warrants are immediately exercisable and do not expire. Pursuant to the terms of the warrants, no portion of the warrants held by a holder may be exercised to the extent that, after giving effect to the attempted exercise, such holder, together with such holder's affiliates and any other person whose beneficial ownership of the Issuer's common stock would be aggregated with such holder's for the purposes of Section 13(d) of the Exchange Act, would beneficially own in excess of 19.99% of the outstanding common stock. F1 · ownership.nature: Represents securities held by Panacea Opportunity Fund I, L.P. F2 · ownership.nature: James Huang is the sole owner of Panacea Innovation Limited, which is the sole owner of Panacea Venture Healthcare Fund II GP Company, Ltd. ("Fund II GP") and Panacea Opportunity Fund I GP Company, Ltd. ("Opportunity Fund GP"), which are the general partners of Panacea Venture Healthcare Fund II, L.P. and Panacea Opportunity Fund I, L.P. As a result, each of the Reporting Persons may be deemed to share beneficial ownership of the securities held of record by Panacea Venture Healthcare Fund II, L.P. and Panacea Opportunity Fund I, L.P., but each disclaims such beneficial ownership. Read SEC document |
| March 17, 2026 Filed Mar 19, 2026 20:30 UTC | Atara Biotherapeutics, Inc. ATRA · Entity 6828 | Tax withholdingCommon Stock | 5 | $5.23 | $26.15 |
DisclosureSEC source: 0001193125-26-116060 · ownership.xml · nonDerivative · entry 2 Panacea Innovation Ltd · CIK 0002010692 · 10% owner Huang James · CIK 0001573160 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 307,894 F1 · ownership.nature: Represents securities held by Panacea Opportunity Fund I, L.P. F2 · ownership.nature: James Huang is the sole owner of Panacea Innovation Limited, which is the sole owner of Panacea Venture Healthcare Fund II GP Company, Ltd. ("Fund II GP") and Panacea Opportunity Fund I GP Company, Ltd. ("Opportunity Fund GP"), which are the general partners of Panacea Venture Healthcare Fund II, L.P. and Panacea Opportunity Fund I, L.P. As a result, each of the Reporting Persons may be deemed to share beneficial ownership of the securities held of record by Panacea Venture Healthcare Fund II, L.P. and Panacea Opportunity Fund I, L.P., but each disclaims such beneficial ownership. Read SEC document |
| March 17, 2026 Filed Mar 19, 2026 20:30 UTC | Atara Biotherapeutics, Inc. ATRA · Entity 6828 | Exercise / conversionCommon Stock | 259,163 | $0.00 | $25.92 |
DisclosureSEC source: 0001193125-26-116060 · ownership.xml · nonDerivative · entry 1 Panacea Innovation Ltd · CIK 0002010692 · 10% owner Huang James · CIK 0001573160 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 307,899 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 · ownership.nature: Represents securities held by Panacea Opportunity Fund I, L.P. F2 · ownership.nature: James Huang is the sole owner of Panacea Innovation Limited, which is the sole owner of Panacea Venture Healthcare Fund II GP Company, Ltd. ("Fund II GP") and Panacea Opportunity Fund I GP Company, Ltd. ("Opportunity Fund GP"), which are the general partners of Panacea Venture Healthcare Fund II, L.P. and Panacea Opportunity Fund I, L.P. As a result, each of the Reporting Persons may be deemed to share beneficial ownership of the securities held of record by Panacea Venture Healthcare Fund II, L.P. and Panacea Opportunity Fund I, L.P., but each disclaims such beneficial ownership. Read SEC document |
| January 12, 2026 Filed Jan 15, 2026 02:16 UTC | Atara Biotherapeutics, Inc. ATRA · Entity 6828 | SaleCommon Stock | 80,554 | $6.07 | $489,019.17 |
DisclosureSEC source: 0001193125-26-013358 · ownership.xml · nonDerivative · entry 1 Panacea Innovation Ltd · CIK 0002010692 · 10% owner Huang James · CIK 0001573160 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 1,324,446 F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $5.9888 to $6.2838, inclusive. The Reporting Person undertake to provide to the Issuer, any securityholder 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 above. F1 · ownership.nature: Represents securities held by Panacea Venture Healthcare Fund II, L.P. F2 · ownership.nature: James Huang is the sole owner of Panacea Innovation Limited, which is the sole owner of Panacea Venture Healthcare Fund II GP Company, Ltd. ("Fund II GP") and Panacea Opportunity Fund I GP Company, Ltd. ("Opportunity Fund GP"), which are the general partners of Panacea Venture Healthcare Fund II, L.P. and Panacea Opportunity Fund I, L.P. As a result, each of the Reporting Persons may be deemed to share beneficial ownership of the securities held of record by Panacea Venture Healthcare Fund II, L.P. and Panacea Opportunity Fund I, L.P., but each disclaims such beneficial ownership. Read SEC document |
| November 28, 2025 Filed Dec 1, 2025 22:00 UTC | Atara Biotherapeutics, Inc. ATRA · Entity 6828 | Exercise / conversionWarrants · Derivative | 48,737 | $6.61 Strike: $0.00 | $322,146.70 |
DisclosureSEC source: 0001193125-25-304018 · ownership.xml · derivative · entry 4 Panacea Innovation Ltd · CIK 0002010692 · 10% owner Huang James · CIK 0001573160 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 259,163 Underlying: Common Stock · 48,737 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_date: The warrants are immediately exercisable and do not expire. Pursuant to the terms of the warrants, no portion of the warrants held by a holder may be exercised to the extent that, after giving effect to the attempted exercise, such holder, together with such holder's affiliates and any other person whose beneficial ownership of the Issuer's common stock would be aggregated with such holder's for the purposes of Section 13(d) of the Exchange Act, would beneficially own in excess of 19.99% of the outstanding common stock. F4 · derivative.expiration_date: The warrants are immediately exercisable and do not expire. Pursuant to the terms of the warrants, no portion of the warrants held by a holder may be exercised to the extent that, after giving effect to the attempted exercise, such holder, together with such holder's affiliates and any other person whose beneficial ownership of the Issuer's common stock would be aggregated with such holder's for the purposes of Section 13(d) of the Exchange Act, would beneficially own in excess of 19.99% of the outstanding common stock. F4 · balance_after: The warrants are immediately exercisable and do not expire. Pursuant to the terms of the warrants, no portion of the warrants held by a holder may be exercised to the extent that, after giving effect to the attempted exercise, such holder, together with such holder's affiliates and any other person whose beneficial ownership of the Issuer's common stock would be aggregated with such holder's for the purposes of Section 13(d) of the Exchange Act, would beneficially own in excess of 19.99% of the outstanding common stock. F1 · ownership.nature: Represents securities held by Panacea Opportunity Fund I, L.P. F2 · ownership.nature: James Huang is the sole owner of Panacea Innovation Limited, which is the sole owner of Panacea Venture Healthcare Fund II GP Company, Ltd. ("Fund II GP") and Panacea Opportunity Fund I GP Company, Ltd. ("Opportunity Fund GP"), which are the general partners of Panacea Venture Healthcare Fund II, L.P. and Panacea Opportunity Fund I, L.P. As a result, each of the Reporting Persons may be deemed to share beneficial ownership of the securities held of record by Panacea Venture Healthcare Fund II, L.P. and Panacea Opportunity Fund I, L.P., but each disclaims such beneficial ownership. Read SEC document |
| November 28, 2025 Filed Dec 1, 2025 22:00 UTC | Atara Biotherapeutics, Inc. ATRA · Entity 6828 | Tax withholdingCommon Stock | 1 | $14.03 | $14.03 |
DisclosureSEC source: 0001193125-25-304018 · ownership.xml · nonDerivative · entry 2 Panacea Innovation Ltd · CIK 0002010692 · 10% owner Huang James · CIK 0001573160 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 48,736 F1 · ownership.nature: Represents securities held by Panacea Opportunity Fund I, L.P. F2 · ownership.nature: James Huang is the sole owner of Panacea Innovation Limited, which is the sole owner of Panacea Venture Healthcare Fund II GP Company, Ltd. ("Fund II GP") and Panacea Opportunity Fund I GP Company, Ltd. ("Opportunity Fund GP"), which are the general partners of Panacea Venture Healthcare Fund II, L.P. and Panacea Opportunity Fund I, L.P. As a result, each of the Reporting Persons may be deemed to share beneficial ownership of the securities held of record by Panacea Venture Healthcare Fund II, L.P. and Panacea Opportunity Fund I, L.P., but each disclaims such beneficial ownership. Read SEC document |
| November 28, 2025 Filed Dec 1, 2025 22:00 UTC | Atara Biotherapeutics, Inc. ATRA · Entity 6828 | Exercise / conversionCommon Stock | 48,737 | $0.00 | $4.87 |
DisclosureSEC source: 0001193125-25-304018 · ownership.xml · nonDerivative · entry 1 Panacea Innovation Ltd · CIK 0002010692 · 10% owner Huang James · CIK 0001573160 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 48,737 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 · ownership.nature: Represents securities held by Panacea Opportunity Fund I, L.P. F2 · ownership.nature: James Huang is the sole owner of Panacea Innovation Limited, which is the sole owner of Panacea Venture Healthcare Fund II GP Company, Ltd. ("Fund II GP") and Panacea Opportunity Fund I GP Company, Ltd. ("Opportunity Fund GP"), which are the general partners of Panacea Venture Healthcare Fund II, L.P. and Panacea Opportunity Fund I, L.P. As a result, each of the Reporting Persons may be deemed to share beneficial ownership of the securities held of record by Panacea Venture Healthcare Fund II, L.P. and Panacea Opportunity Fund I, L.P., but each disclaims such beneficial ownership. Read SEC document |
| August 15, 2025 Filed Aug 20, 2025 00:15 UTC | Atara Biotherapeutics, Inc. ATRA · Entity 6828 | PurchaseCommon Stock | 55,000 | $12.19 | $670,422.50 |
DisclosureSEC source: 0000950170-25-110310 · ownership.xml · nonDerivative · entry 1 Panacea Innovation Ltd · CIK 0002010692 · 10% owner Huang James · CIK 0001573160 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 1,405,000 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions ranging from $11.83 to $12.44, inclusive. The Reporting Person undertake to provide to the Issuer, any securityholder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth above. F2 · ownership.nature: Represents securities held by Panacea Venture Healthcare Fund II, L.P. F3 · ownership.nature: James Huang is the sole owner of Panacea Innovation Limited, which is the sole owner of Panacea Venture Healthcare Fund II GP Company, Ltd. ("Fund II GP") and Panacea Opportunity Fund I GP Company, Ltd. ("Opportunity Fund GP"), which are the general partners of Panacea Venture Healthcare Fund II, L.P. and Panacea Opportunity Fund I, L.P. As a result, each of the Reporting Persons may be deemed to share beneficial ownership of the securities held of record by Panacea Venture Healthcare Fund II, L.P. and Panacea Opportunity Fund I, L.P., but each disclaims such beneficial ownership. Read SEC document |
| July 17, 2025 Filed Jul 21, 2025 13:00 UTC | Atara Biotherapeutics, Inc. ATRA · Entity 6828 | PurchaseCommon Stock | 19,335 | $9.64 | $186,372.00 |
DisclosureSEC source: 0000950170-25-097087 · ownership.xml · nonDerivative · entry 1 Panacea Innovation Ltd · CIK 0002010692 · 10% owner Huang James · CIK 0001573160 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 1,350,000 F1 · ownership.nature: Represents securities held by Panacea Venture Healthcare Fund II, L.P. F2 · ownership.nature: James Huang is the sole owner of Panacea Innovation Limited, which is the sole owner of Panacea Venture Healthcare Fund II GP Company, Ltd. ("Fund II GP") and Panacea Opportunity Fund I GP Company, Ltd. ("Opportunity Fund GP"), which are the general partners of Panacea Venture Healthcare Fund II, L.P. and Panacea Opportunity Fund I, L.P. As a result, each of the Reporting Persons may be deemed to share beneficial ownership of the securities held of record by Panacea Venture Healthcare Fund II, L.P. and Panacea Opportunity Fund I, L.P., but each disclaims such beneficial ownership. Read SEC document |
| June 06, 2023 Filed Jun 8, 2023 21:22 UTC | Alaunos Therapeutics, Inc. TCRT · Entity 8339 | GrantEmployee Stock Option (right to buy) · Derivative | 100,000 | $0.00 Strike: $0.48 | $0.00 |
DisclosureSEC source: 0000899243-23-014916 · doc4.xml · derivative · entry 1 Huang James · CIK 0001573160 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock · 100,000 shares Expires 2033-06-05 F1 · derivative.exercise_date: One-twelfth of the shares underlying the option vest in equal monthly installments measured from June 6, 2023, with the first vesting occurring on July 6, 2023, subject to the Reporting Person's continued service through each such date. Read SEC document |
| May 17, 2023 Filed May 18, 2023 20:05 UTC | Orion Biotech Opportunities Corp. ORIA · Entity 113330 | Disposition to issuerClass B ordinary shares · Derivative | 4,879,999 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001213900-23-041169 · ownership.xml · derivative · entry 1 Orion Sponsor Holdings, LLC · CIK 0001847414 · 10% owner Huang James · CIK 0001573160 · Director · Chief Executive Officer Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1 Underlying: Class A ordinary shares · 4,879,999 shares Expires not disclosed F1 · derivative.exercise_price: On April 21, 2023, the Issuer announced that it will not consummate an initial business combination within the time period required. Pursuant to the Issuer's Amended and Restated Memorandum and Articles of Association (the "Articles") and in connection with the winding up of the Issuer, the Class B ordinary shares, par value $0.0001, held by Orion Sponsor Holdings, LLC (the "Sponsor") were surrendered for no compensation on May 17, 2023. F1 · price: On April 21, 2023, the Issuer announced that it will not consummate an initial business combination within the time period required. Pursuant to the Issuer's Amended and Restated Memorandum and Articles of Association (the "Articles") and in connection with the winding up of the Issuer, the Class B ordinary shares, par value $0.0001, held by Orion Sponsor Holdings, LLC (the "Sponsor") were surrendered for no compensation on May 17, 2023. F1 · derivative.exercise_date: On April 21, 2023, the Issuer announced that it will not consummate an initial business combination within the time period required. Pursuant to the Issuer's Amended and Restated Memorandum and Articles of Association (the "Articles") and in connection with the winding up of the Issuer, the Class B ordinary shares, par value $0.0001, held by Orion Sponsor Holdings, LLC (the "Sponsor") were surrendered for no compensation on May 17, 2023. F1 · derivative.expiration_date: On April 21, 2023, the Issuer announced that it will not consummate an initial business combination within the time period required. Pursuant to the Issuer's Amended and Restated Memorandum and Articles of Association (the "Articles") and in connection with the winding up of the Issuer, the Class B ordinary shares, par value $0.0001, held by Orion Sponsor Holdings, LLC (the "Sponsor") were surrendered for no compensation on May 17, 2023. F2 · ownership.direct: This Form 4 is being filed by the Sponsor. The Class B ordinary shares are held in the name of the Sponsor. The Sponsor is managed by a board of managers comprised of James Huang, John Phelan and Robert Platek, who control the Sponsor. Accordingly, Messrs. Huang, Phelan and Platek have voting and investment discretion with respect to the securities held by the Sponsor, and may be deemed to have beneficial ownership of the securities held directly by the Sponsor. Each of Messrs. Huang, Phelan and Platek disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. Read SEC document |
| February 22, 2023 Filed Feb 23, 2023 21:30 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | GrantWarrants (right to purchase) · Derivative | 2,224,616 | $0.00 Strike: $0.22 | $0.00 |
DisclosureSEC source: 0000899243-23-005992 · doc4.xml · derivative · entry 9 Huang James · CIK 0001573160 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,224,616 Underlying: Common Stock · 2,224,616 shares Expires 2028-08-21 F2 · kind: Pursuant to a warrant exercise inducement offer letter, the Issuer and Panacea Healthcare agreed to amend the outstanding warrants held by Panacea Healthcare to lower the exercise price to $0.1411 and to issue Panacea Healthcare warrants to purchase an additional 2,224,616 shares of Common Stock, in exchange for Panacea Healthcare agreeing to immediately exercise the repriced warrants. F1 · ownership.nature: Represents securities held by Panacea Venture Healthcare Fund I L.P. ("Panacea Healthcare"), over which the reporting person may be deemed to indirectly share beneficial ownership. The reporting person disclaims such beneficial ownership except to the extent of his pecuniary interest therein, if any. Read SEC document |
| February 22, 2023 Filed Feb 23, 2023 21:30 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | OtherWarrants (right to purchase) · Derivative | 1,112,308 | $0.00 Strike: $0.14 | $0.00 |
DisclosureSEC source: 0000899243-23-005992 · doc4.xml · derivative · entry 8 Huang James · CIK 0001573160 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 1,112,308 shares Expires 2023-02-22 F1 · ownership.nature: Represents securities held by Panacea Venture Healthcare Fund I L.P. ("Panacea Healthcare"), over which the reporting person may be deemed to indirectly share beneficial ownership. The reporting person disclaims such beneficial ownership except to the extent of his pecuniary interest therein, if any. Read SEC document |
| February 22, 2023 Filed Feb 23, 2023 21:30 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | GrantWarrants (right to purchase) · Derivative | 1,112,308 | $0.00 Strike: $0.14 | $0.00 |
DisclosureSEC source: 0000899243-23-005992 · doc4.xml · derivative · entry 7 Huang James · CIK 0001573160 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,112,308 Underlying: Common Stock · 1,112,308 shares Expires 2023-02-22 F2 · kind: Pursuant to a warrant exercise inducement offer letter, the Issuer and Panacea Healthcare agreed to amend the outstanding warrants held by Panacea Healthcare to lower the exercise price to $0.1411 and to issue Panacea Healthcare warrants to purchase an additional 2,224,616 shares of Common Stock, in exchange for Panacea Healthcare agreeing to immediately exercise the repriced warrants. F1 · ownership.nature: Represents securities held by Panacea Venture Healthcare Fund I L.P. ("Panacea Healthcare"), over which the reporting person may be deemed to indirectly share beneficial ownership. The reporting person disclaims such beneficial ownership except to the extent of his pecuniary interest therein, if any. Read SEC document |
| February 22, 2023 Filed Feb 23, 2023 21:30 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | Disposition to issuerWarrants (right to purchase) · Derivative | 62,500 | $0.00 Strike: $12.00 | $0.00 |
DisclosureSEC source: 0000899243-23-005992 · doc4.xml · derivative · entry 6 Huang James · CIK 0001573160 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 62,500 shares Expires 2023-07-02 F2 · kind: Pursuant to a warrant exercise inducement offer letter, the Issuer and Panacea Healthcare agreed to amend the outstanding warrants held by Panacea Healthcare to lower the exercise price to $0.1411 and to issue Panacea Healthcare warrants to purchase an additional 2,224,616 shares of Common Stock, in exchange for Panacea Healthcare agreeing to immediately exercise the repriced warrants. F1 · ownership.nature: Represents securities held by Panacea Venture Healthcare Fund I L.P. ("Panacea Healthcare"), over which the reporting person may be deemed to indirectly share beneficial ownership. The reporting person disclaims such beneficial ownership except to the extent of his pecuniary interest therein, if any. Read SEC document |
| February 22, 2023 Filed Feb 23, 2023 21:30 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | Disposition to issuerWarrants (right to purchase) · Derivative | 498,008 | $0.00 Strike: $12.15 | $0.00 |
DisclosureSEC source: 0000899243-23-005992 · doc4.xml · derivative · entry 5 Huang James · CIK 0001573160 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 498,008 shares Expires 2023-12-24 F2 · kind: Pursuant to a warrant exercise inducement offer letter, the Issuer and Panacea Healthcare agreed to amend the outstanding warrants held by Panacea Healthcare to lower the exercise price to $0.1411 and to issue Panacea Healthcare warrants to purchase an additional 2,224,616 shares of Common Stock, in exchange for Panacea Healthcare agreeing to immediately exercise the repriced warrants. F1 · ownership.nature: Represents securities held by Panacea Venture Healthcare Fund I L.P. ("Panacea Healthcare"), over which the reporting person may be deemed to indirectly share beneficial ownership. The reporting person disclaims such beneficial ownership except to the extent of his pecuniary interest therein, if any. Read SEC document |
| February 22, 2023 Filed Feb 23, 2023 21:30 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | Disposition to issuerWarrants (right to purchase) · Derivative | 275,938 | $0.00 Strike: $12.09 | $0.00 |
DisclosureSEC source: 0000899243-23-005992 · doc4.xml · derivative · entry 4 Huang James · CIK 0001573160 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 275,938 shares Expires 2024-12-06 F2 · kind: Pursuant to a warrant exercise inducement offer letter, the Issuer and Panacea Healthcare agreed to amend the outstanding warrants held by Panacea Healthcare to lower the exercise price to $0.1411 and to issue Panacea Healthcare warrants to purchase an additional 2,224,616 shares of Common Stock, in exchange for Panacea Healthcare agreeing to immediately exercise the repriced warrants. F1 · ownership.nature: Represents securities held by Panacea Venture Healthcare Fund I L.P. ("Panacea Healthcare"), over which the reporting person may be deemed to indirectly share beneficial ownership. The reporting person disclaims such beneficial ownership except to the extent of his pecuniary interest therein, if any. Read SEC document |
| February 22, 2023 Filed Feb 23, 2023 21:30 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | Disposition to issuerWarrants (right to purchase) · Derivative | 275,862 | $0.00 Strike: $7.98 | $0.00 |
DisclosureSEC source: 0000899243-23-005992 · doc4.xml · derivative · entry 3 Huang James · CIK 0001573160 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 275,862 shares Expires 2025-05-22 F2 · kind: Pursuant to a warrant exercise inducement offer letter, the Issuer and Panacea Healthcare agreed to amend the outstanding warrants held by Panacea Healthcare to lower the exercise price to $0.1411 and to issue Panacea Healthcare warrants to purchase an additional 2,224,616 shares of Common Stock, in exchange for Panacea Healthcare agreeing to immediately exercise the repriced warrants. F1 · ownership.nature: Represents securities held by Panacea Venture Healthcare Fund I L.P. ("Panacea Healthcare"), over which the reporting person may be deemed to indirectly share beneficial ownership. The reporting person disclaims such beneficial ownership except to the extent of his pecuniary interest therein, if any. Read SEC document |
| February 22, 2023 Filed Feb 23, 2023 21:30 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | OtherCommon Stock | 1,112,308 | $0.14 | $156,946.66 |
DisclosureSEC source: 0000899243-23-005992 · doc4.xml · nonDerivative · entry 1 Huang James · CIK 0001573160 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,449,161 F1 · ownership.nature: Represents securities held by Panacea Venture Healthcare Fund I L.P. ("Panacea Healthcare"), over which the reporting person may be deemed to indirectly share beneficial ownership. The reporting person disclaims such beneficial ownership except to the extent of his pecuniary interest therein, if any. Read SEC document |
| September 08, 2022 Filed Sep 8, 2022 18:51 UTC | CASI Pharmaceuticals, Inc. CASI · Entity 123920 | PurchaseCommon Stock | 33,300 | $4.28 | $142,627.23 |
DisclosureSEC source: 0000899243-22-030690 · doc4.xml · nonDerivative · entry 3 Huang James · CIK 0001573160 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 371,517 F4 · price: The price reported in Column 4 is a weighted-average price. These shares were purchased in multiple transactions at prices ranging from $4.115 to $4.40. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F2 · ownership.nature: Represents securities held by Panacea Opportunity Fund I, L.P., over which the reporting person may be deemed to indirectly share beneficial ownership. The reporting person disclaims such beneficial ownership except to the extent of his pecuniary interest therein, if any. Read SEC document |
| September 07, 2022 Filed Sep 8, 2022 18:51 UTC | CASI Pharmaceuticals, Inc. CASI · Entity 123920 | PurchaseCommon Stock | 3,111 | $4.00 | $12,433.11 |
DisclosureSEC source: 0000899243-22-030690 · doc4.xml · nonDerivative · entry 2 Huang James · CIK 0001573160 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 338,217 F3 · price: The price reported in Column 4 is a weighted-average price. These shares were purchased in multiple transactions at prices ranging from $3.9401 to $4.00. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F2 · ownership.nature: Represents securities held by Panacea Opportunity Fund I, L.P., over which the reporting person may be deemed to indirectly share beneficial ownership. The reporting person disclaims such beneficial ownership except to the extent of his pecuniary interest therein, if any. Read SEC document |
| September 06, 2022 Filed Sep 8, 2022 18:51 UTC | CASI Pharmaceuticals, Inc. CASI · Entity 123920 | PurchaseCommon Stock | 19,162 | $3.89 | $74,601.50 |
DisclosureSEC source: 0000899243-22-030690 · doc4.xml · nonDerivative · entry 1 Huang James · CIK 0001573160 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 335,106 F1 · price: The price reported in Column 4 is a weighted-average price. These shares were purchased in multiple transactions at prices ranging from $3.80 to $4.00. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F2 · ownership.nature: Represents securities held by Panacea Opportunity Fund I, L.P., over which the reporting person may be deemed to indirectly share beneficial ownership. The reporting person disclaims such beneficial ownership except to the extent of his pecuniary interest therein, if any. Read SEC document |
| September 02, 2022 Filed Sep 2, 2022 19:35 UTC | CASI Pharmaceuticals, Inc. CASI · Entity 123920 | PurchaseCommon Stock | 400 | $3.74 | $1,496.52 |
DisclosureSEC source: 0000899243-22-030336 · doc4.xml · nonDerivative · entry 3 Huang James · CIK 0001573160 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 315,944 F2 · ownership.nature: Represents securities held by Panacea Opportunity Fund I, L.P., over which the reporting person may be deemed to indirectly share beneficial ownership. The reporting person disclaims such beneficial ownership except to the extent of his pecuniary interest therein, if any. Read SEC document |
| September 01, 2022 Filed Sep 2, 2022 19:35 UTC | CASI Pharmaceuticals, Inc. CASI · Entity 123920 | PurchaseCommon Stock | 11,821 | $3.72 | $44,008.40 |
DisclosureSEC source: 0000899243-22-030336 · doc4.xml · nonDerivative · entry 2 Huang James · CIK 0001573160 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 315,544 F3 · price: The price reported in Column 4 is a weighted-average price. These shares were purchased in multiple transactions at prices ranging from $3.71 to $3.75. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F2 · ownership.nature: Represents securities held by Panacea Opportunity Fund I, L.P., over which the reporting person may be deemed to indirectly share beneficial ownership. The reporting person disclaims such beneficial ownership except to the extent of his pecuniary interest therein, if any. Read SEC document |
| August 31, 2022 Filed Sep 2, 2022 19:35 UTC | CASI Pharmaceuticals, Inc. CASI · Entity 123920 | PurchaseCommon Stock | 24,975 | $3.75 | $93,531.38 |
DisclosureSEC source: 0000899243-22-030336 · doc4.xml · nonDerivative · entry 1 Huang James · CIK 0001573160 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 303,723 F1 · price: The price reported in Column 4 is a weighted-average price. These shares were purchased in multiple transactions at prices ranging from $3.69 to $3.75. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F2 · ownership.nature: Represents securities held by Panacea Opportunity Fund I, L.P., over which the reporting person may be deemed to indirectly share beneficial ownership. The reporting person disclaims such beneficial ownership except to the extent of his pecuniary interest therein, if any. Read SEC document |
| August 26, 2022 Filed Aug 26, 2022 20:48 UTC | CASI Pharmaceuticals, Inc. CASI · Entity 123920 | PurchaseCommon Stock | 39,527 | $3.75 | $148,178.82 |
DisclosureSEC source: 0000899243-22-029897 · doc4.xml · nonDerivative · entry 2 Huang James · CIK 0001573160 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 278,748 F2 · price: The price reported in Column 4 is a weighted-average price. These shares were purchased in multiple transactions at prices ranging from $3.70 to $3.75. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F1 · ownership.nature: Represents securities held by Panacea Opportunity Fund I, L.P., over which the reporting person may be deemed to indirectly share beneficial ownership. The reporting person disclaims such beneficial ownership except to the extent of his pecuniary interest therein, if any. Read SEC document |
| August 24, 2022 Filed Aug 26, 2022 20:48 UTC | CASI Pharmaceuticals, Inc. CASI · Entity 123920 | PurchaseCommon Stock | 5,000 | $3.75 | $18,751.00 |
DisclosureSEC source: 0000899243-22-029897 · doc4.xml · nonDerivative · entry 1 Huang James · CIK 0001573160 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 239,221 F1 · ownership.nature: Represents securities held by Panacea Opportunity Fund I, L.P., over which the reporting person may be deemed to indirectly share beneficial ownership. The reporting person disclaims such beneficial ownership except to the extent of his pecuniary interest therein, if any. Read SEC document |
| August 23, 2022 Filed Aug 23, 2022 20:19 UTC | CASI Pharmaceuticals, Inc. CASI · Entity 123920 | PurchaseCommon Stock | 40,000 | $3.50 | $139,992.00 |
DisclosureSEC source: 0000899243-22-029564 · doc4.xml · nonDerivative · entry 3 Huang James · CIK 0001573160 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 234,221 F4 · price: The price reported in Column 4 is a weighted-average price. These shares were purchased in multiple transactions at prices ranging from $3.46 to $3.50. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F2 · ownership.nature: Represents securities held by Panacea Opportunity Fund I, L.P., over which the reporting person may be deemed to indirectly share beneficial ownership. The reporting person disclaims such beneficial ownership except to the extent of his pecuniary interest therein, if any. Read SEC document |
| August 22, 2022 Filed Aug 23, 2022 20:19 UTC | CASI Pharmaceuticals, Inc. CASI · Entity 123920 | PurchaseCommon Stock | 23,105 | $3.46 | $80,038.03 |
DisclosureSEC source: 0000899243-22-029564 · doc4.xml · nonDerivative · entry 2 Huang James · CIK 0001573160 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 194,221 F3 · price: The price reported in Column 4 is a weighted-average price. These shares were purchased in multiple transactions at prices ranging from $3.24 to $3.50. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F2 · ownership.nature: Represents securities held by Panacea Opportunity Fund I, L.P., over which the reporting person may be deemed to indirectly share beneficial ownership. The reporting person disclaims such beneficial ownership except to the extent of his pecuniary interest therein, if any. Read SEC document |
| August 19, 2022 Filed Aug 23, 2022 20:19 UTC | CASI Pharmaceuticals, Inc. CASI · Entity 123920 | PurchaseCommon Stock | 171,116 | $3.27 | $559,446.65 |
DisclosureSEC source: 0000899243-22-029564 · doc4.xml · nonDerivative · entry 1 Huang James · CIK 0001573160 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 171,116 F1 · price: The price reported in Column 4 is a weighted-average price. These shares were purchased in multiple transactions at prices ranging from $3.075 to $3.50. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F2 · ownership.nature: Represents securities held by Panacea Opportunity Fund I, L.P., over which the reporting person may be deemed to indirectly share beneficial ownership. The reporting person disclaims such beneficial ownership except to the extent of his pecuniary interest therein, if any. Read SEC document |
| June 22, 2022 Filed Jun 24, 2022 20:35 UTC | Alaunos Therapeutics, Inc. TCRT · Entity 8339 | GrantEmployee Stock Option (right to buy) · Derivative | 100,000 | $0.00 Strike: $0.82 | $0.00 |
DisclosureSEC source: 0000899243-22-024006 · doc4.xml · derivative · entry 2 Huang James · CIK 0001573160 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock · 100,000 shares Expires 2032-06-21 F1 · derivative.exercise_date: The option vests in twelve equal monthly installments beginning on July 13, 2022. Read SEC document |
| June 22, 2022 Filed Jun 24, 2022 20:35 UTC | Alaunos Therapeutics, Inc. TCRT · Entity 8339 | GrantCommon Stock | 80,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-22-024006 · doc4.xml · nonDerivative · entry 1 Huang James · CIK 0001573160 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 188,333 Read SEC document |
| June 22, 2022 Filed Jun 24, 2022 20:31 UTC | Alaunos Therapeutics, Inc. TCRT · Entity 8339 | GrantEmployee Stock Option (right to buy) · Derivative | 100,000 | $0.00 Strike: $0.82 | $0.00 |
DisclosureSEC source: 0000899243-22-023988 · doc4.xml · derivative · entry 2 Huang James · CIK 0001573160 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock · 100,000 shares Expires 2032-06-21 F1 · derivative.exercise_date: The option vests in twelve equal monthly installments beginning on July 13, 2022. Read SEC document |
| June 22, 2022 Filed Jun 24, 2022 20:31 UTC | Alaunos Therapeutics, Inc. TCRT · Entity 8339 | GrantCommon Stock | 80,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-22-023988 · doc4.xml · nonDerivative · entry 1 Huang James · CIK 0001573160 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 188,333 Read SEC document |
| June 07, 2022 Filed Jun 10, 2022 00:16 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | GrantStock Option (Right to Buy) · Derivative | 7,500 | $0.00 Strike: $0.47 | $0.00 |
DisclosureSEC source: 0001437749-22-014716 · rdgdoc.xml · derivative · entry 3 Huang James · CIK 0001573160 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,500 Underlying: Common Stock · 7,500 shares Expires 2032-06-07 F3 · derivative.exercise_date: The stock option shall vest upon the earlier of (a) the one-year anniversary of the date of grant and (b) Windtree's subsequent annual meeting of stockholders, provided that the reporting person remains in continuous service through the vesting date. Read SEC document |
| June 07, 2022 Filed Jun 10, 2022 00:16 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | GrantCommon Stock | 5,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-22-014716 · rdgdoc.xml · nonDerivative · entry 1 Huang James · CIK 0001573160 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 296,281 F1 · shares: These shares represent restricted stock units (RSUs), which represent a contingent right to receive the equivalent number of shares of common stock. These RSUs shall vest upon the earlier of (a) the one-year anniversary of the date of grant and (b) Windtree's subsequent annual meeting of stockholders, provided that the reporting person remains in continuous service through the vesting date. Read SEC document |
| May 25, 2022 Filed May 26, 2022 16:23 UTC | CASI Pharmaceuticals, Inc. CASI · Entity 123920 | GrantStock Option (Right to Buy) · Derivative | 397,419 | $0.00 Strike: $0.47 | $0.00 |
DisclosureSEC source: 0001104659-22-065283 · tm2214966d1_4seq1.xml · derivative · entry 1 Huang James · CIK 0001573160 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 397,419 Underlying: Common Stock · 397,419 shares Expires 2032-05-25 F1 · derivative.exercise_date: Stock option award will vest ratably quarterly to the end of the year. Read SEC document |
| October 19, 2021 Filed Oct 19, 2021 20:56 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | PurchaseCommon Stock | 50,000 | $1.90 | $95,135.00 |
DisclosureSEC source: 0001437749-21-023912 · rdgdoc.xml · nonDerivative · entry 1 Huang James · CIK 0001573160 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 291,281 F1 · price: The shares were purchased in multiple trades at prices ranging from $1.84 to $1.93. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| September 01, 2021 Filed Sep 3, 2021 21:21 UTC | Alaunos Therapeutics, Inc. ZIOP · Entity 8339 | PurchaseCommon Stock | 100,000 | $1.71 | $171,000.00 |
DisclosureSEC source: 0001209191-21-054824 · doc4.xml · nonDerivative · entry 1 Huang James · CIK 0001573160 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 108,333 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.69 to $1.71 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. Read SEC document |
| June 15, 2021 Filed Jun 16, 2021 16:01 UTC | CASI Pharmaceuticals, Inc. CASI · Entity 123920 | GrantStock Option (Right to Buy) · Derivative | 113,028 | $0.00 Strike: $1.65 | $0.00 |
DisclosureSEC source: 0001104659-21-081985 · tm2119809d2_4.xml · derivative · entry 1 Huang James · CIK 0001573160 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 113,028 Underlying: Common Stock · 113,028 shares Expires 2031-06-15 F1 · date: Stock option award will vest ratably quarterly to the end of the year. F1 · derivative.exercise_date: Stock option award will vest ratably quarterly to the end of the year. Read SEC document |
| June 15, 2021 Filed Jun 18, 2021 00:03 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | GrantStock Option (Right to Buy) · Derivative | 15,000 | $0.00 Strike: $2.28 | $0.00 |
DisclosureSEC source: 0001437749-21-015119 · rdgdoc.xml · derivative · entry 3 Huang James · CIK 0001573160 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2031-06-15 F3 · derivative.exercise_date: The stock option shall vest in three equal annual installments beginning on the first anniversary of the grant date. Read SEC document |
| March 31, 2021 Filed Apr 2, 2021 21:13 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | PurchaseCommon Stock | 150,000 | $2.36 | $354,000.00 |
DisclosureSEC source: 0001437749-21-008134 · rdgdoc.xml · nonDerivative · entry 1 Huang James · CIK 0001573160 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 171,000 F1 · price: The shares were purchased in multiple trades at prices ranging from $2.275 to $2.40. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| March 04, 2021 Filed May 6, 2021 23:22 UTC | Alaunos Therapeutics, Inc. ZIOP · Entity 8339 | GrantStock Option (right to buy) · Derivative | 62,500 | $0.00 Strike: $4.31 | $0.00 |
DisclosureSEC source: 0001209191-21-030740 · doc4.xml · derivative · entry 2 Huang James · CIK 0001573160 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,500 Underlying: Common Stock · 62,500 shares Expires 2031-03-03 F2 · derivative.exercise_date: 1/3rd of the shares underlying this option will vest on 4/4/2021, 5/4/2021 and 5/19/2021. Read SEC document |
| March 04, 2021 Filed May 6, 2021 23:22 UTC | Alaunos Therapeutics, Inc. ZIOP · Entity 8339 | GrantCommon Stock | 8,333 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-030740 · doc4.xml · nonDerivative · entry 1 Huang James · CIK 0001573160 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,333 F1 · shares: The shares will vest on 5/19/2021. Read SEC document |
| February 03, 2021 Filed Feb 6, 2021 02:13 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | GrantStock Option (Right to Buy) · Derivative | 15,000 | $0.00 Strike: $5.50 | $0.00 |
DisclosureSEC source: 0001437749-21-002148 · rdgdoc.xml · derivative · entry 4 Huang James · CIK 0001573160 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2031-02-03 F3 · derivative.exercise_date: The stock options shall vest as follows: 1/3 vested immediately on the grant date, 1/3 shall vest on the first anniversary of the grant date and 1/3 shall vest on the second anniversary of the grant date. Read SEC document |
| October 23, 2020 Filed Oct 27, 2020 10:02 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | PurchaseCommon Stock | 1,000 | $6.67 | $6,666.00 |
DisclosureSEC source: 0001437749-20-021666 · rdgdoc.xml · nonDerivative · entry 1 Huang James · CIK 0001573160 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,000 F1 · price: The shares were purchased in multiple trades at prices ranging from $6.66 to $6.67. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| July 20, 2020 Filed Jul 22, 2020 21:03 UTC | Alaunos Therapeutics, Inc. ZIOP · Entity 8339 | GrantStock Option (right to buy) · Derivative | 119,178 | $0.00 Strike: $3.43 | $0.00 |
DisclosureSEC source: 0001209191-20-043323 · doc4.xml · derivative · entry 1 Huang James · CIK 0001573160 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 119,178 Underlying: Common Stock · 119,178 shares Expires 2030-07-20 F1 · derivative.exercise_date: The shares underlying this option will vest on July 20, 2022. 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.