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 |
|---|---|---|---|---|---|---|
| June 16, 2020 Filed Jun 18, 2020 06:05 UTC | CASI Pharmaceuticals, Inc. CASI · Entity 123920 | GrantStock Option (Right to Buy) · Derivative | 70,400 | $0.00 Strike: $2.63 | $0.00 |
DisclosureSEC source: 0001104659-20-074356 · tm2022841d4_form4.xml · derivative · entry 1 Huang James · CIK 0001573160 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,400 Underlying: Common Stock · 70,400 shares Expires 2030-06-16 F1 · derivative.exercise_date: Stock option award will vest ratably quarterly to the end of the year. Read SEC document |
| June 04, 2020 Filed Jun 6, 2020 00:36 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | PurchaseCommon Stock | 12,200 | $7.32 | $89,332.06 |
DisclosureSEC source: 0001437749-20-012549 · rdgdoc.xml · nonDerivative · entry 2 Huang James · CIK 0001573160 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,200 F1 · price: The shares were purchased in multiple trades at prices ranging from $7.09 to $7.58. 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 |
| June 04, 2020 Filed Oct 26, 2020 22:26 UTC Amendment | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | PurchaseCommon Stock | 12,000 | $7.32 | $87,867.60 |
DisclosureSEC source: 0001437749-20-021655 · rdgdoc.xml · nonDerivative · entry 1 Huang James · CIK 0001573160 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 F1 · price: The shares were purchased in multiple trades at prices ranging from $7.09 to $7.58. 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 |
| June 03, 2020 Filed Jun 6, 2020 00:36 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | PurchaseCommon Stock | 200 | $7.42 | $1,483.98 |
DisclosureSEC source: 0001437749-20-012549 · rdgdoc.xml · nonDerivative · entry 1 Huang James · CIK 0001573160 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,000 Read SEC document |
| May 22, 2020 Filed May 28, 2020 01:37 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | PurchaseCommon Stock Warrants · Derivative | 275,862 | $0.00 Strike: $7.98 | $0.00 |
DisclosureSEC source: 0001437749-20-011868 · rdgdoc.xml · derivative · entry 4 Huang James · CIK 0001573160 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Via Panacea Venture Healthcare Fund I L.P. Disclosed balance after: 275,862 Underlying: Common Stock · 275,862 shares Expires 2025-05-22 F4 · balance_after: Issued in connection with the purchase of shares of common stock on May 22, 2020 as reported above. Read SEC document |
| May 22, 2020 Filed May 28, 2020 01:37 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | PurchaseCommon Stock | 275,862 | $7.25 | $1,999,999.50 |
DisclosureSEC source: 0001437749-20-011868 · rdgdoc.xml · nonDerivative · entry 1 Huang James · CIK 0001573160 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Via Panacea Venture Healthcare Fund I L.P. Disclosed balance after: 2,336,853 F1 · balance_after: Adjusted to reflect 1-for-3 reverse stock split effective April 29, 2020. F2 · ownership.nature: The Reporting Person is a Director of Panacea Venture Healthcare Fund GP I L.P. The Reporting Person disclaims beneficial ownership of the shares held by Panacea Venture Healthcare Fund I L.P., except to the extent of his pecuniary interest therein. Read SEC document |
| February 18, 2020 Filed Feb 20, 2020 21:21 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | PurchaseCommon Stock | 400 | $3.84 | $1,535.00 |
DisclosureSEC source: 0001437749-20-003165 · rdgdoc.xml · nonDerivative · entry 1 Huang James · CIK 0001573160 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,400 F1 · price: The shares were purchased in multiple trades at prices ranging from $3.75 to $4.10. 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 |
| February 07, 2020 Filed Feb 7, 2020 22:11 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | PurchaseCommon Stock | 500 | $4.05 | $2,025.00 |
DisclosureSEC source: 0001437749-20-002069 · rdgdoc.xml · nonDerivative · entry 1 Huang James · CIK 0001573160 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,000 Read SEC document |
| January 17, 2020 Filed Jan 22, 2020 01:52 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | PurchaseCommon Stock | 2,000 | $4.18 | $8,365.80 |
DisclosureSEC source: 0001437749-20-000944 · rdgdoc.xml · nonDerivative · entry 2 Huang James · CIK 0001573160 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,500 F1 · price: The shares were purchased in multiple trades at prices ranging from $4.10 to $4.19. 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 |
| January 16, 2020 Filed Jan 22, 2020 01:52 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | PurchaseCommon Stock | 58 | $4.20 | $243.60 |
DisclosureSEC source: 0001437749-20-000944 · rdgdoc.xml · nonDerivative · entry 1 Huang James · CIK 0001573160 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,500 Read SEC document |
| December 31, 2019 Filed Jan 3, 2020 21:41 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | PurchaseCommon Stock | 15,442 | $4.05 | $62,524.66 |
DisclosureSEC source: 0001437749-20-000169 · rdgdoc.xml · nonDerivative · entry 1 Huang James · CIK 0001573160 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,442 F1 · price: The shares were purchased in multiple trades at prices ranging from $3.81 to $4.99. 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 |
| December 30, 2019 Filed Dec 31, 2019 21:08 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | PurchaseCommon Stock | 909 | $3.81 | $3,463.29 |
DisclosureSEC source: 0001437749-19-025048 · rdgdoc.xml · nonDerivative · entry 2 Huang James · CIK 0001573160 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,000 Read SEC document |
| December 27, 2019 Filed Dec 31, 2019 21:08 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | PurchaseCommon Stock | 4,091 | $3.73 | $15,260.66 |
DisclosureSEC source: 0001437749-19-025048 · rdgdoc.xml · nonDerivative · entry 1 Huang James · CIK 0001573160 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,091 F1 · price: The shares were purchased in multiple trades at prices ranging from $3.55 to $4.00. 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 |
| December 06, 2019 Filed Dec 10, 2019 21:36 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | PurchaseSeries I Warrants · Derivative | 827,815 | $0.00 Strike: $4.03 | $0.00 |
DisclosureSEC source: 0001437749-19-024141 · rdgdoc.xml · derivative · entry 3 Huang James · CIK 0001573160 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Via Panacea Venture Healthcare Fund I L.P Disclosed balance after: 827,815 Underlying: Common Stock · 827,815 shares Expires 2024-12-06 F3 · price: Issued in connection with the purchase of shares of common stock on December 6, 2019 as reported above. F1 · ownership.nature: The Reporting Person is Director of Panacea Venture Healthcare Fund GP I L.P. The Reporting Person disclaims beneficial ownership of the shares held by Panacea Venture Healthcare Fund I L.P., except to the extent of his pecuniary interest therein. Read SEC document |
| December 06, 2019 Filed Dec 10, 2019 21:36 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | GrantCommon Stock | 96,429 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-19-024141 · rdgdoc.xml · nonDerivative · entry 2 Huang James · CIK 0001573160 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Via Rui Jin (HK) Consulting Management Company Limited Disclosed balance after: 210,844 F2 · kind: Issued in connection with a Placement Agency Agreement for the Company's offering of common stock and warrants on December 6, 2019. The Reporting Person is a Director of Rui Jin (HK) Consulting Management Company Limited. F2 · price: Issued in connection with a Placement Agency Agreement for the Company's offering of common stock and warrants on December 6, 2019. The Reporting Person is a Director of Rui Jin (HK) Consulting Management Company Limited. Read SEC document |
| December 06, 2019 Filed Dec 10, 2019 21:36 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | PurchaseCommon Stock | 1,655,629 | $3.02 | $4,999,999.58 |
DisclosureSEC source: 0001437749-19-024141 · rdgdoc.xml · nonDerivative · entry 1 Huang James · CIK 0001573160 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Via Panacea Venture Healthcare Fund I L.P. Disclosed balance after: 6,182,974 F1 · ownership.nature: The Reporting Person is Director of Panacea Venture Healthcare Fund GP I L.P. The Reporting Person disclaims beneficial ownership of the shares held by Panacea Venture Healthcare Fund I L.P., except to the extent of his pecuniary interest therein. Read SEC document |
| June 20, 2019 Filed Jun 21, 2019 17:01 UTC | CASI Pharmaceuticals, Inc. CASI · Entity 123920 | GrantStock Option (Right to Buy) · Derivative | 59,231 | $0.00 Strike: $3.13 | $0.00 |
DisclosureSEC source: 0001144204-19-031916 · tv524054_4.xml · derivative · entry 1 Huang James · CIK 0001573160 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,231 Underlying: Common Stock · 59,231 shares Expires 2029-06-20 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 |
| April 24, 2019 Filed Apr 26, 2019 21:35 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | GrantNon-Qualified Stock Option (Right to Buy) · Derivative | 60,000 | $0.00 Strike: $4.32 | $0.00 |
DisclosureSEC source: 0001437749-19-008084 · rdgdoc.xml · derivative · entry 3 Huang James · CIK 0001573160 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,000 Underlying: Common Stock · 60,000 shares Expires 2029-04-24 F2 · derivative.exercise_date: This stock option shall vest in a series of three successive, equal installments measured from the date of Mr. Huang's appointment to the Board of Directors on December 21, 2018. Read SEC document |
| June 29, 2018 Filed Jul 3, 2018 15:38 UTC | CASI Pharmaceuticals, Inc. CASI · Entity 123920 | GrantStock Options (Right to Buy) · Derivative | 50,000 | $0.00 Strike: $8.23 | $0.00 |
DisclosureSEC source: 0001144204-18-037214 · tv497981_4.xml · derivative · entry 1 Huang James · CIK 0001573160 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Stock · 50,000 shares Expires 2028-06-29 F1 · date: Stock option award will vest ratably quarterly to the end of one year. F1 · derivative.exercise_date: Stock option award will vest ratably quarterly to the end of one year. Read SEC document |
| April 04, 2018 Filed Apr 6, 2018 17:33 UTC | CASI Pharmaceuticals, Inc. CASI · Entity 123920 | OtherCommon Stock | 191 | $0.00 | $0.00 |
DisclosureSEC source: 0001144204-18-019667 · tv490551_4.xml · nonDerivative · entry 2 Huang James · CIK 0001573160 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 191 F1 · kind: Like-kind distribution of shares by KPCB China Fund II, LP ("KPCB") to its limited partners. The general partner of KPCB is KPCB China Associates II, L.P. ("Associates "). The general partner of Associates is KPCB China Holdings II, Ltd., of which the Reporting Person is a director. The Reporting Person received 191 shares as a result of his interest in KPCB. Read SEC document |
| April 04, 2018 Filed Apr 6, 2018 17:33 UTC | CASI Pharmaceuticals, Inc. CASI · Entity 123920 | OtherCommon Stock | 416,666 | $0.00 | $0.00 |
DisclosureSEC source: 0001144204-18-019667 · tv490551_4.xml · nonDerivative · entry 1 Huang James · CIK 0001573160 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 F1 · kind: Like-kind distribution of shares by KPCB China Fund II, LP ("KPCB") to its limited partners. The general partner of KPCB is KPCB China Associates II, L.P. ("Associates "). The general partner of Associates is KPCB China Holdings II, Ltd., of which the Reporting Person is a director. The Reporting Person received 191 shares as a result of his interest in KPCB. F1 · ownership.nature: Like-kind distribution of shares by KPCB China Fund II, LP ("KPCB") to its limited partners. The general partner of KPCB is KPCB China Associates II, L.P. ("Associates "). The general partner of Associates is KPCB China Holdings II, Ltd., of which the Reporting Person is a director. The Reporting Person received 191 shares as a result of his interest in KPCB. Read SEC document |
| June 08, 2017 Filed Jun 9, 2017 17:05 UTC | CASI Pharmaceuticals, Inc. CASI · Entity 123920 | GrantStock Options (Right to Buy) · Derivative | 50,000 | $0.00 Strike: $1.01 | $0.00 |
DisclosureSEC source: 0001144204-17-031982 · v468783_4.xml · derivative · entry 1 Huang James · CIK 0001573160 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Stock · 50,000 shares Expires 2027-06-08 F1 · derivative.exercise_date: Stock option award will vest ratably quarterly to the end of one year. 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.