Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Statera Biopharma, Inc.CBLI · Entity 128906 | Director · President and CEO | July 27, 2021 | August 04, 2021 |
| Valion Bio, Inc.VBIO · Entity 8459 | Director · Chief Executive Officer | May 18, 2026 | May 20, 2026 |
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.
Statera Biopharma, Inc.
Report date July 27, 2021 · Filed August 04, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.005 per shareSEC Table I · non-derivative | Direct | 296,609 |
Reported balance
After 2021-07-27 transaction · row 1
1 source rowRow 1 · 2021-07-27 · Grant · Acquired 296,609 · Balance 296,609 F1: Shares received pursuant to an Agreement and Plan of Merger ("merger agreement"), entered into by Cytocom Inc. ("Old Cytocom") and Cleveland BioLabs, Inc ("New Cytocom" or "Issuer"). Per the "merger agreement", each share of Old Cytocom (i) common stock, (ii) preferred stock that was not converted into Old Cytocom common stock immediately prior to the effective time of the Merger, and (iii) each vested restricted stock unit of Old Cytocom (excluding, in each case, dissenting shares and shares held in treasury) converted into the right to receive a number of shares of New Cytocom common stock based on an exchange formula set forth in the merger agreement (which we refer to as the "merger consideration"). |
Filing footnotes · ownership attribution and instrument terms
F1: Shares received pursuant to an Agreement and Plan of Merger ("merger agreement"), entered into by Cytocom Inc. ("Old Cytocom") and Cleveland BioLabs, Inc ("New Cytocom" or "Issuer"). Per the "merger agreement", each share of Old Cytocom (i) common stock, (ii) preferred stock that was not converted into Old Cytocom common stock immediately prior to the effective time of the Merger, and (iii) each vested restricted stock unit of Old Cytocom (excluding, in each case, dissenting shares and shares held in treasury) converted into the right to receive a number of shares of New Cytocom common stock based on an exchange formula set forth in the merger agreement (which we refer to as the "merger consideration").
Valion Bio, Inc.
Report date May 18, 2026 · Filed May 20, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 11,030 |
Reported balance
After 2026-05-18 transaction · row 1
1 source rowRow 1 · 2026-05-18 · Exercise / conversion · Acquired 2,206 · Balance 11,030 F1: Each Restricted Stock Unit is convertible into one share of common stock. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 24,265 |
Reported balance
After 2026-05-18 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2026-05-18 · Exercise / conversion · Disposed 2,206 · Balance 24,265 F1: Each Restricted Stock Unit is convertible into one share of common stock. F2: Twenty percent (25%) of the grant of 35,294 Restricted Stock Units vested upon the one (1) year anniversary of the Vesting Commencement Date, and the balance of the Restricted Stock Units will be vested in a series of twelve (12) successive equal quarterly installments measured from the first anniversary of the Vesting Commencement Date such that one hundred percent (100%) of the Restricted Stock Units shall have vested on the fourth anniversary of the Vesting Commencement Date. |
Filing footnotes · ownership attribution and instrument terms
F1: Each Restricted Stock Unit is convertible into one share of common stock.
F2: Twenty percent (25%) of the grant of 35,294 Restricted Stock Units vested upon the one (1) year anniversary of the Vesting Commencement Date, and the balance of the Restricted Stock Units will be vested in a series of twelve (12) successive equal quarterly installments measured from the first anniversary of the Vesting Commencement Date such that one hundred percent (100%) of the Restricted Stock Units shall have vested on the fourth anniversary of the Vesting Commencement Date.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| May 18, 2026 Filed May 20, 2026 23:51 UTC | Valion Bio, Inc. VBIO · Entity 8459 | Exercise / conversionRestricted Stock Units · Derivative | 2,206 | $0.00 | $0.00 |
DisclosureSEC source: 0001683168-26-004192 · ownership.xml · derivative · entry 2 Handley Michael K · CIK 0001451334 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 24,265 Underlying: Common Stock · 2,206 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. F1 · derivative.exercise_price: Each Restricted Stock Unit is convertible into one share of common stock. F2 · derivative.exercise_date: Twenty percent (25%) of the grant of 35,294 Restricted Stock Units vested upon the one (1) year anniversary of the Vesting Commencement Date, and the balance of the Restricted Stock Units will be vested in a series of twelve (12) successive equal quarterly installments measured from the first anniversary of the Vesting Commencement Date such that one hundred percent (100%) of the Restricted Stock Units shall have vested on the fourth anniversary of the Vesting Commencement Date. F2 · derivative.expiration_date: Twenty percent (25%) of the grant of 35,294 Restricted Stock Units vested upon the one (1) year anniversary of the Vesting Commencement Date, and the balance of the Restricted Stock Units will be vested in a series of twelve (12) successive equal quarterly installments measured from the first anniversary of the Vesting Commencement Date such that one hundred percent (100%) of the Restricted Stock Units shall have vested on the fourth anniversary of the Vesting Commencement Date. Read SEC document |
| May 18, 2026 Filed May 20, 2026 23:51 UTC | Valion Bio, Inc. VBIO · Entity 8459 | Exercise / conversionCommon Stock | 2,206 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001683168-26-004192 · ownership.xml · nonDerivative · entry 1 Handley Michael K · CIK 0001451334 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 11,030 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 · price: Each Restricted Stock Unit is convertible into one share of common stock. Read SEC document |
| February 18, 2026 Filed Feb 20, 2026 21:19 UTC | Valion Bio, Inc. TIVC · Entity 8459 | Exercise / conversionRestricted Stock Units · Derivative | 8,824 | $0.00 | $0.00 |
DisclosureSEC source: 0001683168-26-001220 · ownership.xml · derivative · entry 2 Handley Michael K · CIK 0001451334 · Chief Operating Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 26,471 Underlying: Common Stock · 26,471 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. F1 · derivative.exercise_price: Each Restricted Stock Unit is convertible into one share of Common Stock. F2 · derivative.exercise_date: Twenty percent (25%) of the Restricted Stock Units will vest upon the one (1) year anniversary of the Vesting Commencement Date, and the balance of the Restricted Stock Units will be vested in a series of twelve (12) successive equal quarterly installments measured from the first anniversary of the Vesting Commencement Date such that one hundred percent (100%) of the Restricted Stock Units shall have vested on the fourth anniversary of the Vesting Commencement Date. F2 · derivative.expiration_date: Twenty percent (25%) of the Restricted Stock Units will vest upon the one (1) year anniversary of the Vesting Commencement Date, and the balance of the Restricted Stock Units will be vested in a series of twelve (12) successive equal quarterly installments measured from the first anniversary of the Vesting Commencement Date such that one hundred percent (100%) of the Restricted Stock Units shall have vested on the fourth anniversary of the Vesting Commencement Date. Read SEC document |
| February 18, 2026 Filed Feb 20, 2026 21:19 UTC | Valion Bio, Inc. TIVC · Entity 8459 | Exercise / conversionCommon Stock | 8,824 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001683168-26-001220 · ownership.xml · nonDerivative · entry 1 Handley Michael K · CIK 0001451334 · Chief Operating Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 8,824 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 · price: Each Restricted Stock Unit is convertible into one share of Common Stock. Read SEC document |
| August 06, 2025 Filed Aug 8, 2025 22:45 UTC | Valion Bio, Inc. TIVC · Entity 8459 | GrantEmployee Stock Option (Right to Purchase) · Derivative | 45,000 | $0.00 Strike: $3.32 | $0.00 |
DisclosureSEC source: 0001683168-25-005834 · ownership.xml · derivative · entry 1 Handley Michael K · CIK 0001451334 · Chief Operating Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 45,000 Underlying: Common Stock · 45,000 shares Expires 2035-08-05 F1 · derivative.exercise_date: The stock option vests as follows: (i) 50% upon the first anniversary of the grant date, and (ii) the remaining 50% in a series of twelve (12) successive equal quarterly installments, rounded downward to the nearest whole share, measured from the first anniversary of the grant date, such that 100% of the stock option will be vested upon the fourth anniversary of the grant date. Read SEC document |
| August 06, 2025 Filed Aug 23, 2025 00:00 UTC Amendment | Valion Bio, Inc. TIVC · Entity 8459 | GrantEmployee Stock Option (Right to Purchase) · Derivative | 45,000 | $0.00 Strike: $3.32 | $0.00 |
DisclosureSEC source: 0001683168-25-006429 · ownership.xml · derivative · entry 1 Handley Michael K · CIK 0001451334 · Chief Operating Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 45,000 Underlying: Common Stock · 45,000 shares Expires 2035-08-05 F1 · derivative.exercise_date: This Amendment No. 1 ("Form 4/A") to the Form 4 filed by the reporting person on August 8, 2025 (the "Original Form 4") is being filed to correct an administrative error, resulting in the incorrect vesting schedule for the stock option being included in the Original Form 4. As reflected in this Form 4/A, the stock option vests as follows: (i) 25% upon the first anniversary of the grant date, and (ii) the remaining 75% in a series of twelve (12) successive equal quarterly installments, rounded downward to the nearest whole share, measured from the first anniversary of the grant date, such that 100% of the stock option will be vested upon the fourth anniversary of the grant date. Read SEC document |
| February 21, 2025 Filed Feb 24, 2025 22:01 UTC | Valion Bio, Inc. TIVC · Entity 8459 | GrantRestricted Stock Units · Derivative | 600,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001683168-25-001207 · ownership.xml · derivative · entry 1 Handley Michael K · CIK 0001451334 · Chief Operating Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 600,000 Underlying: Common Stock · 600,000 shares Expires 2035-02-17 F1 · derivative.exercise_price: Each Restricted Stock Unit is convertible into one share of common stock. F2 · shares: Represents 600,000 restricted stock units granted to the Reporting Person outside of the Issuer's Amended and Restated 2021 Equity Incentive Plan (the "Plan"), in connection with, and as a material inducement to, the hiring and appointment of the Reporting Person as Chief Operating Officer of the Issuer. F3 · derivative.exercise_date: Twenty percent (25%) of the Restricted Stock Units will vest upon the one (1) year anniversary of the Vesting Commencement Date, and the balance of the Restricted Stock Units will be vested in a series of twelve (12) successive equal quarterly installments measured from the first anniversary of the Vesting Commencement Date such that one hundred percent (100%) of the Restricted Stock Units shall have vested on the fourth anniversary of the Vesting Commencement Date. Read SEC document |
| July 27, 2021 Filed Aug 4, 2021 23:00 UTC | Statera Biopharma, Inc. CBLI · Entity 128906 | GrantCommon Stock, par value $0.005 per share | 296,609 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-21-018563 · rdgdoc.xml · nonDerivative · entry 1 Handley Michael K · CIK 0001451334 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 296,609 F1 · shares: Shares received pursuant to an Agreement and Plan of Merger ("merger agreement"), entered into by Cytocom Inc. ("Old Cytocom") and Cleveland BioLabs, Inc ("New Cytocom" or "Issuer"). Per the "merger agreement", each share of Old Cytocom (i) common stock, (ii) preferred stock that was not converted into Old Cytocom common stock immediately prior to the effective time of the Merger, and (iii) each vested restricted stock unit of Old Cytocom (excluding, in each case, dissenting shares and shares held in treasury) converted into the right to receive a number of shares of New Cytocom common stock based on an exchange formula set forth in the merger agreement (which we refer to as the "merger consideration"). 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.