Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ALDER BIOPHARMACEUTICALS INCALDR · Entity 154258 | Chief Business Officer | June 01, 2018 | June 05, 2018 |
| ALPINE IMMUNE SCIENCES, INC.ALPN · Entity 90802 | See Remarks | February 06, 2019 | February 08, 2019 |
| LeonaBio, Inc.LONA · Entity 1487 | Director · PRESIDENT and CEO | April 09, 2026 | April 13, 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.
ALDER BIOPHARMACEUTICALS INC
Report date June 01, 2018 · Filed June 05, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 124,916 |
Reported balance
After 2018-06-01 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2018-06-01 · Exercise / conversion · Acquired 22,727 · Balance 124,916 F1: The stock option exercise reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 15, 2018. F2: Includes 847 shares acquired under the Issuer's 2014 Employee Stock Purchase Plan on May 31, 2018. |
| Common StockSEC Table I · non-derivative | Direct | 106,663 |
Reported balance
After 2018-06-01 transaction · row 2
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 2 · 2018-06-01 · Sale · Disposed 18,253 · Balance 106,663 F3: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 15, 2018. F4: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $17.20 to $18.1750, 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 sold at each separate price within the range set forth in this footnote 4 to this Form 4. |
| Common StockSEC Table I · non-derivative | Direct | 102,189 |
Reported balance
After 2018-06-01 transaction · row 3
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 3 · 2018-06-01 · Sale · Disposed 4,474 · Balance 102,189 F3: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 15, 2018. F5: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $18.20 to $18.30, 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 sold at each separate price within the range set forth in this footnote 5 to this Form 4. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.99 · Expires 2019-04-20 | Direct | 0 |
Reported balance
After 2018-06-01 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2018-06-01 · Exercise / conversion · Disposed 22,727 · Balance 0 F6: The shares subject to this stock option are fully vested. |
| Common StockSEC Table I · non-derivative | IndirectHeld in trust for the benefit of Reporting Person's minor child | 26,000 |
Reported balance
Holding disclosure · report date 2018-06-01 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 26,000 |
| Common StockSEC Table I · non-derivative | IndirectHeld in trust for the benefit of Reporting Person's minor child | 26,000 |
Reported balance
Holding disclosure · report date 2018-06-01 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 26,000 |
| Common StockSEC Table I · non-derivative | IndirectHeld in trust for the benefit of Reporting Person's minor child | 26,000 |
Reported balance
Holding disclosure · report date 2018-06-01 · row 6
Holding and transaction disclosures are not merged.
1 source rowRow 6 · Balance 26,000 |
Filing footnotes · ownership attribution and instrument terms
F1: The stock option exercise reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 15, 2018.
F2: Includes 847 shares acquired under the Issuer's 2014 Employee Stock Purchase Plan on May 31, 2018.
F3: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 15, 2018.
F4: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $17.20 to $18.1750, 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 sold at each separate price within the range set forth in this footnote 4 to this Form 4.
F5: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $18.20 to $18.30, 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 sold at each separate price within the range set forth in this footnote 5 to this Form 4.
F6: The shares subject to this stock option are fully vested.
ALPINE IMMUNE SCIENCES, INC.
Report date February 06, 2019 · Filed February 08, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $6.81 · Expires 2028-08-05 | Direct | 25,000 |
Reported balance
After 2019-02-06 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2019-02-06 · Grant · Acquired 25,000 · Balance 25,000 F2: The exercise price is equal to the closing price per share of Common Stock as reported on the Nasdaq Global Market on the date of grant. F1: On August 6, 2018, the reporting person was granted an Option to purchase 50,000 shares of Common Stock. The shares underlying the Option vest in two equal tranches upon the reporting person's satisfaction of certain performance criteria. On February 6, 2019, the compensation committee of the Issuer's board of directors determined that the performance criteria for one half of the shares underlying the Option were satisfied, resulting in the vesting of 25,000 of the shares of Common Stock underlying the Option. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $6.51 · Expires 2029-02-05 | Direct | 75,000 |
Reported balance
After 2019-02-06 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2019-02-06 · Grant · Acquired 75,000 · Balance 75,000 F2: The exercise price is equal to the closing price per share of Common Stock as reported on the Nasdaq Global Market on the date of grant. F3: Twenty-five percent (25%) of the shares subject to the Option shall vest on the one (1) year anniversary of February 6, 2019 (the "Vesting Commencement Date") and one forty-eighth (1/48th) of the shares subject to the Option shall vest each month thereafter on the same day of the month as the Vesting Commencement Date (and if there is no corresponding day, on the last day of the month), subject to the Reporting Person continuing to be a Service Provider through each such date. |
Filing footnotes · ownership attribution and instrument terms
F1: On August 6, 2018, the reporting person was granted an Option to purchase 50,000 shares of Common Stock. The shares underlying the Option vest in two equal tranches upon the reporting person's satisfaction of certain performance criteria. On February 6, 2019, the compensation committee of the Issuer's board of directors determined that the performance criteria for one half of the shares underlying the Option were satisfied, resulting in the vesting of 25,000 of the shares of Common Stock underlying the Option.
F2: The exercise price is equal to the closing price per share of Common Stock as reported on the Nasdaq Global Market on the date of grant.
F3: Twenty-five percent (25%) of the shares subject to the Option shall vest on the one (1) year anniversary of February 6, 2019 (the "Vesting Commencement Date") and one forty-eighth (1/48th) of the shares subject to the Option shall vest each month thereafter on the same day of the month as the Vesting Commencement Date (and if there is no corresponding day, on the last day of the month), subject to the Reporting Person continuing to be a Service Provider through each such date.
LeonaBio, Inc.
Report date April 09, 2026 · Filed April 13, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $9.54 · Expires 2036-04-08 | Direct | 750,000 |
Reported balance
After 2026-04-09 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-04-09 · Grant · Acquired 750,000 · Balance 750,000 F1: The shares subject to the option shall be scheduled to vest monthly over a term of 48 months on the monthly anniversaries of the grant date, subject to the optionee continuing to be a Service Provider (as defined in the Issuer's 2026 Equity Incentive Plan) through the applicable vesting dates. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares subject to the option shall be scheduled to vest monthly over a term of 48 months on the monthly anniversaries of the grant date, subject to the optionee continuing to be a Service Provider (as defined in the Issuer's 2026 Equity Incentive Plan) through the applicable vesting dates.
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 |
|---|---|---|---|---|---|---|
| April 09, 2026 Filed Apr 13, 2026 20:46 UTC | LeonaBio, Inc. LONA · Entity 1487 | GrantStock Option (Right to Buy) · Derivative | 750,000 | $0.00 Strike: $9.54 | $0.00 |
DisclosureSEC source: 0001604834-26-000008 · form4-04132026_080417.xml · derivative · entry 1 Litton Mark James · CIK 0001604834 · Director · PRESIDENT and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 750,000 Underlying: Common Stock · 750,000 shares Expires 2036-04-08 F1 · derivative.exercise_date: The shares subject to the option shall be scheduled to vest monthly over a term of 48 months on the monthly anniversaries of the grant date, subject to the optionee continuing to be a Service Provider (as defined in the Issuer's 2026 Equity Incentive Plan) through the applicable vesting dates. Read SEC document |
| March 04, 2026 Filed Mar 6, 2026 00:14 UTC | LeonaBio, Inc. LONA · Entity 1487 | SaleCommon Stock | 5,156 | $5.37 | $27,687.72 |
DisclosureSEC source: 0001604834-26-000006 · form4-03062026_120343.xml · nonDerivative · entry 2 Litton Mark James · CIK 0001604834 · Director · PRESIDENT and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 57,926 F1 · kind: Represents shares of common stock sold to cover tax withholding and remittance obligations in connection with the vesting of restricted stock units ("RSU") pursuant to mandatory "sell to cover" policies maintained by the Issuer and provisions contained in the reporting person's applicable RSU agreement, and does not represent a discretionary sale by the reporting person. No additional shares of common stock were sold by the reporting person. F2 · price: The "Amount" and "Price" reported in this Column 4 reflect the aggregate number and weighted-average price, respectively, of shares sold. These shares were sold in multiple transactions at prices ranging from $5.03 to $5.70, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the SEC staff, upon request, full information regarding the number of shares sold at each separate price within the range set forth herein. Read SEC document |
| March 03, 2026 Filed Mar 6, 2026 00:14 UTC | LeonaBio, Inc. LONA · Entity 1487 | Exercise / conversionRestricted Stock Units · Derivative | 22,254 | $0.00 | $0.00 |
DisclosureSEC source: 0001604834-26-000006 · form4-03062026_120343.xml · derivative · entry 6 Litton Mark James · CIK 0001604834 · Director · PRESIDENT and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 22,254 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. F6 · derivative.exercise_price: Each RSU represents a contingent right to receive one (1) share of Issuer's common stock. F7 · derivative.exercise_date: On March 3, 2025, the reporting person was granted 22,254 RSUs (as adjusted for the 10-for-1 reverse stock split completed on September 17, 2025). 100% of the RSUs vested on the one (1) year anniversary of the grant date. F7 · derivative.expiration_date: On March 3, 2025, the reporting person was granted 22,254 RSUs (as adjusted for the 10-for-1 reverse stock split completed on September 17, 2025). 100% of the RSUs vested on the one (1) year anniversary of the grant date. Read SEC document |
| March 03, 2026 Filed Mar 6, 2026 00:14 UTC | LeonaBio, Inc. LONA · Entity 1487 | Exercise / conversionCommon Stock | 22,254 | $0.00 | $0.00 |
DisclosureSEC source: 0001604834-26-000006 · form4-03062026_120343.xml · nonDerivative · entry 1 Litton Mark James · CIK 0001604834 · Director · PRESIDENT and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 63,082 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| January 02, 2026 Filed Jan 6, 2026 00:51 UTC | LeonaBio, Inc. ATHA · Entity 1487 | SaleCommon Stock | 2,586 | $6.88 | $17,791.68 |
DisclosureSEC source: 0001604834-26-000002 · form4-01062026_120146.xml · nonDerivative · entry 2 Litton Mark James · CIK 0001604834 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 40,828 F2 · kind: Represents shares of common stock sold to cover tax withholding and remittance obligations in connection with the vesting of restricted stock units ("RSU") pursuant to mandatory "sell to cover" policies maintained by the issuer and provisions contained in the reporting person's applicable RSU agreement, and does not represent a discretionary sale by the reporting person. No additional shares of common stock were sold by the reporting person and the shares of common stock received upon settlement of the RSUs are subject to a lock-up agreement with Cantor Fitzgerald & Co. entered into in connection with the Issuer's private placement in December 2025. F3 · price: The "Amount" and "Price" reported in this Column 4 reflect the aggregate number and weighted-average price, respectively, of shares sold. These shares were sold in multiple transactions at prices ranging from $6.60 to $7.56, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the SEC staff, upon request, full information regarding the number of shares sold at each separate price within the range set forth herein. Read SEC document |
| December 31, 2025 Filed Jan 6, 2026 00:51 UTC | LeonaBio, Inc. ATHA · Entity 1487 | Exercise / conversionRestricted Stock Units · Derivative | 10,834 | $0.00 | $0.00 |
DisclosureSEC source: 0001604834-26-000002 · form4-01062026_120146.xml · derivative · entry 6 Litton Mark James · CIK 0001604834 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 10,834 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. F7 · security: RSUs convert into common stock on a one-for-one basis. F8 · derivative.exercise_price: Each RSU represents a contingent right to receive one (1) share of Issuer's common stock. F9 · derivative.exercise_date: On October 1, 2024, the reporting person was granted 32,500 RSUs. One-third (1/3rd) of the RSUs vest on each of December 31, 2024, June 30, 2025 and December 31, 2025, subject to the reporting person continuing to be a Service Provider (as defined in the Issuer's 2020 Equity Incentive Plan (the "Plan")) through the applicable vesting dates. F9 · derivative.expiration_date: On October 1, 2024, the reporting person was granted 32,500 RSUs. One-third (1/3rd) of the RSUs vest on each of December 31, 2024, June 30, 2025 and December 31, 2025, subject to the reporting person continuing to be a Service Provider (as defined in the Issuer's 2020 Equity Incentive Plan (the "Plan")) through the applicable vesting dates. Read SEC document |
| December 31, 2025 Filed Jan 6, 2026 00:51 UTC | LeonaBio, Inc. ATHA · Entity 1487 | Exercise / conversionCommon Stock | 10,834 | $0.00 | $0.00 |
DisclosureSEC source: 0001604834-26-000002 · form4-01062026_120146.xml · nonDerivative · entry 1 Litton Mark James · CIK 0001604834 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 43,414 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 · security: The reported number of shares in this Form 4 has been adjusted to reflect the impact of the Issuer's 10-for-1 reverse stock split completed on September 17, 2025 (the "Reverse Stock Split"). Read SEC document |
| December 24, 2025 Filed Dec 29, 2025 21:17 UTC | LeonaBio, Inc. ATHA · Entity 1487 | GrantStock Option (Right to Buy) · Derivative | 133,526 | $0.00 Strike: $3.81 | $0.00 |
DisclosureSEC source: 0001604834-25-000004 · form4-12292025_091231.xml · derivative · entry 1 Litton Mark James · CIK 0001604834 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 133,526 Underlying: Common Stock · 133,526 shares Expires 2035-09-24 F1 · derivative.exercise_price: The exercise price is equal to the closing price per share of Common Stock as reported on the Nasdaq Global Market on the date of grant. F2 · derivative.exercise_date: On September 25, 2025, the reporting person was granted an option to purchase 133,526 shares of common stock. The option was scheduled to vest only upon satisfaction of both a milestone requirement (the "Milestone Requirement") and a service-based requirement (the "Service-Based Requirement"). The Milestone Requirement was satisfied on December 23, 2025. The Service-Based Requirement will be satisfied as to 50% of the total number of shares granted under the option on December 23, 2026 and as to 1/36th of the remaining 50% on the 23rd day of each month thereafter, subject to the optionee continuing to be a Service Provider (as defined in the Issuer's 2020 Equity Incentive Plan) through the applicable vesting dates. Read SEC document |
| July 01, 2025 Filed Jul 2, 2025 20:34 UTC | LeonaBio, Inc. ATHA · Entity 1487 | SaleCommon Stock | 25,123 | $0.29 | $7,373.60 |
DisclosureSEC source: 0001415889-25-019069 · form4-07022025_080737.xml · nonDerivative · entry 2 Litton Mark James · CIK 0001604834 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 325,802 F1 · kind: Represents shares of common stock sold to cover tax withholding and remittance obligations in connection with the vesting of restricted stock units ("RSU") pursuant to mandatory "sell to cover" policies maintained by the issuer and provisions contained in the reporting person's applicable RSU agreement, and does not represent a discretionary sale by the reporting person. F2 · price: The "Amount" and "Price" reported in this Column 4 reflect the aggregate number and weighted-average price, respectively, of shares sold. These shares were sold in multiple transactions at prices ranging from $0.2854 to $0.3031, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the SEC staff, upon request, full information regarding the number of shares sold at each separate price within the range set forth herein. Read SEC document |
| June 30, 2025 Filed Jul 2, 2025 20:34 UTC | LeonaBio, Inc. ATHA · Entity 1487 | Exercise / conversionRestricted Stock Units · Derivative | 108,334 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-25-019069 · form4-07022025_080737.xml · derivative · entry 6 Litton Mark James · CIK 0001604834 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 108,333 Underlying: Common Stock · 108,334 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. F6 · security: RSUs convert into common stock on a one-for-one basis. F7 · derivative.exercise_price: Each RSU represents a contingent right to receive one (1) share of Issuer's common stock. F8 · derivative.exercise_date: On October 1, 2024, the reporting person was granted 325,000 RSUs. One-third (1/3rd) of the RSUs vest on each of December 31, 2024, June 30, 2025 and December 31, 2025, subject to the reporting person continuing to be a Service Provider (as defined in the Issuer's 2020 Equity Incentive Plan (the "Plan")) through the applicable vesting dates. F8 · derivative.expiration_date: On October 1, 2024, the reporting person was granted 325,000 RSUs. One-third (1/3rd) of the RSUs vest on each of December 31, 2024, June 30, 2025 and December 31, 2025, subject to the reporting person continuing to be a Service Provider (as defined in the Issuer's 2020 Equity Incentive Plan (the "Plan")) through the applicable vesting dates. Read SEC document |
| June 30, 2025 Filed Jul 2, 2025 20:34 UTC | LeonaBio, Inc. ATHA · Entity 1487 | Exercise / conversionCommon Stock | 108,334 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-25-019069 · form4-07022025_080737.xml · nonDerivative · entry 1 Litton Mark James · CIK 0001604834 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 350,925 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| March 03, 2025 Filed Mar 4, 2025 21:29 UTC | LeonaBio, Inc. ATHA · Entity 1487 | GrantRestricted Stock Units · Derivative | 222,543 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-25-006536 · form4-03042025_090341.xml · derivative · entry 2 Litton Mark James · CIK 0001604834 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 222,543 Underlying: Common Stock · 222,543 shares Expires not disclosed F2 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one (1) share of Issuer's common stock. F3 · derivative.exercise_date: 100% of the RSUs shall vest on the one (1) year anniversary of the grant date, subject to the Reporting Person continuing to be a Service Provider (as defined in the Issuer's 2020 Equity Incentive Plan (the "Plan")) through the vesting date. F3 · derivative.expiration_date: 100% of the RSUs shall vest on the one (1) year anniversary of the grant date, subject to the Reporting Person continuing to be a Service Provider (as defined in the Issuer's 2020 Equity Incentive Plan (the "Plan")) through the vesting date. Read SEC document |
| March 03, 2025 Filed Mar 4, 2025 21:29 UTC | LeonaBio, Inc. ATHA · Entity 1487 | GrantStock Option (Right to Buy) · Derivative | 333,815 | $0.00 Strike: $0.38 | $0.00 |
DisclosureSEC source: 0001415889-25-006536 · form4-03042025_090341.xml · derivative · entry 1 Litton Mark James · CIK 0001604834 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 333,815 Underlying: Common Stock · 333,815 shares Expires 2035-03-02 F1 · derivative.exercise_date: The shares subject to the option shall be scheduled to vest monthly over a term of 48 months on the monthly anniversaries of the grant date, subject to the optionee continuing to be a Service Provider (as defined in the Issuer's 2020 Equity Incentive Plan) through the applicable vesting dates. Read SEC document |
| January 02, 2025 Filed Jan 3, 2025 22:04 UTC | LeonaBio, Inc. ATHA · Entity 1487 | SaleCommon Stock | 25,107 | $0.56 | $14,107.62 |
DisclosureSEC source: 0001415889-25-000536 · form4-01032025_100106.xml · nonDerivative · entry 2 Litton Mark James · CIK 0001604834 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 242,591 F1 · kind: Represents shares of common stock sold to cover tax withholding and remittance obligations in connection with the vesting of restricted stock units ("RSU") pursuant to mandatory "sell to cover" policies maintained by the issuer and provisions contained in the reporting person's applicable RSU agreement, and does not represent a discretionary sale by the reporting person. F2 · price: The "Amount" and "Price" reported in this Column 4 reflect the aggregate number and weighted-average price, respectively, of shares sold. These shares were sold in multiple transactions at prices ranging from $0.5414 to $0.5939, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the SEC staff, upon request, full information regarding the number of shares sold at each separate price within the range set forth herein. Read SEC document |
| December 31, 2024 Filed Jan 3, 2025 22:04 UTC | LeonaBio, Inc. ATHA · Entity 1487 | Exercise / conversionRestricted Stock Units · Derivative | 108,333 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-25-000536 · form4-01032025_100106.xml · derivative · entry 6 Litton Mark James · CIK 0001604834 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 216,667 Underlying: Common Stock · 108,333 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. F6 · security: RSUs convert into common stock on a one-for-one basis. F7 · derivative.exercise_price: Each RSU represents a contingent right to receive one (1) share of Issuer's common stock. F8 · derivative.exercise_date: On October 3, 2024, the reporting person was granted 325,000 RSUs. One-third (1/3rd) of the RSUs vest on each of December 31, 2024, June 30, 2025 and December 31, 2025, subject to the reporting person continuing to be a Service Provider (as defined in the Issuer's 2020 Equity Incentive Plan (the "Plan")) through the applicable vesting dates. F8 · derivative.expiration_date: On October 3, 2024, the reporting person was granted 325,000 RSUs. One-third (1/3rd) of the RSUs vest on each of December 31, 2024, June 30, 2025 and December 31, 2025, subject to the reporting person continuing to be a Service Provider (as defined in the Issuer's 2020 Equity Incentive Plan (the "Plan")) through the applicable vesting dates. Read SEC document |
| December 31, 2024 Filed Jan 3, 2025 22:04 UTC | LeonaBio, Inc. ATHA · Entity 1487 | Exercise / conversionCommon Stock | 108,333 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-25-000536 · form4-01032025_100106.xml · nonDerivative · entry 1 Litton Mark James · CIK 0001604834 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 267,698 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| October 03, 2024 Filed Oct 4, 2024 01:50 UTC Amendment | LeonaBio, Inc. ATHA · Entity 1487 | GrantStock Option (Right to Buy) · Derivative | 325,000 | $0.00 Strike: $0.43 | $0.00 |
DisclosureSEC source: 0001415889-24-024712 · form4a-10042024_011037.xml · derivative · entry 1 Litton Mark James · CIK 0001604834 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 325,000 Underlying: Common Stock · 325,000 shares Expires 2034-10-02 F1 · derivative.exercise_price: The original Form 4 incorrectly reported the Exercise Price as $0.4499. F2 · derivative.exercise_date: One-third (1/3rd) of the shares subject to the option shall vest on each of December 31, 2024, June 30, 2025 and December 31, 2025, subject to the Reporting Person continuing to be a Service Provider through the applicable vesting dates. Read SEC document |
| October 03, 2024 Filed Oct 3, 2024 23:07 UTC | LeonaBio, Inc. ATHA · Entity 1487 | GrantStock Option (Right to Buy) · Derivative | 325,000 | $0.00 Strike: $0.45 | $0.00 |
DisclosureSEC source: 0001415889-24-024680 · form4-10032024_111021.xml · derivative · entry 2 Litton Mark James · CIK 0001604834 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 325,000 Underlying: Common Stock · 325,000 shares Expires 2034-10-02 F3 · derivative.exercise_date: One-third (1/3rd) of the shares subject to the option shall vest on each of December 31, 2024, June 30, 2025 and December 31, 2025, subject to the Reporting Person continuing to be a Service Provider through the applicable vesting dates. Read SEC document |
| October 03, 2024 Filed Oct 3, 2024 23:07 UTC | LeonaBio, Inc. ATHA · Entity 1487 | GrantRestricted Stock Units · Derivative | 325,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-24-024680 · form4-10032024_111021.xml · derivative · entry 1 Litton Mark James · CIK 0001604834 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 325,000 Underlying: Common Stock · 325,000 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one (1) share of Issuer's common stock. F2 · derivative.exercise_date: One-third (1/3rd) of the RSUs shall vest on each of December 31, 2024, June 30, 2025 and December 31, 2025, subject to the Reporting Person continuing to be a Service Provider (as defined in the Issuer's 2020 Equity Incentive Plan (the "Plan")) through the applicable vesting dates. F2 · derivative.expiration_date: One-third (1/3rd) of the RSUs shall vest on each of December 31, 2024, June 30, 2025 and December 31, 2025, subject to the Reporting Person continuing to be a Service Provider (as defined in the Issuer's 2020 Equity Incentive Plan (the "Plan")) through the applicable vesting dates. Read SEC document |
| September 05, 2024 Filed Sep 5, 2024 23:47 UTC | LeonaBio, Inc. ATHA · Entity 1487 | SaleCommon Stock | 5,032 | $0.57 | $2,848.11 |
DisclosureSEC source: 0001415889-24-022983 · form4-09052024_110923.xml · nonDerivative · entry 2 Litton Mark James · CIK 0001604834 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 159,365 F3 · kind: Represents shares of common stock sold to cover tax withholding and remittance obligations in connection with the vesting of RSUs pursuant to mandatory "sell to cover" policies maintained by the issuer and provisions contained in the reporting person's applicable RSU agreement, and does not represent a discretionary sale by the reporting person. F4 · price: The "Amount" and "Price" reported in this Column 4 reflect the aggregate number and weighted-average price, respectively, of shares sold. These shares were sold in multiple transactions at prices ranging from $0.5505 to $0.5751, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the SEC staff, upon request, full information regarding the number of shares sold at each separate price within the range set forth herein. Read SEC document |
| September 03, 2024 Filed Sep 5, 2024 23:47 UTC | LeonaBio, Inc. ATHA · Entity 1487 | GrantCommon Stock | 20,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-24-022983 · form4-09052024_110923.xml · nonDerivative · entry 1 Litton Mark James · CIK 0001604834 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 164,397 F1 · date: On November 3, 2021, the reporting person was granted restricted stock units ("RSUs") representing 60,000 shares of Common Stock of the Issuer. The RSUs are scheduled to vest according to the following amended vesting schedule: (1) one third (1/3rd) of the number of shares subject to the RSU award vest at the completion of the public readout of topline results of the Issuer's ACT-AD Phase 2 clinical trial; (2) one third (1/3rd) of the number of shares subject to the RSU award vest as of the date the Compensation Committee (the "Committee") determines that enrollment of the Company's LIFT-AD Phase 2/3 clinical trial has been completed, and (3) one third (1/3rd) of the number of shares subject to the RSU award vest as of the completion of the public readout of topline results of the Issuer's LIFT-AD Phase 2/3 clinical trial (the "LIFT-AD Readout"), in each case subject to continued service with the Issuer through the applicable vesting date. F2 · shares: On September 3, 2024, the Company completed the public readout of the topline results of its LIFT-AD Phase 2/3 clinical trial and 20,000 RSUs vested on such date. Read SEC document |
| February 15, 2024 Filed Feb 16, 2024 22:05 UTC | LeonaBio, Inc. ATHA · Entity 1487 | GrantStock Option (Right to Buy) · Derivative | 650,000 | $0.00 Strike: $3.66 | $0.00 |
DisclosureSEC source: 0001415889-24-004166 · form4-02162024_100218.xml · derivative · entry 1 Litton Mark James · CIK 0001604834 · Director · CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 650,000 Underlying: Common Stock · 650,000 shares Expires 2034-02-14 F1 · derivative.exercise_date: Shares subject to the option shall be scheduled to vest monthly over a term of 48 months on the monthly anniversaries of the grant date, subject to the optionee continuing to be a Service Provider (as defined in the Issuer's 2020 Equity Incentive Plan) through the applicable vesting dates. Read SEC document |
| January 05, 2024 Filed Jan 8, 2024 21:40 UTC | LeonaBio, Inc. ATHA · Entity 1487 | SaleCommon Stock | 4,820 | $2.91 | $14,026.20 |
DisclosureSEC source: 0001209191-24-001150 · doc4.xml · nonDerivative · entry 2 Litton Mark James · CIK 0001604834 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 144,397 F3 · kind: The reported shares were sold to cover the Issuer's tax withholding obligations in connection with the vesting of RSUs. Such sale was made pursuant to an Issuer-mandated policy and was not subject to discretion. F4 · price: The "Amount" and "Price" reported in this Column 4 reflect the aggregate number and weighted-average price, respectively, of shares sold. These shares were sold in multiple transactions at prices ranging from $2.84 to $3.01, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the SEC staff, upon request, full information regarding the number of shares sold at each separate price within the range set forth herein. Read SEC document |
| January 05, 2024 Filed Feb 16, 2024 21:38 UTC Amendment | LeonaBio, Inc. ATHA · Entity 1487 | SaleCommon Stock | 4,820 | $2.91 | $14,026.20 |
DisclosureSEC source: 0001415889-24-004153 · form4a-02162024_090229.xml · nonDerivative · entry 2 Litton Mark James · CIK 0001604834 · Director · CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 144,397 F3 · kind: The reported shares were sold to cover the Issuer's tax withholding obligations in connection with the vesting of RSUs. Such sale was made pursuant to an Issuer-mandated policy and was not subject to discretion. F4 · price: The "Amount" and "Price" reported in this Column 4 reflect the aggregate number and weighted-average price, respectively, of shares sold. These shares were sold in multiple transactions at prices ranging from $2.84 to $3.01, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the SEC staff, upon request, full information regarding the number of shares sold at each separate price within the range set forth herein. Read SEC document |
| January 04, 2024 Filed Jan 8, 2024 21:40 UTC | LeonaBio, Inc. ATHA · Entity 1487 | GrantCommon Stock | 20,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-24-001150 · doc4.xml · nonDerivative · entry 1 Litton Mark James · CIK 0001604834 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 149,217 F1 · date: On November 3, 2021, the reporting person was granted restricted stock units ("RSUs") representing 60,000 shares of Common Stock of the Issuer. The RSUs are scheduled to vest according to the following amended vesting schedule: (1) one third (1/3rd) of the number of shares subject to the RSU award vest at the completion of the public readout of topline results of the Issuer's ACT-AD Phase 2 clinical trial; (2) one third (1/3rd) of the number of shares subject to the RSU award vest as of the date the Compensation Committee (the "Committee") determines that enrollment of the Company's LIFT-AD Phase 2/3 clinical trial has been completed, and (3) one third (1/3rd) of the number of shares subject to the RSU award vest as of the completion of the public readout of topline results of the Issuer's LIFT-AD Phase 2/3 clinical trial (the "LIFT-AD Readout"), in each case subject to continued service with the Issuer through the applicable vesting date. F2 · shares: On January 4, 2023, the Committee determined that enrollment of the Company's LIFT-AD Phase 2/3 clinical trial had been completed and 20,000 RSUs vested and settled on such date. Read SEC document |
| January 04, 2024 Filed Feb 16, 2024 21:38 UTC Amendment | LeonaBio, Inc. ATHA · Entity 1487 | GrantCommon Stock | 20,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-24-004153 · form4a-02162024_090229.xml · nonDerivative · entry 1 Litton Mark James · CIK 0001604834 · Director · CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 149,217 F1 · date: On November 3, 2021, the reporting person was granted restricted stock units ("RSUs") representing 60,000 shares of Common Stock of the Issuer. The RSUs are scheduled to vest according to the following amended vesting schedule: (1) one third (1/3rd) of the number of shares subject to the RSU award vest at the completion of the public readout of topline results of the Issuer's ACT-AD Phase 2 clinical trial; (2) one third (1/3rd) of the number of shares subject to the RSU award vest as of the date the Compensation Committee (the "Committee") determines that enrollment of the Company's LIFT-AD Phase 2/3 clinical trial has been completed, and (3) one third (1/3rd) of the number of shares subject to the RSU award vest as of the completion of the public readout of topline results of the Issuer's LIFT-AD Phase 2/3 clinical trial (the "LIFT-AD Readout"), in each case subject to continued service with the Issuer through the applicable vesting date. F2 · shares: On January 4, 2024, the Committee determined that enrollment of the Company's LIFT-AD Phase 2/3 clinical trial had been completed and 20,000 RSUs vested and settled on such date. The original Form 4 incorrectly reported the determination date as January 4, 2023. Read SEC document |
| January 27, 2023 Filed Feb 1, 2023 00:33 UTC | LeonaBio, Inc. ATHA · Entity 1487 | GrantStock Option (Right to Buy) · Derivative | 425,000 | $0.00 Strike: $4.11 | $0.00 |
DisclosureSEC source: 0001209191-23-005818 · doc4.xml · derivative · entry 5 Litton Mark James · CIK 0001604834 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 425,000 Underlying: Common Stock · 425,000 shares Expires 2033-01-26 F7 · derivative.exercise_date: One thirty-sixth (1/36th) of the shares subject to the option will vest on February 27, 2023 and one thirty-sixth of the shares subject to the option will vest each month thereafter. Read SEC document |
| November 18, 2022 Filed Feb 1, 2023 00:33 UTC | LeonaBio, Inc. ATHA · Entity 1487 | GrantCommon Stock | 662 | $2.74 | $1,813.88 |
DisclosureSEC source: 0001209191-23-005818 · doc4.xml · nonDerivative · entry 1 Litton Mark James · CIK 0001604834 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 129,217 F1 · security: The reporting person is voluntarily reporting the acquisition of shares of the issuer's common stock pursuant to the Athira Pharma, Inc. 2020 Employee Stock Purchase Plan ("ESPP"), for the ESPP Purchase Period (as defined in the ESPP) of May 18, 2022 through November 18, 2022. This transaction is also exempt under Rule 16b-3(c). F2 · date: The Purchase Period ended November 18, 2022 and is the sole Purchase Period in the Offering Period (as defined in the ESPP) that began May 18, 2022. F3 · price: In accordance with the ESPP, these shares were purchased based on 85% of the closing price on November 18, 2022. Read SEC document |
| June 23, 2022 Filed Jun 24, 2022 23:51 UTC | LeonaBio, Inc. ATHA · Entity 1487 | SaleCommon Stock | 7,960 | $2.69 | $21,412.40 |
DisclosureSEC source: 0001209191-22-039340 · doc4.xml · nonDerivative · entry 3 Litton Mark James · CIK 0001604834 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 128,555 F5 · kind: The reported shares were sold to cover the Issuer's tax withholding obligations in connection with the vesting of RSUs. Such sale was made pursuant to an Issuer-mandated policy and was not subject to discretion. F6 · price: The "Amount" and "Price" reported in this Column 4 reflect the aggregate number and weighted-average price, respectively, of shares sold. These shares were sold in multiple transactions at prices ranging from $2.62 to $2.78, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the SEC staff, upon request, full information regarding the number of shares sold at each separate price within the range set forth herein. Read SEC document |
| June 22, 2022 Filed Jun 24, 2022 23:51 UTC | LeonaBio, Inc. ATHA · Entity 1487 | GrantCommon Stock | 20,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-039340 · doc4.xml · nonDerivative · entry 2 Litton Mark James · CIK 0001604834 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 136,515 F4 · shares: On November 3, 2021, the reporting person was granted restricted stock units ("RSUs") representing 60,000 shares of Common Stock of the Issuer. The RSUs were scheduled to vest according to the following schedule: (1) one third (1/3rd) of the number of shares subject to the RSU award vest at the completion of the public readout of topline results of the Issuer's ACT-AD Phase 2 clinical trial; (2) one third (1/3rd) of the number of shares subject to the RSU award vest at the completion of the public readout of topline results of the Issuer's LIFT-AD Phase 2/3 clinical trial (the "LIFT-AD Readout") and (3) one third (1/3rd) of the number of shares subject to the RSU award vest six (6) months after the LIFT-AD Readout, in each case subject to continued service with the Issuer through the applicable vesting date. On June 22, 2022, the Issuer completed the public readout of topline results of the ACT-AD Phase 2 clinical trial and 20,000 RSUs vested and settled on such date. Read SEC document |
| May 18, 2022 Filed Jun 24, 2022 23:51 UTC | LeonaBio, Inc. ATHA · Entity 1487 | GrantCommon Stock | 757 | $7.06 | $5,344.42 |
DisclosureSEC source: 0001209191-22-039340 · doc4.xml · nonDerivative · entry 1 Litton Mark James · CIK 0001604834 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 116,515 F1 · security: The reporting person is voluntarily reporting the acquisition of shares of the issuer's common stock pursuant to the Athira Pharma, Inc. 2020 Employee Stock Purchase Plan ("ESPP"), for the ESPP Purchase Period (as defined in the ESPP) of November 18, 2021 through May 18, 2022. This transaction is also exempt under Rule 16b-3(c). F2 · date: The Purchase Period ended May 18, 2022 and is the Purchase Period comprising the Offering Period (as defined in the ESPP) that began November 18, 2021. F3 · price: In accordance with the ESPP, these shares were purchased based on 85% of the closing price on May 18, 2022. Read SEC document |
| January 27, 2022 Filed Jan 31, 2022 22:06 UTC | LeonaBio, Inc. ATHA · Entity 1487 | GrantStock Option (Right to Buy) · Derivative | 400,000 | $0.00 Strike: $9.91 | $0.00 |
DisclosureSEC source: 0001209191-22-005628 · doc4.xml · derivative · entry 5 Litton Mark James · CIK 0001604834 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 400,000 Underlying: Common Stock · 400,000 shares Expires 2032-01-26 F7 · derivative.exercise_date: One-forty eighth (1/48th) of the shares subject to the option will vest on February 18, 2022, and one forty-eighth of the shares subject to the option will vest each month thereafter. Read SEC document |
| November 18, 2021 Filed Jan 31, 2022 22:06 UTC | LeonaBio, Inc. ATHA · Entity 1487 | GrantCommon Stock | 885 | $12.51 | $11,071.35 |
DisclosureSEC source: 0001209191-22-005628 · doc4.xml · nonDerivative · entry 1 Litton Mark James · CIK 0001604834 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 115,758 F1 · security: The reporting person is voluntarily reporting the acquisition of shares of the issuer's common stock pursuant to the Athira Pharma, Inc. 2020 Employee Stock Purchase Plan ("ESPP"), for the ESPP Purchase Period (as defined in the ESPP) of May 18, 2021 through November 18, 2021. This transaction is also exempt under Rule 16b-3(c). F2 · date: The Purchase Period ended November 18, 2021 and is the Purchase Period comprising the Offering Period (as defined in the ESPP) that began May 18, 2021. F3 · price: In accordance with the ESPP, these shares were purchased based on 85% of the closing price on November 18, 2021. Read SEC document |
| August 17, 2021 Filed Aug 19, 2021 21:05 UTC | LeonaBio, Inc. ATHA · Entity 1487 | Exercise / conversionStock Option (Right to Buy) · Derivative | 50,440 | $0.00 Strike: $1.35 | $0.00 |
DisclosureSEC source: 0001209191-21-052564 · doc4.xml · derivative · entry 6 Litton Mark James · CIK 0001604834 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,880 Underlying: Common Stock · 50,440 shares Expires 2029-08-14 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. F7 · derivative.exercise_date: One-fourth of the shares subject to the option vested on July 1, 2020 and one-fourth of the shares subject to the option vest on each year thereafter. Read SEC document |
| August 17, 2021 Filed Aug 19, 2021 21:05 UTC | LeonaBio, Inc. ATHA · Entity 1487 | Exercise / conversionCommon Stock | 50,440 | $1.35 | $68,094.00 |
DisclosureSEC source: 0001209191-21-052564 · doc4.xml · nonDerivative · entry 2 Litton Mark James · CIK 0001604834 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 114,873 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| May 18, 2021 Filed Aug 19, 2021 21:05 UTC | LeonaBio, Inc. ATHA · Entity 1487 | GrantCommon Stock | 867 | $14.45 | $12,528.15 |
DisclosureSEC source: 0001209191-21-052564 · doc4.xml · nonDerivative · entry 1 Litton Mark James · CIK 0001604834 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,433 F1 · security: The reporting person is voluntarily reporting the acquisition of shares of the issuer's common stock pursuant to the Athira Pharma, Inc. 2020 Employee Stock Purchase Plan ("ESPP"), for the ESPP Purchase Period (as defined in the ESPP) of September 17, 2020 through May 18, 2021. This transaction is also exempt under Rule 16b-3(c). F2 · date: The Purchase Period ended May 18, 2021 and is the Purchase Period comprising the Offering Period (as defined in the ESPP) that began September 17, 2020. F3 · price: In accordance with the ESPP, these shares were purchased based on 85% of the closing price of the initial public offering price from the issuer's initial public offering. Read SEC document |
| February 18, 2021 Filed Feb 22, 2021 22:36 UTC | LeonaBio, Inc. ATHA · Entity 1487 | GrantStock Option (Right to Buy) · Derivative | 85,000 | $0.00 Strike: $21.15 | $0.00 |
DisclosureSEC source: 0001209191-21-012819 · doc4.xml · derivative · entry 1 Litton Mark James · CIK 0001604834 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 85,000 Underlying: Common Stock · 85,000 shares Expires 2031-02-17 F1 · derivative.exercise_date: One-fourth of the shares subject to the option will vest on January 8, 2022, and one-fourth of the shares subject to the option will vest on each year thereafter. Read SEC document |
| September 22, 2020 Filed Sep 22, 2020 21:15 UTC | LeonaBio, Inc. ATHA · Entity 1487 | ConversionSeries B-1 Preferred Stock · Derivative | 6,563 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-051509 · doc4.xml · derivative · entry 8 Litton Mark James · CIK 0001604834 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By Irrevocable Trust of SWL Disclosed balance after: 0 Underlying: Common Stock · 6,563 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. F2 · deemedExecutionDate: Each share of Series B-1 Preferred Stock automatically converted into one share of Common Stock immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F2 · kind: Each share of Series B-1 Preferred Stock automatically converted into one share of Common Stock immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F2 · derivative.exercise_date: Each share of Series B-1 Preferred Stock automatically converted into one share of Common Stock immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F2 · derivative.expiration_date: Each share of Series B-1 Preferred Stock automatically converted into one share of Common Stock immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. Read SEC document |
| September 22, 2020 Filed Sep 22, 2020 21:15 UTC | LeonaBio, Inc. ATHA · Entity 1487 | ConversionSeries B-1 Preferred Stock · Derivative | 6,563 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-051509 · doc4.xml · derivative · entry 7 Litton Mark James · CIK 0001604834 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By Irrevocable Trust of WGL Disclosed balance after: 0 Underlying: Common Stock · 6,563 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. F2 · deemedExecutionDate: Each share of Series B-1 Preferred Stock automatically converted into one share of Common Stock immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F2 · kind: Each share of Series B-1 Preferred Stock automatically converted into one share of Common Stock immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F2 · derivative.exercise_date: Each share of Series B-1 Preferred Stock automatically converted into one share of Common Stock immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F2 · derivative.expiration_date: Each share of Series B-1 Preferred Stock automatically converted into one share of Common Stock immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. Read SEC document |
| September 22, 2020 Filed Sep 22, 2020 21:15 UTC | LeonaBio, Inc. ATHA · Entity 1487 | ConversionSeries B-1 Preferred Stock · Derivative | 6,563 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-051509 · doc4.xml · derivative · entry 6 Litton Mark James · CIK 0001604834 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By Irrevocable Trust of OSL Disclosed balance after: 0 Underlying: Common Stock · 6,563 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. F2 · deemedExecutionDate: Each share of Series B-1 Preferred Stock automatically converted into one share of Common Stock immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F2 · kind: Each share of Series B-1 Preferred Stock automatically converted into one share of Common Stock immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F2 · derivative.exercise_date: Each share of Series B-1 Preferred Stock automatically converted into one share of Common Stock immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F2 · derivative.expiration_date: Each share of Series B-1 Preferred Stock automatically converted into one share of Common Stock immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. Read SEC document |
| September 22, 2020 Filed Sep 22, 2020 21:15 UTC | LeonaBio, Inc. ATHA · Entity 1487 | ConversionSeries B Preferred Stock · Derivative | 13,126 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-051509 · doc4.xml · derivative · entry 5 Litton Mark James · CIK 0001604834 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 13,126 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 · deemedExecutionDate: Each share of Series B Preferred Stock automatically converted into one share of Common Stock immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F1 · kind: Each share of Series B Preferred Stock automatically converted into one share of Common Stock immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F1 · derivative.exercise_date: Each share of Series B Preferred Stock automatically converted into one share of Common Stock immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F1 · derivative.expiration_date: Each share of Series B Preferred Stock automatically converted into one share of Common Stock immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. Read SEC document |
| September 22, 2020 Filed Sep 22, 2020 21:15 UTC | LeonaBio, Inc. ATHA · Entity 1487 | ConversionCommon Stock | 6,563 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-051509 · doc4.xml · nonDerivative · entry 4 Litton Mark James · CIK 0001604834 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By Irrevocable Trust of WGL Disclosed balance after: 6,563 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. F2 · kind: Each share of Series B-1 Preferred Stock automatically converted into one share of Common Stock immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. Read SEC document |
| September 22, 2020 Filed Sep 22, 2020 21:15 UTC | LeonaBio, Inc. ATHA · Entity 1487 | ConversionCommon Stock | 6,563 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-051509 · doc4.xml · nonDerivative · entry 3 Litton Mark James · CIK 0001604834 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By Irrevocable Trust of SWL Disclosed balance after: 6,563 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. F2 · kind: Each share of Series B-1 Preferred Stock automatically converted into one share of Common Stock immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. Read SEC document |
| September 22, 2020 Filed Sep 22, 2020 21:15 UTC | LeonaBio, Inc. ATHA · Entity 1487 | ConversionCommon Stock | 6,563 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-051509 · doc4.xml · nonDerivative · entry 2 Litton Mark James · CIK 0001604834 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By Irrevocable Trust of OSL Disclosed balance after: 6,563 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. F2 · kind: Each share of Series B-1 Preferred Stock automatically converted into one share of Common Stock immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. Read SEC document |
| September 22, 2020 Filed Sep 22, 2020 21:15 UTC | LeonaBio, Inc. ATHA · Entity 1487 | ConversionCommon Stock | 13,126 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-051509 · doc4.xml · nonDerivative · entry 1 Litton Mark James · CIK 0001604834 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,566 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 · kind: Each share of Series B Preferred Stock automatically converted into one share of Common Stock immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. Read SEC document |
| February 06, 2019 Filed Feb 8, 2019 21:30 UTC | ALPINE IMMUNE SCIENCES, INC. ALPN · Entity 90802 | GrantStock Option (right to buy) · Derivative | 75,000 | $0.00 Strike: $6.51 | $0.00 |
DisclosureSEC source: 0000899243-19-003031 · doc4.xml · derivative · entry 2 Litton Mark James · CIK 0001604834 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,000 Underlying: Common Stock · 75,000 shares Expires 2029-02-05 F2 · derivative.exercise_price: The exercise price is equal to the closing price per share of Common Stock as reported on the Nasdaq Global Market on the date of grant. F3 · derivative.exercise_date: Twenty-five percent (25%) of the shares subject to the Option shall vest on the one (1) year anniversary of February 6, 2019 (the "Vesting Commencement Date") and one forty-eighth (1/48th) of the shares subject to the Option shall vest each month thereafter on the same day of the month as the Vesting Commencement Date (and if there is no corresponding day, on the last day of the month), subject to the Reporting Person continuing to be a Service Provider through each such date. Read SEC document |
| February 06, 2019 Filed Feb 8, 2019 21:30 UTC | ALPINE IMMUNE SCIENCES, INC. ALPN · Entity 90802 | GrantStock Option (right to buy) · Derivative | 25,000 | $0.00 Strike: $6.81 | $0.00 |
DisclosureSEC source: 0000899243-19-003031 · doc4.xml · derivative · entry 1 Litton Mark James · CIK 0001604834 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 Underlying: Common Stock · 25,000 shares Expires 2028-08-05 F2 · derivative.exercise_price: The exercise price is equal to the closing price per share of Common Stock as reported on the Nasdaq Global Market on the date of grant. F1 · derivative.exercise_date: On August 6, 2018, the reporting person was granted an Option to purchase 50,000 shares of Common Stock. The shares underlying the Option vest in two equal tranches upon the reporting person's satisfaction of certain performance criteria. On February 6, 2019, the compensation committee of the Issuer's board of directors determined that the performance criteria for one half of the shares underlying the Option were satisfied, resulting in the vesting of 25,000 of the shares of Common Stock underlying the Option. Read SEC document |
| August 06, 2018 Filed Aug 8, 2018 22:34 UTC | ALPINE IMMUNE SCIENCES, INC. ALPN · Entity 90802 | GrantStock Option (right to buy) · Derivative | 150,000 | $0.00 Strike: $6.81 | $0.00 |
DisclosureSEC source: 0000899243-18-021737 · doc4.xml · derivative · entry 1 Litton Mark James · CIK 0001604834 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 150,000 Underlying: Common Stock · 150,000 shares Expires 2028-08-05 F1 · derivative.exercise_date: Twenty-five percent (25%) of the shares subject to the Option shall vest on the one (1) year anniversary of August 6, 2018 (the "Vesting Commencement Date") and one forty-eighth (1/48th) of the shares subject to the Option shall vest each month thereafter on the same day of the month as the Vesting Commencement Date (and if there is no corresponding day, on the last day of the month), subject to the Reporting Person continuing to be a Service Provider through each such date. Read SEC document |
| June 01, 2018 Filed Jun 5, 2018 17:40 UTC | ALDER BIOPHARMACEUTICALS INC ALDR · Entity 154258 | Exercise / conversionStock Option (Right to Buy) · Derivative | 22,727 | $0.00 Strike: $0.99 | $0.00 |
DisclosureSEC source: 0001209191-18-035863 · doc4.xml · derivative · entry 7 Litton Mark James · CIK 0001604834 · Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 22,727 shares Expires 2019-04-20 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. F6 · derivative.exercise_date: The shares subject to this stock option are fully vested. Read SEC document |
| June 01, 2018 Filed Jun 5, 2018 17:40 UTC | ALDER BIOPHARMACEUTICALS INC ALDR · Entity 154258 | SaleCommon Stock | 4,474 | $18.24 | $81,586.97 |
DisclosureSEC source: 0001209191-18-035863 · doc4.xml · nonDerivative · entry 3 Litton Mark James · CIK 0001604834 · Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 102,189 F3 · shares: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 15, 2018. F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $18.20 to $18.30, 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 sold at each separate price within the range set forth in this footnote 5 to this Form 4. 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.