Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Aprea Therapeutics, Inc.APRE · Entity 7948 | SrVP/CFO/Prin Fin & Acct Ofcr | March 31, 2026 | April 01, 2026 |
| Cellectar Biosciences, Inc.CLRB · Entity 7572 | Interim CFO | September 05, 2017 | September 08, 2017 |
| TREVENA INCTRVN · Entity 85383 | VP Fin,Princ Fin&Acct Officer | May 31, 2019 | June 04, 2019 |
| WINDTREE THERAPEUTICS INC /DE/WINT · Entity 8761 | SVP & CFO | July 26, 2022 | July 26, 2022 |
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.
Aprea Therapeutics, Inc.
Report date March 31, 2026 · Filed April 01, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Pre-Funded WarrantSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 30,978 |
Reported balance
After 2026-03-31 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-03-31 · Purchase · Acquired 30,978 · Balance 30,978 F1: On March 30, 2026, the Issuer entered into a securities purchase agreement (the "Purchase Agreement") with certain accredited investors, including the Reporting Person. Pursuant to the terms of the Purchase Agreement, the Issuer issued and sold to the Reporting Person in a private placement which closed on March 31, 2026, (i) pre-funded warrants ("Pre-Funded Warrants") to purchase up to an aggregate of 30,978 shares of the Issuer's common stock ("Shares") at a purchase price of $0.808, less the $0.001 exercise price, per Pre-Funded Warrant and (ii) accompanying common warrants ("Common Warrants") to purchase up to an aggregate of 30,978 Shares. F2: The Pre-Funded Warrants are immediately exercisable at any time after the date of issuance. Pursuant to the terms of the Pre-Funded Warrants, the Pre-Funded Warrants cannot be exercised to the extent that, upon giving effect to or immediately prior to such exercise, would cause either (i) the aggregate number of shares of Common Stock beneficially owned by such holder (together with its affiliates) would exceed 4.99% of the number of shares of Common Stock outstanding immediately after giving effect to such exercise or (ii) the combined voting power of the Issuer's securities beneficially owned by such holder (together with its affiliates) would exceed 9.99% of the combined voting power of all of the Issuer's securities outstanding immediately after giving effect to the exercise (the "Beneficial Ownership Limitation") |
| Common WarrantSEC Table II · derivative / convertible security · Conversion / exercise price $0.68 | Direct | 30,978 |
Reported balance
After 2026-03-31 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2026-03-31 · Purchase · Acquired 30,978 · Balance 30,978 F1: On March 30, 2026, the Issuer entered into a securities purchase agreement (the "Purchase Agreement") with certain accredited investors, including the Reporting Person. Pursuant to the terms of the Purchase Agreement, the Issuer issued and sold to the Reporting Person in a private placement which closed on March 31, 2026, (i) pre-funded warrants ("Pre-Funded Warrants") to purchase up to an aggregate of 30,978 shares of the Issuer's common stock ("Shares") at a purchase price of $0.808, less the $0.001 exercise price, per Pre-Funded Warrant and (ii) accompanying common warrants ("Common Warrants") to purchase up to an aggregate of 30,978 Shares. F3: The Common Warrants are immediately exercisable, subject to the Beneficial Ownership Limitation. The Common Warrants will expire on the earlier of (ii) December 31, 2029, and (ii) 30 calendars days after the date upon which the Pre-Funded Warrant is exercised, proportional to the amount of such exercise. |
Filing footnotes · ownership attribution and instrument terms
F1: On March 30, 2026, the Issuer entered into a securities purchase agreement (the "Purchase Agreement") with certain accredited investors, including the Reporting Person. Pursuant to the terms of the Purchase Agreement, the Issuer issued and sold to the Reporting Person in a private placement which closed on March 31, 2026, (i) pre-funded warrants ("Pre-Funded Warrants") to purchase up to an aggregate of 30,978 shares of the Issuer's common stock ("Shares") at a purchase price of $0.808, less the $0.001 exercise price, per Pre-Funded Warrant and (ii) accompanying common warrants ("Common Warrants") to purchase up to an aggregate of 30,978 Shares.
F2: The Pre-Funded Warrants are immediately exercisable at any time after the date of issuance. Pursuant to the terms of the Pre-Funded Warrants, the Pre-Funded Warrants cannot be exercised to the extent that, upon giving effect to or immediately prior to such exercise, would cause either (i) the aggregate number of shares of Common Stock beneficially owned by such holder (together with its affiliates) would exceed 4.99% of the number of shares of Common Stock outstanding immediately after giving effect to such exercise or (ii) the combined voting power of the Issuer's securities beneficially owned by such holder (together with its affiliates) would exceed 9.99% of the combined voting power of all of the Issuer's securities outstanding immediately after giving effect to the exercise (the "Beneficial Ownership Limitation")
F3: The Common Warrants are immediately exercisable, subject to the Beneficial Ownership Limitation. The Common Warrants will expire on the earlier of (ii) December 31, 2029, and (ii) 30 calendars days after the date upon which the Pre-Funded Warrant is exercised, proportional to the amount of such exercise.
Cellectar Biosciences, Inc.
Report date September 05, 2017 · Filed September 08, 2017
This filing explicitly reported no securities owned.
TREVENA INC
Report date May 31, 2019 · Filed June 04, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 82,234 |
Ending reported balance
After 2019-06-03 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2019-05-31 · Purchase · Acquired 7,500 · Balance 87,750 Row 2 · 2019-06-03 · Tax withholding · Disposed 5,516 · Balance 82,234 F1: The transaction reported represents the withholding of shares by the Issuer to satisfy the Reporting Person's tax withholding obligations in connection with the non-reportable vesting and settlement of the restricted stock units. |
Filing footnotes · ownership attribution and instrument terms
F1: The transaction reported represents the withholding of shares by the Issuer to satisfy the Reporting Person's tax withholding obligations in connection with the non-reportable vesting and settlement of the restricted stock units.
WINDTREE THERAPEUTICS INC /DE/
Report date July 26, 2022 · Filed July 26, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 72,800 |
Reported balance
After 2022-07-26 transaction · row 1
1 source rowRow 1 · 2022-07-26 · Purchase · Acquired 3,000 · Balance 72,800 F1: The shares were purchased in multiple trades at prices ranging from $0.3639 to $0.37. 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. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares were purchased in multiple trades at prices ranging from $0.3639 to $0.37. 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.
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 |
|---|---|---|---|---|---|---|
| March 31, 2026 Filed Apr 1, 2026 16:15 UTC | Aprea Therapeutics, Inc. APRE · Entity 7948 | PurchaseCommon Warrant · Derivative | 30,978 | Not disclosed Strike: $0.68 | Not disclosed |
DisclosureSEC source: 0001104659-26-038522 · tm2610878-2_4seq1.xml · derivative · entry 2 Hamill John P. · CIK 0001716213 · SrVP/CFO/Prin Fin & Acct Ofcr 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 30,978 Underlying: Common Stock · 30,978 shares Expires not disclosed F1 · security: On March 30, 2026, the Issuer entered into a securities purchase agreement (the "Purchase Agreement") with certain accredited investors, including the Reporting Person. Pursuant to the terms of the Purchase Agreement, the Issuer issued and sold to the Reporting Person in a private placement which closed on March 31, 2026, (i) pre-funded warrants ("Pre-Funded Warrants") to purchase up to an aggregate of 30,978 shares of the Issuer's common stock ("Shares") at a purchase price of $0.808, less the $0.001 exercise price, per Pre-Funded Warrant and (ii) accompanying common warrants ("Common Warrants") to purchase up to an aggregate of 30,978 Shares. F1 · price: On March 30, 2026, the Issuer entered into a securities purchase agreement (the "Purchase Agreement") with certain accredited investors, including the Reporting Person. Pursuant to the terms of the Purchase Agreement, the Issuer issued and sold to the Reporting Person in a private placement which closed on March 31, 2026, (i) pre-funded warrants ("Pre-Funded Warrants") to purchase up to an aggregate of 30,978 shares of the Issuer's common stock ("Shares") at a purchase price of $0.808, less the $0.001 exercise price, per Pre-Funded Warrant and (ii) accompanying common warrants ("Common Warrants") to purchase up to an aggregate of 30,978 Shares. F3 · derivative.expiration_date: The Common Warrants are immediately exercisable, subject to the Beneficial Ownership Limitation. The Common Warrants will expire on the earlier of (ii) December 31, 2029, and (ii) 30 calendars days after the date upon which the Pre-Funded Warrant is exercised, proportional to the amount of such exercise. Read SEC document |
| March 31, 2026 Filed Apr 1, 2026 16:15 UTC | Aprea Therapeutics, Inc. APRE · Entity 7948 | PurchasePre-Funded Warrant · Derivative | 30,978 | $0.81 Strike: $0.00 | $24,999.25 |
DisclosureSEC source: 0001104659-26-038522 · tm2610878-2_4seq1.xml · derivative · entry 1 Hamill John P. · CIK 0001716213 · SrVP/CFO/Prin Fin & Acct Ofcr 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 30,978 Underlying: Common Stock · 30,978 shares Expires not disclosed F1 · security: On March 30, 2026, the Issuer entered into a securities purchase agreement (the "Purchase Agreement") with certain accredited investors, including the Reporting Person. Pursuant to the terms of the Purchase Agreement, the Issuer issued and sold to the Reporting Person in a private placement which closed on March 31, 2026, (i) pre-funded warrants ("Pre-Funded Warrants") to purchase up to an aggregate of 30,978 shares of the Issuer's common stock ("Shares") at a purchase price of $0.808, less the $0.001 exercise price, per Pre-Funded Warrant and (ii) accompanying common warrants ("Common Warrants") to purchase up to an aggregate of 30,978 Shares. F2 · derivative.expiration_date: The Pre-Funded Warrants are immediately exercisable at any time after the date of issuance. Pursuant to the terms of the Pre-Funded Warrants, the Pre-Funded Warrants cannot be exercised to the extent that, upon giving effect to or immediately prior to such exercise, would cause either (i) the aggregate number of shares of Common Stock beneficially owned by such holder (together with its affiliates) would exceed 4.99% of the number of shares of Common Stock outstanding immediately after giving effect to such exercise or (ii) the combined voting power of the Issuer's securities beneficially owned by such holder (together with its affiliates) would exceed 9.99% of the combined voting power of all of the Issuer's securities outstanding immediately after giving effect to the exercise (the "Beneficial Ownership Limitation") Read SEC document |
| March 12, 2026 Filed Mar 16, 2026 18:06 UTC | Aprea Therapeutics, Inc. APRE · Entity 7948 | GrantStock Options (Right to Buy) · Derivative | 40,380 | $0.00 Strike: $0.77 | $0.00 |
DisclosureSEC source: 0001104659-26-028653 · tm268953-1_4seq1.xml · derivative · entry 2 Hamill John P. · CIK 0001716213 · SrVP/CFO/Prin Fin & Acct Ofcr 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 40,380 Underlying: Common Stock · 40,380 shares Expires 2036-03-12 F2 · derivative.exercise_date: Twenty-five percent of these options vest on March 12, 2027, with the remaining options vesting ratably over the following 36 months, subject to the reporting person's continued employment through and including the applicable vesting dates and subject to acceleration under certain conditions. Read SEC document |
| March 12, 2026 Filed Mar 16, 2026 18:06 UTC | Aprea Therapeutics, Inc. APRE · Entity 7948 | GrantCommon Stock | 10,095 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-26-028653 · tm268953-1_4seq1.xml · nonDerivative · entry 1 Hamill John P. · CIK 0001716213 · SrVP/CFO/Prin Fin & Acct Ofcr 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 43,528 F1 · shares: These shares represent restricted stock units and shall vest and be settled in the Issuer's common stock in three (3) equal annual installments beginning on March 12, 2027, until vested in full, subject to the reporting person's continued employment through and including the applicable vesting dates and subject to acceleration under certain conditions. Read SEC document |
| January 30, 2026 Filed Feb 2, 2026 16:05 UTC | Aprea Therapeutics, Inc. APRE · Entity 7948 | PurchaseCommon Warrant · Derivative | 5,700 | Not disclosed Strike: $0.77 | Not disclosed |
DisclosureSEC source: 0001104659-26-009203 · tm264801-1_4seq1.xml · derivative · entry 2 Hamill John P. · CIK 0001716213 · SrVP/CFO/Prin Fin & Acct Ofcr 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 5,700 Underlying: Common Stock · 5,700 shares Expires not disclosed F2 · price: The Common Warrants are immediately exercisable, provided, that, the Common Warrants cannot be exercised to the extent that, upon giving effect to or immediately prior to such exercise, would cause either (i) the aggregate number of shares of Common Stock beneficially owned by such holder (together with its affiliates) would exceed 4.99% of the number of shares of Common Stock outstanding immediately after giving effect to such exercise or (ii) the combined voting power of the Issuer's securities beneficially owned by such holder (together with its affiliates) would exceed 9.99% of the combined voting power of all of the Issuer's securities outstanding immediately after giving effect to the exercise. F3 · price: The Common Warrants will expire on or prior to 5:00 p.m. (New York City time) on the second year anniversary of the earlier of: (i) the effective date of the registration statement registering the underlying Shares of the Common Warrants and (ii) the date the Shares underlying the Common Warrants are eligible for sale under Rule 144 (assuming cashless exercise of the Common Warrants) without the requirement for the Issuer to be in compliance with the current public information required under Rule 144. F2 · derivative.expiration_date: The Common Warrants are immediately exercisable, provided, that, the Common Warrants cannot be exercised to the extent that, upon giving effect to or immediately prior to such exercise, would cause either (i) the aggregate number of shares of Common Stock beneficially owned by such holder (together with its affiliates) would exceed 4.99% of the number of shares of Common Stock outstanding immediately after giving effect to such exercise or (ii) the combined voting power of the Issuer's securities beneficially owned by such holder (together with its affiliates) would exceed 9.99% of the combined voting power of all of the Issuer's securities outstanding immediately after giving effect to the exercise. F3 · derivative.expiration_date: The Common Warrants will expire on or prior to 5:00 p.m. (New York City time) on the second year anniversary of the earlier of: (i) the effective date of the registration statement registering the underlying Shares of the Common Warrants and (ii) the date the Shares underlying the Common Warrants are eligible for sale under Rule 144 (assuming cashless exercise of the Common Warrants) without the requirement for the Issuer to be in compliance with the current public information required under Rule 144. Read SEC document |
| January 30, 2026 Filed Feb 2, 2026 16:05 UTC | Aprea Therapeutics, Inc. APRE · Entity 7948 | PurchaseCommon Stock | 5,700 | $0.89 | $5,073.00 |
DisclosureSEC source: 0001104659-26-009203 · tm264801-1_4seq1.xml · nonDerivative · entry 1 Hamill John P. · CIK 0001716213 · SrVP/CFO/Prin Fin & Acct Ofcr 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 33,433 F1 · shares: On January 28, 2026, the Issuer entered into a securities purchase agreement with certain accredited investors, including the Reporting Person. Pursuant to the terms of the Purchase Agreement, the Issuer issued and sold to the Reporting Person in a private placement, which closed on January 30, 2026, an aggregate of 5,700 shares of the Issuer's common stock (the "Shares") at a purchase price of $0.89 per Share. The Reporting Person also received accompanying common warrants (the "Common Warrants") to purchase up to an aggregate of 5,700 Shares. Read SEC document |
| December 10, 2025 Filed Dec 11, 2025 08:31 UTC | Aprea Therapeutics, Inc. APRE · Entity 7948 | PurchaseCommon Warrant · Derivative | 5,000 | Not disclosed Strike: $1.04 | Not disclosed |
DisclosureSEC source: 0001104659-25-120155 · tm2533219-2_4seq1.xml · derivative · entry 2 Hamill John P. · CIK 0001716213 · SrVP/CFO/Prin Fin & Acct Ofcr 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 5,000 Underlying: Common Stock · 5,000 shares Expires not disclosed F2 · price: The Common Warrants are immediately exercisable, provided, that, the Common Warrants cannot be exercised to the extent that, upon giving effect to or immediately prior to such exercise, would cause either (i) the aggregate number of shares of Common Stock beneficially owned by such holder (together with its affiliates) would exceed 4.99% of the number of shares of Common Stock outstanding immediately after giving effect to such exercise or (ii) the combined voting power of the Issuer's securities beneficially owned by such holder (together with its affiliates) would exceed 9.99% of the combined voting power of all of the Issuer's securities outstanding immediately after giving effect to the exercise. F3 · price: The Common Warrants will expire on or prior to 5:00 p.m. (New York City time) on the fifth year anniversary of the earlier of: (i) the effective date of the registration statement registering the underlying Shares of the Common Warrants and (ii) the date the Shares underlying the Common Warrants are eligible for sale under Rule 144 (assuming cashless exercise of the Common Warrants) without the requirement for the Issuer to be in compliance with the current public information required under Rule 144. F2 · derivative.expiration_date: The Common Warrants are immediately exercisable, provided, that, the Common Warrants cannot be exercised to the extent that, upon giving effect to or immediately prior to such exercise, would cause either (i) the aggregate number of shares of Common Stock beneficially owned by such holder (together with its affiliates) would exceed 4.99% of the number of shares of Common Stock outstanding immediately after giving effect to such exercise or (ii) the combined voting power of the Issuer's securities beneficially owned by such holder (together with its affiliates) would exceed 9.99% of the combined voting power of all of the Issuer's securities outstanding immediately after giving effect to the exercise. F3 · derivative.expiration_date: The Common Warrants will expire on or prior to 5:00 p.m. (New York City time) on the fifth year anniversary of the earlier of: (i) the effective date of the registration statement registering the underlying Shares of the Common Warrants and (ii) the date the Shares underlying the Common Warrants are eligible for sale under Rule 144 (assuming cashless exercise of the Common Warrants) without the requirement for the Issuer to be in compliance with the current public information required under Rule 144. Read SEC document |
| December 10, 2025 Filed Dec 11, 2025 08:31 UTC | Aprea Therapeutics, Inc. APRE · Entity 7948 | PurchaseCommon Stock | 5,000 | $1.17 | $5,825.00 |
DisclosureSEC source: 0001104659-25-120155 · tm2533219-2_4seq1.xml · nonDerivative · entry 1 Hamill John P. · CIK 0001716213 · SrVP/CFO/Prin Fin & Acct Ofcr 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 27,733 F1 · shares: On December 8, 2025, the Issuer entered into a securities purchase agreement with certain accredited investors, including the Reporting Person. Pursuant to the terms of the Purchase Agreement, the Issuer issued and sold to the Reporting Person in a private placement which closed on December 10, 2025 an aggregate of 5,000 shares of the Issuer's common stock ("Shares") at a purchase price of $1.165. The Reporting Person also received accompanying common warrants ("Common Warrants") to purchase up to an aggregate of 5,000 Shares. Read SEC document |
| March 27, 2025 Filed Mar 31, 2025 16:31 UTC | Aprea Therapeutics, Inc. APRE · Entity 7948 | GrantStock Options (Right to Buy) · Derivative | 13,460 | $0.00 Strike: $2.20 | $0.00 |
DisclosureSEC source: 0001104659-25-029920 · tm2510809-2_4seq1.xml · derivative · entry 2 Hamill John P. · CIK 0001716213 · SrVP/CFO/Prin Fin & Acct Ofcr 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 13,460 Underlying: Common Stock · 13,460 shares Expires 2035-03-28 F2 · derivative.exercise_date: Twenty-five percent of these options vest on March 27, 2026, with the remaining options vesting ratably over the following 36 months, subject to the reporting person's continued employment through and including the applicable vesting dates and subject to acceleration under certain conditions. Read SEC document |
| March 27, 2025 Filed Mar 31, 2025 16:31 UTC | Aprea Therapeutics, Inc. APRE · Entity 7948 | GrantCommon Stock | 3,365 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-25-029920 · tm2510809-2_4seq1.xml · nonDerivative · entry 1 Hamill John P. · CIK 0001716213 · SrVP/CFO/Prin Fin & Acct Ofcr 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 22,733 F1 · shares: These shares represent restricted stock units and shall vest and be settled in the Issuer's common stock in three (3) equal annual installments beginning on March 27, 2026, until vested in full, subject to the reporting person's continued employment through and including the applicable vesting dates and subject to acceleration under certain conditions. Read SEC document |
| October 11, 2024 Filed Oct 16, 2024 08:30 UTC | Aprea Therapeutics, Inc. APRE · Entity 7948 | PurchaseCommon Stock | 50 | $2.46 | $123.19 |
DisclosureSEC source: 0001104659-24-108962 · tm2426059-2_4seq1.xml · nonDerivative · entry 1 Hamill John P. · CIK 0001716213 · SrVP/CFO/Prin Fin & Acct Ofcr 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 19,368 Read SEC document |
| October 10, 2024 Filed Oct 15, 2024 08:30 UTC | Aprea Therapeutics, Inc. APRE · Entity 7948 | PurchaseCommon Stock | 450 | $2.61 | $1,174.50 |
DisclosureSEC source: 0001104659-24-108373 · tm2426059-1_4seq1.xml · nonDerivative · entry 1 Hamill John P. · CIK 0001716213 · SrVP/CFO/Prin Fin & Acct Ofcr 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 19,318 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.55 to $2.618, inclusive. The reporting person undertakes to provide to the issuer or to 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 herein. Read SEC document |
| March 28, 2024 Filed Mar 28, 2024 17:59 UTC | Aprea Therapeutics, Inc. APRE · Entity 7948 | GrantStock Options (Right to Buy) · Derivative | 13,460 | $0.00 Strike: $6.69 | $0.00 |
DisclosureSEC source: 0001104659-24-040645 · tm2410009-2_4seq1.xml · derivative · entry 2 Hamill John P. · CIK 0001716213 · SrVP/CFO/Prin Fin & Acct Ofcr 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 13,460 Underlying: Common Stock · 13,460 shares Expires 2024-03-28 F2 · derivative.exercise_date: Twenty-five percent of these options vest on March 28, 2025, with the remaining options vesting ratably over the following 36 months, subject to the reporting person's continued employment through and including the applicable vesting dates and subject to acceleration under certain conditions. Read SEC document |
| March 28, 2024 Filed Mar 28, 2024 17:59 UTC | Aprea Therapeutics, Inc. APRE · Entity 7948 | GrantCommon Stock | 3,365 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-24-040645 · tm2410009-2_4seq1.xml · nonDerivative · entry 1 Hamill John P. · CIK 0001716213 · SrVP/CFO/Prin Fin & Acct Ofcr 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 18,868 F1 · shares: These shares represent restricted stock units ("RSUs") and shall vest and be settled in the Issuer's common stock ("Common Stock") in three (3) equal annual installments beginning on March 28, 2025, until vested in full, subject to the reporting person's continued employment through and including the applicable vesting dates and subject to acceleration under certain conditions. Read SEC document |
| March 13, 2024 Filed Mar 14, 2024 20:54 UTC | Aprea Therapeutics, Inc. APRE · Entity 7948 | PurchaseTranche B Warrant · Derivative | 505 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-24-034673 · tm248935-4_4seq1.xml · derivative · entry 3 Hamill John P. · CIK 0001716213 · SrVP/CFO/Prin Fin & Acct Ofcr 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 505 Underlying: Common Stock · 505 shares Expires not disclosed F4 · derivative.exercise_price: The exercise price of the Tranche B Warrants is as follows: 505 shares of the Company's common stock at the exercise price of $9.1125 per share or warrants for an exercise price of $9.1125 minus $0.001 per share. F6 · price: The purchase price for the Tranche B Warrants is included in the purchase price for the shares of Common Stock reflected in Table I above. F5 · derivative.expiration_date: Tranche B Warrants shall expire on March 13, 2029; provided, however, that (A) if (i) the Company publicly announces, the recommended Phase 2 dose for APR-1051, and (ii) the daily VWAP of the Common Stock equals or exceeds $18.225 per share for any 30 consecutive Trading Day period commencing on or after the Trading Day on which the announcement was made, then the Termination Date shall be 30 days following the date on which both (i) and (ii) above have occurred. Read SEC document |
| March 13, 2024 Filed Mar 14, 2024 20:54 UTC | Aprea Therapeutics, Inc. APRE · Entity 7948 | PurchaseTranche A Warrant · Derivative | 505 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-24-034673 · tm248935-4_4seq1.xml · derivative · entry 2 Hamill John P. · CIK 0001716213 · SrVP/CFO/Prin Fin & Acct Ofcr 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 505 Underlying: Common Stock · 505 shares Expires not disclosed F1 · derivative.exercise_price: The exercise price of the Tranche A Warrants is as follows: 505 shares of the Company's common stock at the exercise price of $7.29 per share or warrants for an exercise price of $7.29 minus $0.001 per share. F3 · price: The purchase price for the Tranche A Warrants is included in the purchase price for the shares of Common Stock reflected in Table I above. F2 · derivative.expiration_date: Tranche A Warrants shall expire on March 13, 2027; provided, however, that (A) if (i) the Company publicly announces, the recommended Phase 2 dose for ATRN-119, and (ii) the daily VWAP of the Common Stock equals or exceeds $14.58 per share for any 30 consecutive Trading Day period commencing on or after the Trading Day on which the announcement was made, then the Termination Date shall be 30 days following the date on which both (i) and (ii) above have occurred. Read SEC document |
| March 13, 2024 Filed Mar 14, 2024 20:54 UTC | Aprea Therapeutics, Inc. APRE · Entity 7948 | PurchaseCommon Stock | 1,010 | $7.29 | $7,362.90 |
DisclosureSEC source: 0001104659-24-034673 · tm248935-4_4seq1.xml · nonDerivative · entry 1 Hamill John P. · CIK 0001716213 · SrVP/CFO/Prin Fin & Acct Ofcr 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 15,503 Read SEC document |
| February 27, 2023 Filed Feb 27, 2023 18:37 UTC | Aprea Therapeutics, Inc. APRE · Entity 7948 | GrantCommon Stock | 1,000 | $5.25 | $5,250.00 |
DisclosureSEC source: 0001104659-23-026159 · tm238004-1_4seq1.xml · nonDerivative · entry 1 Hamill John P. · CIK 0001716213 · SrVP/CFO/Prin Fin & Acct Ofcr 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,493 F1 · balance_after: Effective February 13, 2023, the Issuer completed a 1-for-20 reverse stock split (the "Reverse Stock Split") of its outstanding Common Stock. The number of securities reported on this Form 4 has been adjusted to reflect the Reverse Stock Split. Read SEC document |
| January 30, 2023 Filed Jan 30, 2023 17:21 UTC | Aprea Therapeutics, Inc. APRE · Entity 7948 | GrantEmployee Stock Option (Right to Buy) · Derivative | 539,758 | $0.00 Strike: $0.50 | $0.00 |
DisclosureSEC source: 0001104659-23-008064 · tm234680-2_4seq1.xml · derivative · entry 2 Hamill John P. · CIK 0001716213 · SrVP/CFO/Prin. Fin&Acctg. Off 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 539,758 Underlying: Common Stock · 539,758 shares Expires 2033-01-30 F2 · derivative.exercise_date: Twenty-five percent of these options vest on January 30, 2024, with the remaining options vesting ratably over the following 36 months, subject to the reporting person's continued employment through and including the applicable vesting dates and subject to acceleration under certain conditions. Read SEC document |
| January 30, 2023 Filed Jan 30, 2023 17:21 UTC | Aprea Therapeutics, Inc. APRE · Entity 7948 | GrantCommon Stock | 269,879 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-23-008064 · tm234680-2_4seq1.xml · nonDerivative · entry 1 Hamill John P. · CIK 0001716213 · SrVP/CFO/Prin. Fin&Acctg. Off 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 269,879 F1 · shares: These shares represent restricted stock units which were granted on January 30, 2023, and which will vest and be settled in common stock in three equal, annual installments beginning on January 30, 2024, January 30, 2025, and January 30, 2026, subject to the reporting person's continued employment through and including the applicable vesting dates and subject to acceleration under certain conditions. Read SEC document |
| July 26, 2022 Filed Jul 26, 2022 20:38 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | PurchaseCommon Stock | 3,000 | $0.37 | $1,099.80 |
DisclosureSEC source: 0001437749-22-017793 · rdgdoc.xml · nonDerivative · entry 1 Hamill John P. · CIK 0001716213 · SVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 72,800 F1 · price: The shares were purchased in multiple trades at prices ranging from $0.3639 to $0.37. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| March 04, 2022 Filed Mar 7, 2022 22:52 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | GrantEmployee Stock Option (Right to Buy) · Derivative | 99,600 | $0.00 Strike: $1.02 | $0.00 |
DisclosureSEC source: 0001437749-22-005421 · rdgdoc.xml · derivative · entry 2 Hamill John P. · CIK 0001716213 · SVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 99,600 Underlying: Common Stock · 99,600 shares Expires 2032-03-04 F2 · derivative.exercise_date: This employee stock option shall vest and become exercisable with respect to one-twelfth of the total number of shares subject to the options on a quarterly basis (every three months) with the first vest date on May 31, 2022 provided that the reporting person remains in continuous service on each vesting date. Read SEC document |
| March 04, 2022 Filed Mar 7, 2022 22:52 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | GrantCommon Stock | 66,300 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-22-005421 · rdgdoc.xml · nonDerivative · entry 1 Hamill John P. · CIK 0001716213 · SVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,800 F1 · shares: These shares represent restricted stock units (RSUs), which represent a contingent right to receive the equivalent number of shares of common stock. These RSUs shall vest with respect to one-third of the total number of shares subject to the RSUs on an annual basis (every 12 months) with the first vest date on February 28, 2023 provided that the reporting person remains in continuous service on each vesting date. Read SEC document |
| April 16, 2021 Filed Apr 19, 2021 11:49 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | PurchaseCommon Stock | 1,000 | $2.07 | $2,066.90 |
DisclosureSEC source: 0001437749-21-009187 · rdgdoc.xml · nonDerivative · entry 1 Hamill John P. · CIK 0001716213 · SVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,500 F1 · price: The shares were purchased in multiple trades at prices ranging from $2.065 to $2.0685. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| March 25, 2021 Filed Mar 25, 2021 20:44 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | PurchaseCommon Stock Warrants · Derivative | 1,500 | $0.00 Strike: $3.60 | $0.00 |
DisclosureSEC source: 0001437749-21-007172 · rdgdoc.xml · derivative · entry 2 Hamill John P. · CIK 0001716213 · SVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,500 Underlying: Common Stock · 1,500 shares Expires 2026-03-25 F1 · price: Issued in connection with the purchase of shares of common stock on March 25, 2021 as reported above. Read SEC document |
| March 25, 2021 Filed Mar 25, 2021 20:44 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | PurchaseCommon Stock | 1,500 | $3.25 | $4,875.00 |
DisclosureSEC source: 0001437749-21-007172 · rdgdoc.xml · nonDerivative · entry 1 Hamill John P. · CIK 0001716213 · SVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,500 Read SEC document |
| January 22, 2021 Filed Jan 26, 2021 21:35 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | GrantEmployee Stock Option (Right to Buy) · Derivative | 60,000 | $0.00 Strike: $5.44 | $0.00 |
DisclosureSEC source: 0001437749-21-001284 · rdgdoc.xml · derivative · entry 2 Hamill John P. · CIK 0001716213 · SVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,000 Underlying: Common Stock · 60,000 shares Expires 2031-01-22 F1 · derivative.exercise_date: This employee stock option shall vest in a series of three successive, equal installments beginning with the first anniversary of the grant date. Read SEC document |
| October 07, 2020 Filed Oct 9, 2020 12:06 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | PurchaseCommon Stock | 1,000 | $5.27 | $5,270.00 |
DisclosureSEC source: 0001437749-20-020957 · rdgdoc.xml · nonDerivative · entry 1 Hamill John P. · CIK 0001716213 · SVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,000 Read SEC document |
| July 20, 2020 Filed Jul 22, 2020 20:52 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | GrantNon-Qualified Stock Option (Right to Buy) · Derivative | 211,000 | $0.00 Strike: $6.98 | $0.00 |
DisclosureSEC source: 0001437749-20-015549 · rdgdoc.xml · derivative · entry 1 Hamill John P. · CIK 0001716213 · SVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 211,000 Underlying: Common Stock · 211,000 shares Expires 2030-07-20 F1 · derivative.exercise_date: The stock option vests in a series of three successive, equal installments beginning with the first anniversary of the grant. The stock option is an inducement grant pursuant to Nasdaq Listing Rule 5635(c)(4). Read SEC document |
| June 03, 2019 Filed Jun 4, 2019 20:52 UTC | TREVENA INC TRVN · Entity 85383 | Tax withholdingCommon Stock | 5,516 | $1.17 | $6,453.72 |
DisclosureSEC source: 0001209191-19-034359 · doc4.xml · nonDerivative · entry 2 Hamill John P. · CIK 0001716213 · VP Fin,Princ Fin&Acct Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 82,234 F1 · kind: The transaction reported represents the withholding of shares by the Issuer to satisfy the Reporting Person's tax withholding obligations in connection with the non-reportable vesting and settlement of the restricted stock units. Read SEC document |
| May 31, 2019 Filed Jun 4, 2019 20:52 UTC | TREVENA INC TRVN · Entity 85383 | PurchaseCommon Stock | 7,500 | $1.16 | $8,700.00 |
DisclosureSEC source: 0001209191-19-034359 · doc4.xml · nonDerivative · entry 1 Hamill John P. · CIK 0001716213 · VP Fin,Princ Fin&Acct Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 87,750 Read SEC document |
| December 06, 2018 Filed Dec 10, 2018 21:49 UTC | TREVENA INC TRVN · Entity 85383 | GrantCommon Stock | 80,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-061799 · doc4.xml · nonDerivative · entry 1 Hamill John P. · CIK 0001716213 · VP Fin,Princ Fin&Acct Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,250 F1 · shares: These shares are represented by restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of common stock of the Issuer. Of the shares underlying the RSU, 25% of the total number of shares subject to the RSU shall vest on June 1, 2019, 25% of the total number of shares subject to the RSU shall vest on December 1, 2019 and 50% of the total number of shares subject to the RSU shall vest on December 6, 2020, until such time as the RSU is vested with respect to all the shares subject to the RSU, subject to the Reporting Person's Contintuous Service (as defined in the 2013 Equity Incentive Plan, as amended) as of each such vesting date. Read SEC document |
| August 31, 2018 Filed Sep 4, 2018 20:57 UTC | TREVENA INC TRVN · Entity 85383 | GrantStock Option (Right to Buy) · Derivative | 52,500 | $0.00 Strike: $1.80 | $0.00 |
DisclosureSEC source: 0001209191-18-049241 · doc4.xml · derivative · entry 1 Hamill John P. · CIK 0001716213 · VP Fin,Princ Fin&Acct Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,500 Underlying: Common Stock · 52,500 shares Expires 2028-08-31 F1 · derivative.exercise_date: The option shall vest and become exercisable with respect to one-sixteenth of the total number of shares subject to the option on a quarterly basis (every three months) from the Transaction Date listed above, subject to the reporting person's Continuous Service (as defined in the Trevena, Inc. 2013 Equity Incentive Plan, as amended) as of each such vesting date. 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.