Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Ascendis Pharma A/SASND · Entity 1628 | Director | March 18, 2026 | March 18, 2026 |
| Biohaven Pharmaceutical Holding Co Ltd.BHVN · Entity 123269 | Director | May 01, 2018 | May 03, 2018 |
| Frazier Life Sciences Acquisition Corp. IIFLSC · Entity 184069 | Director · Chief Executive Officer · 10% owner | October 13, 2026 | October 13, 2026 |
| KalVista Pharmaceuticals, Inc.KALV · Entity 39180 | Director | September 26, 2023 | September 28, 2023 |
| Yarrow Bioscience, Inc.MNLO · Entity 6871 | Director | January 25, 2018 | January 29, 2018 |
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.
Ascendis Pharma A/S
Report date March 18, 2026 · Filed March 18, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Ordinary SharesSEC Table I · non-derivative | Direct | 3,730 |
Reported balance
Holding disclosure · report date 2026-03-18 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 3,730 F1: Includes American Depositary Shares ("ADS"). Each ADS represents one Ordinary Share. |
| WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $62.17 · Expires 2028-12-11 | Direct | Not disclosed |
Reported balance
Holding disclosure · report date 2026-03-18 · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · Balance Not disclosed F2: The warrants are fully vested and currently exercisable. |
| WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $108.00 · Expires 2029-12-10 | Direct | Not disclosed |
Reported balance
Holding disclosure · report date 2026-03-18 · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · Balance Not disclosed F2: The warrants are fully vested and currently exercisable. |
| WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $176.28 · Expires 2030-12-10 | Direct | Not disclosed |
Reported balance
Holding disclosure · report date 2026-03-18 · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · Balance Not disclosed F2: The warrants are fully vested and currently exercisable. |
| WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $139.65 · Expires 2031-12-09 | Direct | Not disclosed |
Reported balance
Holding disclosure · report date 2026-03-18 · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · Balance Not disclosed F2: The warrants are fully vested and currently exercisable. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | Not disclosed |
Reported balance
Holding disclosure · report date 2026-03-18 · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · Balance Not disclosed F4: Each restricted stock unit represents a contingent right to receive one ADS. F3: The restricted stock units vest on March 1, 2027 and have no expiration date. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | Not disclosed |
Reported balance
Holding disclosure · report date 2026-03-18 · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · Balance Not disclosed F4: Each restricted stock unit represents a contingent right to receive one ADS. F5: The restricted stock units vest in two equal annual installments beginning on March 1, 2027. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | Not disclosed |
Reported balance
Holding disclosure · report date 2026-03-18 · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · Balance Not disclosed F4: Each restricted stock unit represents a contingent right to receive one ADS. F6: The restricted stock units vest in three equal annual installments beginning on March 1, 2027. |
Filing footnotes · ownership attribution and instrument terms
F1: Includes American Depositary Shares ("ADS"). Each ADS represents one Ordinary Share.
F2: The warrants are fully vested and currently exercisable.
F3: The restricted stock units vest on March 1, 2027 and have no expiration date.
F4: Each restricted stock unit represents a contingent right to receive one ADS.
F5: The restricted stock units vest in two equal annual installments beginning on March 1, 2027.
F6: The restricted stock units vest in three equal annual installments beginning on March 1, 2027.
Biohaven Pharmaceutical Holding Co Ltd.
Report date May 01, 2018 · Filed May 03, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $28.76 · Expires 2028-04-30 | Direct | 18,000 |
Reported balance
After 2018-05-01 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2018-05-01 · Grant · Acquired 18,000 · Balance 18,000 F1: The shares subject to this stock option will vest in full on the earlier of (a) May 1, 2019 or (b) the date of the 2019 Annual Meeting of Shareholders, in each case subject to the Reporting Person's continuous service with the Issuer through such vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares subject to this stock option will vest in full on the earlier of (a) May 1, 2019 or (b) the date of the 2019 Annual Meeting of Shareholders, in each case subject to the Reporting Person's continuous service with the Issuer through such vesting date.
Frazier Life Sciences Acquisition Corp. II
Report date October 13, 2026 · Filed October 13, 2026
Jointly reported with Frazier Life Sciences Holdings II LLC, Frazier Life Sciences Public Fund, L.P., FHMLSP, L.P., FHMLSP, L.L.C.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class B ordinary sharesSEC Table II · derivative / convertible security | IndirectBy Frazier Life Sciences Holdings II, LLC | Not disclosed |
Reported balance
Holding disclosure · report date 2026-10-13 · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · Balance Not disclosed F1: The Class B Ordinary Shares will automatically convert into Class A Ordinary Shares immediately prior to, concurrently with or immediately following the consummation of the Issuer's initial business combination, or at any time prior thereto at the option of the Reporting Person, on a one-for-one basis, subject to adjustment, and have no expiration date. F2: Securities held by Frazier Life Sciences Holdings II, LLC ("Sponsor"). Albert Cha is the sole manager of Sponsor, and Frazier Life Sciences Public Fund, L.P. is its sole equity holder. FHMLSP, L.P. is the general partner of Frazier Life Sciences Public Fund, L.P. and FHMLSP, L.L.C. is the general partner of FHMLSP, L.P. The Reporting Persons disclaim beneficial ownership of such shares except to the extent of its or his pecuniary interest therein, if any. |
Filing footnotes · ownership attribution and instrument terms
F1: The Class B Ordinary Shares will automatically convert into Class A Ordinary Shares immediately prior to, concurrently with or immediately following the consummation of the Issuer's initial business combination, or at any time prior thereto at the option of the Reporting Person, on a one-for-one basis, subject to adjustment, and have no expiration date.
F2: Securities held by Frazier Life Sciences Holdings II, LLC ("Sponsor"). Albert Cha is the sole manager of Sponsor, and Frazier Life Sciences Public Fund, L.P. is its sole equity holder. FHMLSP, L.P. is the general partner of Frazier Life Sciences Public Fund, L.P. and FHMLSP, L.L.C. is the general partner of FHMLSP, L.P. The Reporting Persons disclaim beneficial ownership of such shares except to the extent of its or his pecuniary interest therein, if any.
KalVista Pharmaceuticals, Inc.
Report date September 26, 2023 · Filed September 28, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $10.08 · Expires 2033-09-25 | Direct | 10,000 |
Reported balance
After 2023-09-26 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2023-09-26 · Grant · Acquired 10,000 · Balance 10,000 F1: The option vests over a 12 month period: 1/12th on October 26, 2023, after which 1/12th of the total shares vest monthly, subject to continued service through each vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: The option vests over a 12 month period: 1/12th on October 26, 2023, after which 1/12th of the total shares vest monthly, subject to continued service through each vesting date.
Yarrow Bioscience, Inc.
Report date January 25, 2018 · Filed January 29, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy Vivo Capital Fund VIII, L.P. | 3,524,541 |
Last balance in matching sequence
After 2018-01-29 transaction · row 5
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rowsRow 1 · 2018-01-25 · Purchase · Acquired 258,432 · Balance 258,432 F1: The reporting person is one of the managing members of Vivo Capital VII, LLC ("Vivo LLC"), which is the general partner of each of Vivo Capital Fund VIII, L.P. ("VCF") and Vivo Capital Surplus Fund VIII, L.P. ("VCSF"), the record holders of the securities, and the reporting person therefore may be deemed to share voting and dispositive power over the securities held by VCF and VCSF. The reporting person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Row 3 · 2018-01-29 · Conversion · Acquired 2,348,550 · Balance 2,606,982 F2: Effective immediately prior to the closing of the Issuer's initial public offering of its common stock, each share of the Series B Preferred Stock and Series C Preferred Stock automatically converted into 0.3707 shares of the Issuer's common stock. F1: The reporting person is one of the managing members of Vivo Capital VII, LLC ("Vivo LLC"), which is the general partner of each of Vivo Capital Fund VIII, L.P. ("VCF") and Vivo Capital Surplus Fund VIII, L.P. ("VCSF"), the record holders of the securities, and the reporting person therefore may be deemed to share voting and dispositive power over the securities held by VCF and VCSF. The reporting person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Row 5 · 2018-01-29 · Conversion · Acquired 917,559 · Balance 3,524,541 F2: Effective immediately prior to the closing of the Issuer's initial public offering of its common stock, each share of the Series B Preferred Stock and Series C Preferred Stock automatically converted into 0.3707 shares of the Issuer's common stock. F1: The reporting person is one of the managing members of Vivo Capital VII, LLC ("Vivo LLC"), which is the general partner of each of Vivo Capital Fund VIII, L.P. ("VCF") and Vivo Capital Surplus Fund VIII, L.P. ("VCSF"), the record holders of the securities, and the reporting person therefore may be deemed to share voting and dispositive power over the securities held by VCF and VCSF. The reporting person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. |
| Common StockSEC Table I · non-derivative | IndirectBy Vivo Capital Surplus Fund III, L.P. | 486,695 |
Last balance in matching sequence
After 2018-01-29 transaction · row 6
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rowsRow 2 · 2018-01-25 · Purchase · Acquired 35,686 · Balance 35,686 F1: The reporting person is one of the managing members of Vivo Capital VII, LLC ("Vivo LLC"), which is the general partner of each of Vivo Capital Fund VIII, L.P. ("VCF") and Vivo Capital Surplus Fund VIII, L.P. ("VCSF"), the record holders of the securities, and the reporting person therefore may be deemed to share voting and dispositive power over the securities held by VCF and VCSF. The reporting person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Row 4 · 2018-01-29 · Conversion · Acquired 324,306 · Balance 359,992 F2: Effective immediately prior to the closing of the Issuer's initial public offering of its common stock, each share of the Series B Preferred Stock and Series C Preferred Stock automatically converted into 0.3707 shares of the Issuer's common stock. F1: The reporting person is one of the managing members of Vivo Capital VII, LLC ("Vivo LLC"), which is the general partner of each of Vivo Capital Fund VIII, L.P. ("VCF") and Vivo Capital Surplus Fund VIII, L.P. ("VCSF"), the record holders of the securities, and the reporting person therefore may be deemed to share voting and dispositive power over the securities held by VCF and VCSF. The reporting person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Row 6 · 2018-01-29 · Conversion · Acquired 126,703 · Balance 486,695 F2: Effective immediately prior to the closing of the Issuer's initial public offering of its common stock, each share of the Series B Preferred Stock and Series C Preferred Stock automatically converted into 0.3707 shares of the Issuer's common stock. F1: The reporting person is one of the managing members of Vivo Capital VII, LLC ("Vivo LLC"), which is the general partner of each of Vivo Capital Fund VIII, L.P. ("VCF") and Vivo Capital Surplus Fund VIII, L.P. ("VCSF"), the record holders of the securities, and the reporting person therefore may be deemed to share voting and dispositive power over the securities held by VCF and VCSF. The reporting person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. |
| Series B Preferred StockSEC Table II · derivative / convertible security | IndirectBy Vivo Capital Fund VIII, L.P. | 0 |
Reported balance
After 2018-01-29 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2018-01-29 · Conversion · Disposed 6,335,215 · Balance 0 F2: Effective immediately prior to the closing of the Issuer's initial public offering of its common stock, each share of the Series B Preferred Stock and Series C Preferred Stock automatically converted into 0.3707 shares of the Issuer's common stock. F1: The reporting person is one of the managing members of Vivo Capital VII, LLC ("Vivo LLC"), which is the general partner of each of Vivo Capital Fund VIII, L.P. ("VCF") and Vivo Capital Surplus Fund VIII, L.P. ("VCSF"), the record holders of the securities, and the reporting person therefore may be deemed to share voting and dispositive power over the securities held by VCF and VCSF. The reporting person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. |
| Series B Preferred StockSEC Table II · derivative / convertible security | IndirectBy Vivo Capital Surplus Fund III, L.P. | 0 |
Reported balance
After 2018-01-29 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2018-01-29 · Conversion · Disposed 874,817 · Balance 0 F2: Effective immediately prior to the closing of the Issuer's initial public offering of its common stock, each share of the Series B Preferred Stock and Series C Preferred Stock automatically converted into 0.3707 shares of the Issuer's common stock. F1: The reporting person is one of the managing members of Vivo Capital VII, LLC ("Vivo LLC"), which is the general partner of each of Vivo Capital Fund VIII, L.P. ("VCF") and Vivo Capital Surplus Fund VIII, L.P. ("VCSF"), the record holders of the securities, and the reporting person therefore may be deemed to share voting and dispositive power over the securities held by VCF and VCSF. The reporting person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. |
| Series C Preferred StockSEC Table II · derivative / convertible security | IndirectBy Vivo Capital Fund VIII, L.P. | 0 |
Reported balance
After 2018-01-29 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2018-01-29 · Conversion · Disposed 2,475,118 · Balance 0 F2: Effective immediately prior to the closing of the Issuer's initial public offering of its common stock, each share of the Series B Preferred Stock and Series C Preferred Stock automatically converted into 0.3707 shares of the Issuer's common stock. F1: The reporting person is one of the managing members of Vivo Capital VII, LLC ("Vivo LLC"), which is the general partner of each of Vivo Capital Fund VIII, L.P. ("VCF") and Vivo Capital Surplus Fund VIII, L.P. ("VCSF"), the record holders of the securities, and the reporting person therefore may be deemed to share voting and dispositive power over the securities held by VCF and VCSF. The reporting person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. |
| Series C Preferred StockSEC Table II · derivative / convertible security | IndirectBy Vivo Capital Surplus Fund III, L.P. | 0 |
Reported balance
After 2018-01-29 transaction · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · 2018-01-29 · Conversion · Disposed 341,784 · Balance 0 F2: Effective immediately prior to the closing of the Issuer's initial public offering of its common stock, each share of the Series B Preferred Stock and Series C Preferred Stock automatically converted into 0.3707 shares of the Issuer's common stock. F1: The reporting person is one of the managing members of Vivo Capital VII, LLC ("Vivo LLC"), which is the general partner of each of Vivo Capital Fund VIII, L.P. ("VCF") and Vivo Capital Surplus Fund VIII, L.P. ("VCSF"), the record holders of the securities, and the reporting person therefore may be deemed to share voting and dispositive power over the securities held by VCF and VCSF. The reporting person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. |
Filing footnotes · ownership attribution and instrument terms
F1: The reporting person is one of the managing members of Vivo Capital VII, LLC ("Vivo LLC"), which is the general partner of each of Vivo Capital Fund VIII, L.P. ("VCF") and Vivo Capital Surplus Fund VIII, L.P. ("VCSF"), the record holders of the securities, and the reporting person therefore may be deemed to share voting and dispositive power over the securities held by VCF and VCSF. The reporting person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
F2: Effective immediately prior to the closing of the Issuer's initial public offering of its common stock, each share of the Series B Preferred Stock and Series C Preferred Stock automatically converted into 0.3707 shares of the Issuer's common stock.
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 |
|---|---|---|---|---|---|---|
| September 26, 2023 Filed Sep 28, 2023 20:52 UTC | KalVista Pharmaceuticals, Inc. KALV · Entity 39180 | GrantStock Option (right to buy) · Derivative | 10,000 | $0.00 Strike: $10.08 | $0.00 |
DisclosureSEC source: 0001209191-23-050750 · doc4.xml · derivative · entry 1 Cha Albert · CIK 0001397906 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 10,000 Underlying: Common Stock · 10,000 shares Expires 2033-09-25 F1 · derivative.exercise_date: The option vests over a 12 month period: 1/12th on October 26, 2023, after which 1/12th of the total shares vest monthly, subject to continued service through each vesting date. Read SEC document |
| September 11, 2023 Filed Sep 13, 2023 20:29 UTC | KalVista Pharmaceuticals, Inc. KALV · Entity 39180 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 12,000 | $0.00 Strike: $7.88 | $0.00 |
DisclosureSEC source: 0001209191-23-049268 · doc4.xml · derivative · entry 5 Cha Albert · CIK 0001397906 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 12,000 shares Expires 2027-03-22 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 · derivative.exercise_date: The option is fully vested. Read SEC document |
| September 11, 2023 Filed Sep 13, 2023 20:29 UTC | KalVista Pharmaceuticals, Inc. KALV · Entity 39180 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 6,000 | $0.00 Strike: $6.71 | $0.00 |
DisclosureSEC source: 0001209191-23-049268 · doc4.xml · derivative · entry 4 Cha Albert · CIK 0001397906 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 6,000 shares Expires 2027-09-27 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 · derivative.exercise_date: The option is fully vested. Read SEC document |
| September 11, 2023 Filed Sep 13, 2023 20:29 UTC | KalVista Pharmaceuticals, Inc. KALV · Entity 39180 | SaleCommon Stock | 18,000 | $10.50 | $189,050.40 |
DisclosureSEC source: 0001209191-23-049268 · doc4.xml · nonDerivative · entry 3 Cha Albert · CIK 0001397906 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.38 to $10.60, 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 herein. Read SEC document |
| September 11, 2023 Filed Sep 13, 2023 20:29 UTC | KalVista Pharmaceuticals, Inc. KALV · Entity 39180 | Exercise / conversionCommon Stock | 12,000 | $7.88 | $94,560.00 |
DisclosureSEC source: 0001209191-23-049268 · doc4.xml · nonDerivative · entry 2 Cha Albert · CIK 0001397906 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 18,000 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 |
| September 11, 2023 Filed Sep 13, 2023 20:29 UTC | KalVista Pharmaceuticals, Inc. KALV · Entity 39180 | Exercise / conversionCommon Stock | 6,000 | $6.71 | $40,260.00 |
DisclosureSEC source: 0001209191-23-049268 · doc4.xml · nonDerivative · entry 1 Cha Albert · CIK 0001397906 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 6,000 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 13, 2022 Filed Oct 17, 2022 22:34 UTC | KalVista Pharmaceuticals, Inc. KALV · Entity 39180 | GrantEmployee Stock Option (right to buy) · Derivative | 10,000 | $0.00 Strike: $4.53 | $0.00 |
DisclosureSEC source: 0001209191-22-053875 · doc4.xml · derivative · entry 1 Cha Albert · CIK 0001397906 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Underlying: Common Stock · 10,000 shares Expires 2032-10-12 F1 · derivative.exercise_date: The option vests over a 12 month period: 1/12th on October 13, 2022, after which 1/12th of the total shares vest monthly, subject to continued service through each vesting date. Read SEC document |
| September 30, 2021 Filed Oct 1, 2021 20:53 UTC | KalVista Pharmaceuticals, Inc. KALV · Entity 39180 | GrantDirector Stock Option (Right to Buy) · Derivative | 10,000 | $0.00 Strike: $17.45 | $0.00 |
DisclosureSEC source: 0001209191-21-058484 · doc4.xml · derivative · entry 1 Cha Albert · CIK 0001397906 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Underlying: Common Stock · 10,000 shares Expires 2031-09-29 F1 · derivative.exercise_date: The option vests over a 12 month period: 1/12th on October 30, 2021, after which 1/12th of the total shares vest monthly, subject to continued service through each vesting date. Read SEC document |
| October 30, 2020 Filed Nov 4, 2020 00:56 UTC | KalVista Pharmaceuticals, Inc. KALV · Entity 39180 | PurchaseCommon Stock | 47,431 | $17.34 | $822,259.07 |
DisclosureSEC source: 0001209191-20-056790 · doc4.xml · nonDerivative · entry 2 Cha Albert · CIK 0001397906 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Opportunity Fund, L.P. Disclosed balance after: 1,138,179 F3 · price: The reported price in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $17.26 to $17.35 per share, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F2 · ownership.nature: The shares are held of record by Vivo Opportunity Fund, L.P. The general partner of the holder is Vivo Opportunity, LLC, of which the Reporting Person is a voting member. The Reporting Person may be deemed to share voting and dispositive power over these shares with four (4) other voting members. The Reporting Person disclaims beneficial ownership over such shares except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of the reported shares for purposes of Section 16 or for any other purposes. Read SEC document |
| October 30, 2020 Filed Nov 4, 2020 00:56 UTC | KalVista Pharmaceuticals, Inc. KALV · Entity 39180 | PurchaseCommon Stock | 68,255 | $17.17 | $1,171,808.67 |
DisclosureSEC source: 0001209191-20-056790 · doc4.xml · nonDerivative · entry 1 Cha Albert · CIK 0001397906 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Opportunity Fund, L.P. Disclosed balance after: 1,090,748 F1 · price: The reported price in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $16.26 to $17.25 per share, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F2 · ownership.nature: The shares are held of record by Vivo Opportunity Fund, L.P. The general partner of the holder is Vivo Opportunity, LLC, of which the Reporting Person is a voting member. The Reporting Person may be deemed to share voting and dispositive power over these shares with four (4) other voting members. The Reporting Person disclaims beneficial ownership over such shares except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of the reported shares for purposes of Section 16 or for any other purposes. Read SEC document |
| October 01, 2020 Filed Oct 3, 2020 00:32 UTC | KalVista Pharmaceuticals, Inc. KALV · Entity 39180 | GrantDirector Stock Option (right to buy) · Derivative | 7,000 | $0.00 Strike: $12.88 | $0.00 |
DisclosureSEC source: 0001209191-20-053393 · doc4.xml · derivative · entry 1 Cha Albert · CIK 0001397906 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,000 Underlying: Common Stock · 7,000 shares Expires 2030-09-30 F1 · derivative.exercise_date: The option vests over a 12 month period: 1/12th on November 1, 2020, after which 1/12th of the total shares vest monthly, subject to continued service through each vesting date. Read SEC document |
| October 02, 2019 Filed Oct 3, 2019 21:26 UTC | KalVista Pharmaceuticals, Inc. KALV · Entity 39180 | GrantDirector Stock Option (Right to Buy) · Derivative | 7,000 | $0.00 Strike: $11.21 | $0.00 |
DisclosureSEC source: 0001567619-19-019235 · doc1.xml · derivative · entry 1 Cha Albert · CIK 0001397906 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,000 Underlying: Common Stock · 7,000 shares Expires 2029-10-01 F1 · derivative.exercise_date: The option vests over a 12 month period: 1/12th on November 2, 2019, after which 1/12th of the total shares vest monthly, subject to continued service through each vesting date. Read SEC document |
| July 29, 2019 Filed Jul 30, 2019 23:37 UTC | KalVista Pharmaceuticals, Inc. KALV · Entity 39180 | PurchaseCommon Stock | 5,137 | $17.13 | $88,010.68 |
DisclosureSEC source: 0001567619-19-015484 · doc1.xml · nonDerivative · entry 4 Cha Albert · CIK 0001397906 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Capital Fund IX, L.P. Disclosed balance after: 124,566 F4 · price: The reported price in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $16.94 to $17.83 per share, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F2 · ownership.nature: The shares are held of record by Vivo Capital Fund IX, L.P. Vivo Capital IX, LLC is the general partner of Vivo Capital Fund IX, L.P. The voting members of Vivo Capital IX, LLC are Frank Kung, Albert Cha, Shan Fu, Edgar Engleman and Chen Yu, none of whom has individual voting or investment power with respect to these shares and each of whom disclaims beneficial ownership of such shares, except to the extent of such individual's pecuniary interest in the shares. Read SEC document |
| July 29, 2019 Filed Jul 30, 2019 23:37 UTC | KalVista Pharmaceuticals, Inc. KALV · Entity 39180 | PurchaseCommon Stock | 24,730 | $17.13 | $423,691.67 |
DisclosureSEC source: 0001567619-19-015484 · doc1.xml · nonDerivative · entry 3 Cha Albert · CIK 0001397906 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Opportunity Fund, L.P. Disclosed balance after: 1,022,493 F4 · price: The reported price in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $16.94 to $17.83 per share, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F3 · ownership.nature: The shares are held of record by Vivo Opportunity Fund, L.P. Vivo Opportunity, LLC is the general partner of Vivo Opportunity Fund, L.P. The voting members of Vivo Opportunity, LLC are Albert Cha, Gaurav Aggarwal, Shan Fu, Frank Kung, and Michael Chang, none of whom has individual voting or investment power with respect to these shares and each of whom disclaims beneficial ownership of such shares, except to the extent of such individual's pecuniary interest in the shares. Read SEC document |
| July 26, 2019 Filed Jul 30, 2019 23:37 UTC | KalVista Pharmaceuticals, Inc. KALV · Entity 39180 | PurchaseCommon Stock | 21,942 | $16.83 | $369,316.77 |
DisclosureSEC source: 0001567619-19-015484 · doc1.xml · nonDerivative · entry 2 Cha Albert · CIK 0001397906 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Opportunity Fund, L.P. Disclosed balance after: 997,763 F1 · price: The reported price in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $16.47 to $16.85 per share, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F3 · ownership.nature: The shares are held of record by Vivo Opportunity Fund, L.P. Vivo Opportunity, LLC is the general partner of Vivo Opportunity Fund, L.P. The voting members of Vivo Opportunity, LLC are Albert Cha, Gaurav Aggarwal, Shan Fu, Frank Kung, and Michael Chang, none of whom has individual voting or investment power with respect to these shares and each of whom disclaims beneficial ownership of such shares, except to the extent of such individual's pecuniary interest in the shares. Read SEC document |
| July 26, 2019 Filed Jul 30, 2019 23:37 UTC | KalVista Pharmaceuticals, Inc. KALV · Entity 39180 | PurchaseCommon Stock | 4,558 | $16.83 | $76,717.98 |
DisclosureSEC source: 0001567619-19-015484 · doc1.xml · nonDerivative · entry 1 Cha Albert · CIK 0001397906 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Capital Fund IX, L.P. Disclosed balance after: 119,429 F1 · price: The reported price in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $16.47 to $16.85 per share, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F2 · ownership.nature: The shares are held of record by Vivo Capital Fund IX, L.P. Vivo Capital IX, LLC is the general partner of Vivo Capital Fund IX, L.P. The voting members of Vivo Capital IX, LLC are Frank Kung, Albert Cha, Shan Fu, Edgar Engleman and Chen Yu, none of whom has individual voting or investment power with respect to these shares and each of whom disclaims beneficial ownership of such shares, except to the extent of such individual's pecuniary interest in the shares. Read SEC document |
| July 19, 2019 Filed Jul 19, 2019 22:38 UTC | KalVista Pharmaceuticals, Inc. KALV · Entity 39180 | PurchaseCommon Stock | 49,680 | $17.84 | $886,127.26 |
DisclosureSEC source: 0001567619-19-015022 · doc1.xml · nonDerivative · entry 4 Cha Albert · CIK 0001397906 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Opportunity Fund, L.P. Disclosed balance after: 975,821 F6 · price: The reported price in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $17.70 to $18.00 per share, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F2 · ownership.nature: The shares are held of record by Vivo Opportunity Fund, L.P. Vivo Opportunity, LLC is the general partner of Vivo Opportunity Fund, L.P. The voting members of Vivo Opportunity, LLC are Albert Cha, Gaurav Aggarwal, Shan Fu, Frank Kung, and Michael Chang, none of whom has individual voting or investment power with respect to these shares and each of whom disclaims beneficial ownership of such shares, except to the extent of such individual's pecuniary interest in the shares. Read SEC document |
| July 19, 2019 Filed Jul 19, 2019 22:38 UTC | KalVista Pharmaceuticals, Inc. KALV · Entity 39180 | PurchaseCommon Stock | 10,320 | $17.68 | $182,453.47 |
DisclosureSEC source: 0001567619-19-015022 · doc1.xml · nonDerivative · entry 3 Cha Albert · CIK 0001397906 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Capital Fund IX, L.P. Disclosed balance after: 114,871 F5 · price: The reported price in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $17.56 to $17.70 per share, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F4 · ownership.nature: The shares are held of record by Vivo Capital Fund IX, L.P. Vivo Capital IX, LLC is the general partner of Vivo Capital Fund IX, L.P. The voting members of Vivo Capital IX, LLC are Frank Kung, Albert Cha, Shan Fu, Edgar Engleman and Chen Yu, none of whom has individual voting or investment power with respect to these shares and each of whom disclaims beneficial ownership of such shares, except to the extent of such individual's pecuniary interest in the shares. Read SEC document |
| July 17, 2019 Filed Jul 19, 2019 22:38 UTC | KalVista Pharmaceuticals, Inc. KALV · Entity 39180 | PurchaseCommon Stock | 220 | $16.93 | $3,724.01 |
DisclosureSEC source: 0001567619-19-015022 · doc1.xml · nonDerivative · entry 2 Cha Albert · CIK 0001397906 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Capital Fund IX, L.P. Disclosed balance after: 104,551 F3 · price: The reported price in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $16.92 to $16.95 per share, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F4 · ownership.nature: The shares are held of record by Vivo Capital Fund IX, L.P. Vivo Capital IX, LLC is the general partner of Vivo Capital Fund IX, L.P. The voting members of Vivo Capital IX, LLC are Frank Kung, Albert Cha, Shan Fu, Edgar Engleman and Chen Yu, none of whom has individual voting or investment power with respect to these shares and each of whom disclaims beneficial ownership of such shares, except to the extent of such individual's pecuniary interest in the shares. Read SEC document |
| July 17, 2019 Filed Jul 19, 2019 22:38 UTC | KalVista Pharmaceuticals, Inc. KALV · Entity 39180 | PurchaseCommon Stock | 1,060 | $16.97 | $17,990.96 |
DisclosureSEC source: 0001567619-19-015022 · doc1.xml · nonDerivative · entry 1 Cha Albert · CIK 0001397906 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Opportunity Fund, L.P. Disclosed balance after: 926,141 F1 · price: The reported price in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $16.95 to $17.00 per share, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F2 · ownership.nature: The shares are held of record by Vivo Opportunity Fund, L.P. Vivo Opportunity, LLC is the general partner of Vivo Opportunity Fund, L.P. The voting members of Vivo Opportunity, LLC are Albert Cha, Gaurav Aggarwal, Shan Fu, Frank Kung, and Michael Chang, none of whom has individual voting or investment power with respect to these shares and each of whom disclaims beneficial ownership of such shares, except to the extent of such individual's pecuniary interest in the shares. Read SEC document |
| October 03, 2018 Filed Oct 5, 2018 22:05 UTC | KalVista Pharmaceuticals, Inc. KALV · Entity 39180 | GrantDirector Stock Option (Right to Buy) · Derivative | 7,000 | $0.00 Strike: $22.65 | $0.00 |
DisclosureSEC source: 0001567619-18-003782 · doc1.xml · derivative · entry 1 Cha Albert · CIK 0001397906 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,000 Underlying: Common Stock · 7,000 shares Expires 2028-10-02 F1 · derivative.exercise_date: The option vests over a 12 month period: 1/12th on November 3, 2018, after which 1/12th of the total shares vest monthly, subject to continued service through each vesting date. Read SEC document |
| September 10, 2018 Filed Sep 12, 2018 23:11 UTC | KalVista Pharmaceuticals, Inc. KALV · Entity 39180 | PurchaseCommon Stock | 1,058,824 | $17.00 | $18,000,008.00 |
DisclosureSEC source: 0001567619-18-002463 · doc1.xml · nonDerivative · entry 1 Cha Albert · CIK 0001397906 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 1,359,149 F1 · ownership.nature: 327,339 shares of Common Stock are held of record by Vivo Ventures Fund VI, L.P and 2,398 shares of Common Stock are held of record by Vivo Ventures VI Affiliates Fund, L.P. Vivo Ventures VI, LLC is the general partner of both Vivo Ventures Fund VI, L.P. and Vivo Ventures VI Affiliates Fund, L.P. The voting members of Vivo Ventures VI, LLC are Frank Kung, Albert Cha, and Edgar Engleman, none of whom has individual voting or investment power with respect to these shares and each of whom disclaims beneficial ownership of these shares, except to the extent of such individual's pecuniary interests in the shares. F2 · ownership.nature: 925,081 shares of Common Stock are held of record by Vivo Opportunity Fund, L.P. Vivo Opportunity, LLC is the general partner of Vivo Opportunity Fund, L.P. The voting members of Vivo Opportunity, LLC are Albert Cha, Gaurav Aggarwal, Shan Fu, Frank Kung, and Michael Chang, none of whom has individual voting or investment power with respect to these shares and each of whom disclaims beneficial ownership of such shares, except to the extent of such individual's pecuniary interest in the shares. F3 · ownership.nature: 104,331 shares of Common Stock are held of record by Vivo Capital Fund IX, L.P. Vivo Capital IX, LLC is the general partner of Vivo Capital Fund IX, L.P. The voting members of Vivo Capital IX, LLC are Frank Kung, Albert Cha, Shan Fu, Edgar Engleman and Chen Yu, none of whom has individual voting or investment power with respect to these shares and each of whom disclaims beneficial ownership of such shares, except to the extent of such individual's pecuniary interest in the shares. Read SEC document |
| May 01, 2018 Filed May 3, 2018 17:21 UTC | Biohaven Pharmaceutical Holding Co Ltd. BHVN · Entity 123269 | GrantStock Option (Right to Buy) · Derivative | 18,000 | $0.00 Strike: $28.76 | $0.00 |
DisclosureSEC source: 0001209191-18-027718 · doc4.xml · derivative · entry 1 Cha Albert · CIK 0001397906 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,000 Underlying: Common Shares · 18,000 shares Expires 2028-04-30 F1 · derivative.exercise_date: The shares subject to this stock option will vest in full on the earlier of (a) May 1, 2019 or (b) the date of the 2019 Annual Meeting of Shareholders, in each case subject to the Reporting Person's continuous service with the Issuer through such vesting date. Read SEC document |
| March 14, 2018 Filed Mar 15, 2018 18:20 UTC | Biohaven Pharmaceutical Holding Co Ltd. BHVN · Entity 123269 | GrantCommon Shares | 72,727 | $27.50 | $1,999,992.50 |
DisclosureSEC source: 0001209191-18-019938 · doc4.xml · nonDerivative · entry 1 Cha Albert · CIK 0001397906 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 2,049,545 F1 · shares: 63,903 of these shares were purchased by Vivo Capital Fund VIII, L.P. ("VCF") and 8,824 of these shares were purchased by Vivo Capital Surplus Fund VII, L.P. ("VCSF"). F2 · ownership.nature: The shares are held as follows: 1,800,866 shares are held by VCF and 248,679 shares are held by VCSF. The reporting person is one of the managing members of Vivo Capital VIII, LLC which is the general partner of both VCF and VCSF, and may be deemed to share voting and dispositive power over the shares held by VCF and VCSF. The reporting person disclaims beneficial ownership over such shares except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of the reported shares for purposes of Section 16 or for any other purposes. Read SEC document |
| January 29, 2018 Filed Jan 29, 2018 21:14 UTC | Yarrow Bioscience, Inc. MNLO · Entity 6871 | ConversionSeries C Preferred Stock · Derivative | 341,784 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-005827 · doc4.xml · derivative · entry 10 Cha Albert · CIK 0001397906 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Capital Surplus Fund III, L.P. Disclosed balance after: 0 Underlying: Common Stock · 126,703 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 · derivative.exercise_price: Effective immediately prior to the closing of the Issuer's initial public offering of its common stock, each share of the Series B Preferred Stock and Series C Preferred Stock automatically converted into 0.3707 shares of the Issuer's common stock. F2 · price: Effective immediately prior to the closing of the Issuer's initial public offering of its common stock, each share of the Series B Preferred Stock and Series C Preferred Stock automatically converted into 0.3707 shares of the Issuer's common stock. F2 · derivative.exercise_date: Effective immediately prior to the closing of the Issuer's initial public offering of its common stock, each share of the Series B Preferred Stock and Series C Preferred Stock automatically converted into 0.3707 shares of the Issuer's common stock. F2 · derivative.expiration_date: Effective immediately prior to the closing of the Issuer's initial public offering of its common stock, each share of the Series B Preferred Stock and Series C Preferred Stock automatically converted into 0.3707 shares of the Issuer's common stock. F1 · ownership.nature: The reporting person is one of the managing members of Vivo Capital VII, LLC ("Vivo LLC"), which is the general partner of each of Vivo Capital Fund VIII, L.P. ("VCF") and Vivo Capital Surplus Fund VIII, L.P. ("VCSF"), the record holders of the securities, and the reporting person therefore may be deemed to share voting and dispositive power over the securities held by VCF and VCSF. The reporting person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| January 29, 2018 Filed Jan 29, 2018 21:14 UTC | Yarrow Bioscience, Inc. MNLO · Entity 6871 | ConversionSeries C Preferred Stock · Derivative | 2,475,118 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-005827 · doc4.xml · derivative · entry 9 Cha Albert · CIK 0001397906 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Capital Fund VIII, L.P. Disclosed balance after: 0 Underlying: Common Stock · 917,559 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 · derivative.exercise_price: Effective immediately prior to the closing of the Issuer's initial public offering of its common stock, each share of the Series B Preferred Stock and Series C Preferred Stock automatically converted into 0.3707 shares of the Issuer's common stock. F2 · price: Effective immediately prior to the closing of the Issuer's initial public offering of its common stock, each share of the Series B Preferred Stock and Series C Preferred Stock automatically converted into 0.3707 shares of the Issuer's common stock. F2 · derivative.exercise_date: Effective immediately prior to the closing of the Issuer's initial public offering of its common stock, each share of the Series B Preferred Stock and Series C Preferred Stock automatically converted into 0.3707 shares of the Issuer's common stock. F2 · derivative.expiration_date: Effective immediately prior to the closing of the Issuer's initial public offering of its common stock, each share of the Series B Preferred Stock and Series C Preferred Stock automatically converted into 0.3707 shares of the Issuer's common stock. F1 · ownership.nature: The reporting person is one of the managing members of Vivo Capital VII, LLC ("Vivo LLC"), which is the general partner of each of Vivo Capital Fund VIII, L.P. ("VCF") and Vivo Capital Surplus Fund VIII, L.P. ("VCSF"), the record holders of the securities, and the reporting person therefore may be deemed to share voting and dispositive power over the securities held by VCF and VCSF. The reporting person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| January 29, 2018 Filed Jan 29, 2018 21:14 UTC | Yarrow Bioscience, Inc. MNLO · Entity 6871 | ConversionSeries B Preferred Stock · Derivative | 874,817 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-005827 · doc4.xml · derivative · entry 8 Cha Albert · CIK 0001397906 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Capital Surplus Fund III, L.P. Disclosed balance after: 0 Underlying: Common Stock · 324,306 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 · derivative.exercise_price: Effective immediately prior to the closing of the Issuer's initial public offering of its common stock, each share of the Series B Preferred Stock and Series C Preferred Stock automatically converted into 0.3707 shares of the Issuer's common stock. F2 · price: Effective immediately prior to the closing of the Issuer's initial public offering of its common stock, each share of the Series B Preferred Stock and Series C Preferred Stock automatically converted into 0.3707 shares of the Issuer's common stock. F2 · derivative.exercise_date: Effective immediately prior to the closing of the Issuer's initial public offering of its common stock, each share of the Series B Preferred Stock and Series C Preferred Stock automatically converted into 0.3707 shares of the Issuer's common stock. F2 · derivative.expiration_date: Effective immediately prior to the closing of the Issuer's initial public offering of its common stock, each share of the Series B Preferred Stock and Series C Preferred Stock automatically converted into 0.3707 shares of the Issuer's common stock. F1 · ownership.nature: The reporting person is one of the managing members of Vivo Capital VII, LLC ("Vivo LLC"), which is the general partner of each of Vivo Capital Fund VIII, L.P. ("VCF") and Vivo Capital Surplus Fund VIII, L.P. ("VCSF"), the record holders of the securities, and the reporting person therefore may be deemed to share voting and dispositive power over the securities held by VCF and VCSF. The reporting person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| January 29, 2018 Filed Jan 29, 2018 21:14 UTC | Yarrow Bioscience, Inc. MNLO · Entity 6871 | ConversionSeries B Preferred Stock · Derivative | 6,335,215 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-005827 · doc4.xml · derivative · entry 7 Cha Albert · CIK 0001397906 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Capital Fund VIII, L.P. Disclosed balance after: 0 Underlying: Common Stock · 2,348,550 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 · derivative.exercise_price: Effective immediately prior to the closing of the Issuer's initial public offering of its common stock, each share of the Series B Preferred Stock and Series C Preferred Stock automatically converted into 0.3707 shares of the Issuer's common stock. F2 · price: Effective immediately prior to the closing of the Issuer's initial public offering of its common stock, each share of the Series B Preferred Stock and Series C Preferred Stock automatically converted into 0.3707 shares of the Issuer's common stock. F2 · derivative.exercise_date: Effective immediately prior to the closing of the Issuer's initial public offering of its common stock, each share of the Series B Preferred Stock and Series C Preferred Stock automatically converted into 0.3707 shares of the Issuer's common stock. F2 · derivative.expiration_date: Effective immediately prior to the closing of the Issuer's initial public offering of its common stock, each share of the Series B Preferred Stock and Series C Preferred Stock automatically converted into 0.3707 shares of the Issuer's common stock. F1 · ownership.nature: The reporting person is one of the managing members of Vivo Capital VII, LLC ("Vivo LLC"), which is the general partner of each of Vivo Capital Fund VIII, L.P. ("VCF") and Vivo Capital Surplus Fund VIII, L.P. ("VCSF"), the record holders of the securities, and the reporting person therefore may be deemed to share voting and dispositive power over the securities held by VCF and VCSF. The reporting person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| January 29, 2018 Filed Jan 29, 2018 21:14 UTC | Yarrow Bioscience, Inc. MNLO · Entity 6871 | ConversionCommon Stock | 126,703 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-005827 · doc4.xml · nonDerivative · entry 6 Cha Albert · CIK 0001397906 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Capital Surplus Fund III, L.P. Disclosed balance after: 486,695 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 · price: Effective immediately prior to the closing of the Issuer's initial public offering of its common stock, each share of the Series B Preferred Stock and Series C Preferred Stock automatically converted into 0.3707 shares of the Issuer's common stock. F1 · ownership.nature: The reporting person is one of the managing members of Vivo Capital VII, LLC ("Vivo LLC"), which is the general partner of each of Vivo Capital Fund VIII, L.P. ("VCF") and Vivo Capital Surplus Fund VIII, L.P. ("VCSF"), the record holders of the securities, and the reporting person therefore may be deemed to share voting and dispositive power over the securities held by VCF and VCSF. The reporting person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| January 29, 2018 Filed Jan 29, 2018 21:14 UTC | Yarrow Bioscience, Inc. MNLO · Entity 6871 | ConversionCommon Stock | 917,559 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-005827 · doc4.xml · nonDerivative · entry 5 Cha Albert · CIK 0001397906 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Capital Fund VIII, L.P. Disclosed balance after: 3,524,541 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 · price: Effective immediately prior to the closing of the Issuer's initial public offering of its common stock, each share of the Series B Preferred Stock and Series C Preferred Stock automatically converted into 0.3707 shares of the Issuer's common stock. F1 · ownership.nature: The reporting person is one of the managing members of Vivo Capital VII, LLC ("Vivo LLC"), which is the general partner of each of Vivo Capital Fund VIII, L.P. ("VCF") and Vivo Capital Surplus Fund VIII, L.P. ("VCSF"), the record holders of the securities, and the reporting person therefore may be deemed to share voting and dispositive power over the securities held by VCF and VCSF. The reporting person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| January 29, 2018 Filed Jan 29, 2018 21:14 UTC | Yarrow Bioscience, Inc. MNLO · Entity 6871 | ConversionCommon Stock | 324,306 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-005827 · doc4.xml · nonDerivative · entry 4 Cha Albert · CIK 0001397906 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Capital Surplus Fund III, L.P. Disclosed balance after: 359,992 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 · price: Effective immediately prior to the closing of the Issuer's initial public offering of its common stock, each share of the Series B Preferred Stock and Series C Preferred Stock automatically converted into 0.3707 shares of the Issuer's common stock. F1 · ownership.nature: The reporting person is one of the managing members of Vivo Capital VII, LLC ("Vivo LLC"), which is the general partner of each of Vivo Capital Fund VIII, L.P. ("VCF") and Vivo Capital Surplus Fund VIII, L.P. ("VCSF"), the record holders of the securities, and the reporting person therefore may be deemed to share voting and dispositive power over the securities held by VCF and VCSF. The reporting person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| January 29, 2018 Filed Jan 29, 2018 21:14 UTC | Yarrow Bioscience, Inc. MNLO · Entity 6871 | ConversionCommon Stock | 2,348,550 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-005827 · doc4.xml · nonDerivative · entry 3 Cha Albert · CIK 0001397906 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Capital Fund VIII, L.P. Disclosed balance after: 2,606,982 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 · price: Effective immediately prior to the closing of the Issuer's initial public offering of its common stock, each share of the Series B Preferred Stock and Series C Preferred Stock automatically converted into 0.3707 shares of the Issuer's common stock. F1 · ownership.nature: The reporting person is one of the managing members of Vivo Capital VII, LLC ("Vivo LLC"), which is the general partner of each of Vivo Capital Fund VIII, L.P. ("VCF") and Vivo Capital Surplus Fund VIII, L.P. ("VCSF"), the record holders of the securities, and the reporting person therefore may be deemed to share voting and dispositive power over the securities held by VCF and VCSF. The reporting person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| January 25, 2018 Filed Jan 29, 2018 21:14 UTC | Yarrow Bioscience, Inc. MNLO · Entity 6871 | PurchaseCommon Stock | 35,686 | $17.00 | $606,662.00 |
DisclosureSEC source: 0001209191-18-005827 · doc4.xml · nonDerivative · entry 2 Cha Albert · CIK 0001397906 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Capital Surplus Fund III, L.P. Disclosed balance after: 35,686 F1 · ownership.nature: The reporting person is one of the managing members of Vivo Capital VII, LLC ("Vivo LLC"), which is the general partner of each of Vivo Capital Fund VIII, L.P. ("VCF") and Vivo Capital Surplus Fund VIII, L.P. ("VCSF"), the record holders of the securities, and the reporting person therefore may be deemed to share voting and dispositive power over the securities held by VCF and VCSF. The reporting person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| January 25, 2018 Filed Jan 29, 2018 21:14 UTC | Yarrow Bioscience, Inc. MNLO · Entity 6871 | PurchaseCommon Stock | 258,432 | $17.00 | $4,393,344.00 |
DisclosureSEC source: 0001209191-18-005827 · doc4.xml · nonDerivative · entry 1 Cha Albert · CIK 0001397906 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Capital Fund VIII, L.P. Disclosed balance after: 258,432 F1 · ownership.nature: The reporting person is one of the managing members of Vivo Capital VII, LLC ("Vivo LLC"), which is the general partner of each of Vivo Capital Fund VIII, L.P. ("VCF") and Vivo Capital Surplus Fund VIII, L.P. ("VCSF"), the record holders of the securities, and the reporting person therefore may be deemed to share voting and dispositive power over the securities held by VCF and VCSF. The reporting person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| September 27, 2017 Filed Sep 29, 2017 23:15 UTC | KalVista Pharmaceuticals, Inc. KALV · Entity 39180 | GrantDirector Stock Option (Right to Buy) · Derivative | 6,000 | $0.00 Strike: $6.71 | $0.00 |
DisclosureSEC source: 0001140361-17-037013 · doc1.xml · derivative · entry 1 Cha Albert · CIK 0001397906 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,000 Underlying: Common Stock · 6,000 shares Expires 2027-09-26 F1 · derivative.exercise_date: The option vests over a 12 month period: 1/12th on October 27, 2017, after which 1/12th of the total shares vest monthly, subject to continued service through each vesting date. Read SEC document |
| May 09, 2017 Filed May 9, 2017 16:45 UTC | Biohaven Pharmaceutical Holding Co Ltd. BHVN · Entity 123269 | ConversionSeries A Preferred Shares · Derivative | 1,506,818 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-030977 · doc4.xml · derivative · entry 3 Cha Albert · CIK 0001397906 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Shares · 1,506,818 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_price: Effective immediately prior to the closing of the Issuer's initial public offering of its common shares, each Series A Preferred Share automatically converted into one common share of the Issuer. The Series A Preferred Shares had no expiration date. F4 · derivative.exercise_date: Effective immediately prior to the closing of the Issuer's initial public offering of its common shares, each Series A Preferred Share automatically converted into one common share of the Issuer. The Series A Preferred Shares had no expiration date. F4 · derivative.expiration_date: Effective immediately prior to the closing of the Issuer's initial public offering of its common shares, each Series A Preferred Share automatically converted into one common share of the Issuer. The Series A Preferred Shares had no expiration date. F2 · ownership.nature: The shares are held as follows: 1,323,990 shares are held by Vivo Capital Fund VIII, L.P. ("VCF") and 182,828 shares are held by Vivo Capital Surplus Fund VIII, L.P. ("VCSF"). The reporting person is one of the managing members of Vivo Capital VIII, LLC which is the general partner of both VCF and VCSF, and may be deemed to share voting and dispositive power over the shares held by VCF and VCSF. The reporting person disclaims beneficial ownership over such shares except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of the reported shares for purposes of Section 16 or for any other purposes. Read SEC document |
| May 09, 2017 Filed May 9, 2017 16:45 UTC | Biohaven Pharmaceutical Holding Co Ltd. BHVN · Entity 123269 | PurchaseCommon Shares | 470,000 | $17.00 | $7,990,000.00 |
DisclosureSEC source: 0001209191-17-030977 · doc4.xml · nonDerivative · entry 2 Cha Albert · CIK 0001397906 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,976,818 F3 · ownership.nature: The shares are held as follows: 412,973 shares are held by VCF and 57,027 shares are held by VCSF. The reporting person is one of the managing members of Vivo Capital VIII, LLC which is the general partner of both VCF and VCSF, and may be deemed to share voting and dispositive power over the shares held by VCF and VCSF. The reporting person disclaims beneficial ownership over such shares except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of the reported shares for purposes of Section 16 or for any other purposes. Read SEC document |
| May 09, 2017 Filed May 9, 2017 16:45 UTC | Biohaven Pharmaceutical Holding Co Ltd. BHVN · Entity 123269 | ConversionCommon Shares | 1,506,818 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-17-030977 · doc4.xml · nonDerivative · entry 1 Cha Albert · CIK 0001397906 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,506,818 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 · shares: Represents shares received upon conversion of Series A Preferred Shares. F1 · price: Represents shares received upon conversion of Series A Preferred Shares. F2 · ownership.nature: The shares are held as follows: 1,323,990 shares are held by Vivo Capital Fund VIII, L.P. ("VCF") and 182,828 shares are held by Vivo Capital Surplus Fund VIII, L.P. ("VCSF"). The reporting person is one of the managing members of Vivo Capital VIII, LLC which is the general partner of both VCF and VCSF, and may be deemed to share voting and dispositive power over the shares held by VCF and VCSF. The reporting person disclaims beneficial ownership over such shares except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of the reported shares for purposes of Section 16 or for any other purposes. Read SEC document |
| March 23, 2017 Filed Mar 27, 2017 23:05 UTC | KalVista Pharmaceuticals, Inc. KALV · Entity 39180 | GrantDirector Stock Option (Right to Buy) · Derivative | 12,000 | $0.00 Strike: $7.88 | $0.00 |
DisclosureSEC source: 0001140361-17-013498 · doc1.xml · derivative · entry 1 Cha Albert · CIK 0001397906 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,000 Underlying: Common Stock · 12,000 shares Expires 2027-03-22 F1 · derivative.exercise_date: The option vests over a 3 year period: 1/36th on December 21, 2016, after which 1/36th of the total shares vest monthly, subject to continued service through each 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.