Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ADMA BIOLOGICS, INC.ADMA · Entity 4477 | Director | March 05, 2026 | March 09, 2026 |
| Marker Therapeutics, Inc.MRKR · Entity 7609 | Director | November 17, 2025 | November 19, 2025 |
| Viracta Therapeutics, Inc.SNSS · Entity 85616 | 10% owner | July 15, 2019 | July 15, 2019 |
| Zosano Pharma CorpZSAN · Entity 12518 | Director | June 10, 2021 | June 14, 2021 |
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.
ADMA BIOLOGICS, INC.
Report date March 05, 2026 · Filed March 09, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 2,045,730 |
Last balance in matching sequence
After 2026-03-06 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2026-03-05 · Purchase · Acquired 7,000 · Balance 2,038,730 F1: The reported transaction reflects the open market purchase of shares of ADMA Biologics, Inc. (the "Issuer") common stock. The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $15.58 to $15.74, inclusive. F2: The reporting person undertakes to provide to the Issuer, any securityholder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (1) and (4) to this Form 4. F3: Includes (i) 2,031,730 shares owned by Aisling Capital II LP, which is a fund that was established in 2007 with a 10 year life ("Aisling Capital"), and (ii) 14,000 shares owned by Aisling Arcturus Partners, LP ("Aisling Arcturus" and, together with Aisling Capital, "Aisling"), of which 7,000 were purchased on March 5, 2026 and 7,000 were purchased on March 6, 2026. Mr. Elms is Aisling Capital's designee for nomination to the Board. As a Managing Member of Aisling Capital Partners, LLC ("Aisling Partners"), a control person of Aisling, and as a member of the investment committee of Aisling Capital Partners, LP ("Aisling GP"), Mr. Elms may be deemed to be the beneficial owner of shares of common stock owned of record by Aisling. Mr. Elms disclaims beneficial ownership of the Issuer's shares owned by Aisling and Aisling Partners' ownership of the Issuer's options, except to the extent of his pecuniary interest therein. Row 2 · 2026-03-06 · Purchase · Acquired 7,000 · Balance 2,045,730 F2: The reporting person undertakes to provide to the Issuer, any securityholder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (1) and (4) to this Form 4. F4: The reported transaction reflects the open market purchase of shares of the Issuer's common stock. The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $15.35 to $15.42, inclusive. F3: Includes (i) 2,031,730 shares owned by Aisling Capital II LP, which is a fund that was established in 2007 with a 10 year life ("Aisling Capital"), and (ii) 14,000 shares owned by Aisling Arcturus Partners, LP ("Aisling Arcturus" and, together with Aisling Capital, "Aisling"), of which 7,000 were purchased on March 5, 2026 and 7,000 were purchased on March 6, 2026. Mr. Elms is Aisling Capital's designee for nomination to the Board. As a Managing Member of Aisling Capital Partners, LLC ("Aisling Partners"), a control person of Aisling, and as a member of the investment committee of Aisling Capital Partners, LP ("Aisling GP"), Mr. Elms may be deemed to be the beneficial owner of shares of common stock owned of record by Aisling. Mr. Elms disclaims beneficial ownership of the Issuer's shares owned by Aisling and Aisling Partners' ownership of the Issuer's options, except to the extent of his pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | Direct | 98,020 |
Reported balance
Holding disclosure · report date 2026-03-05 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 98,020 F5: Includes, as of the transaction date, (i) 10,690 restricted stock units granted on February 9, 2026, which will fully vest on February 9, 2027, subject to the Reporting Person's continued service as of such vesting date; and (ii) 87,330 shares of common stock owned by the Reporting Person. |
Filing footnotes · ownership attribution and instrument terms
F1: The reported transaction reflects the open market purchase of shares of ADMA Biologics, Inc. (the "Issuer") common stock. The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $15.58 to $15.74, inclusive.
F2: The reporting person undertakes to provide to the Issuer, any securityholder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (1) and (4) to this Form 4.
F3: Includes (i) 2,031,730 shares owned by Aisling Capital II LP, which is a fund that was established in 2007 with a 10 year life ("Aisling Capital"), and (ii) 14,000 shares owned by Aisling Arcturus Partners, LP ("Aisling Arcturus" and, together with Aisling Capital, "Aisling"), of which 7,000 were purchased on March 5, 2026 and 7,000 were purchased on March 6, 2026. Mr. Elms is Aisling Capital's designee for nomination to the Board. As a Managing Member of Aisling Capital Partners, LLC ("Aisling Partners"), a control person of Aisling, and as a member of the investment committee of Aisling Capital Partners, LP ("Aisling GP"), Mr. Elms may be deemed to be the beneficial owner of shares of common stock owned of record by Aisling. Mr. Elms disclaims beneficial ownership of the Issuer's shares owned by Aisling and Aisling Partners' ownership of the Issuer's options, except to the extent of his pecuniary interest therein.
F4: The reported transaction reflects the open market purchase of shares of the Issuer's common stock. The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $15.35 to $15.42, inclusive.
F5: Includes, as of the transaction date, (i) 10,690 restricted stock units granted on February 9, 2026, which will fully vest on February 9, 2027, subject to the Reporting Person's continued service as of such vesting date; and (ii) 87,330 shares of common stock owned by the Reporting Person.
Marker Therapeutics, Inc.
Report date November 17, 2025 · Filed November 19, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.95 · Expires 2035-11-17 | Direct | 84,411 |
Reported balance
After 2025-11-17 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2025-11-17 · Grant · Acquired 84,411 · Balance 84,411 F1: Represents options granted under the Company's 2020 Omnibus Stock Ownership Plan for the remaining options due as service as a director for the year 2024. 30,000 shares were previously granted on February 12, 2025. The options vest on the anniversary of the grant date. The option exercise price is the closing price on the date of the grant, November 17, 2025. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.95 · Expires 2035-11-17 | Direct | 137,330 |
Reported balance
After 2025-11-17 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2025-11-17 · Grant · Acquired 137,330 · Balance 137,330 F2: Represents options granted under the Company's 2020 Omnibus Stock Ownership Plan for service as a director for the year 2025. The options vest on the anniversary of the grant date. The option exercise price is the closing price on the date of the grant, November 17, 2025. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents options granted under the Company's 2020 Omnibus Stock Ownership Plan for the remaining options due as service as a director for the year 2024. 30,000 shares were previously granted on February 12, 2025. The options vest on the anniversary of the grant date. The option exercise price is the closing price on the date of the grant, November 17, 2025.
F2: Represents options granted under the Company's 2020 Omnibus Stock Ownership Plan for service as a director for the year 2025. The options vest on the anniversary of the grant date. The option exercise price is the closing price on the date of the grant, November 17, 2025.
Viracta Therapeutics, Inc.
Report date July 15, 2019 · Filed July 15, 2019
Jointly reported with Aisling Capital IV, LP, Aisling Capital Partners IV LLC, Aisling Capital Partners IV, LP, SCHIFF ANDREW N
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 10,100,000 |
Reported balance
After 2019-07-15 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2019-07-15 · Purchase · Acquired 2,500,000 · Balance 10,100,000 F1: Shares held by Aisling Capital IV, LP ("Aisling"). Aisling Capital Partners IV, LP ("Aisling GP"), is the general partner of Aisling. Aisling Capital Partners IV LLC ("Aisling Partners"), is the general partner of Aisling GP. The individual managing members ("the Aisling Managers"), of Aisling Partners are Andrew Schiff, M.D. and Steve Elms. By virtue of these relationships, Aisling GP, Aisling Partners and the Aisling Managers may be deemed to have voting and investment power over the shares held by Aisling. Each of the reporting persons, other than Aisling, disclaims beneficial ownership of the shares held by Aisling, except to the extent of any pecuniary interest therein, if any. |
Filing footnotes · ownership attribution and instrument terms
F1: Shares held by Aisling Capital IV, LP ("Aisling"). Aisling Capital Partners IV, LP ("Aisling GP"), is the general partner of Aisling. Aisling Capital Partners IV LLC ("Aisling Partners"), is the general partner of Aisling GP. The individual managing members ("the Aisling Managers"), of Aisling Partners are Andrew Schiff, M.D. and Steve Elms. By virtue of these relationships, Aisling GP, Aisling Partners and the Aisling Managers may be deemed to have voting and investment power over the shares held by Aisling. Each of the reporting persons, other than Aisling, disclaims beneficial ownership of the shares held by Aisling, except to the extent of any pecuniary interest therein, if any.
Zosano Pharma Corp
Report date June 10, 2021 · Filed June 14, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 22,500 |
Reported balance
After 2021-06-10 transaction · row 1
1 source rowRow 1 · 2021-06-10 · Grant · Acquired 15,000 · Balance 22,500 F1: Represents restricted stock units which vest in a single installment on the earlier of (i) the first anniversary of the grant date and (ii) immediately prior to the annual meeting in 2022 of the Issuer's stockholders, assuming continuous service through such vesting date. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.93 · Expires 2031-06-09 | Direct | 30,000 |
Reported balance
After 2021-06-10 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2021-06-10 · Grant · Acquired 30,000 · Balance 30,000 F3: The option will vest and become exercisable as to 100% of the total number of shares subject to the option on the earlier of (i) the first anniversary of the grant date and (ii) immediately prior to the annual meeting in 2022 of the Issuer's stockholders, assuming continuous service through such vesting date. |
| Common StockSEC Table I · non-derivative | Indirect(2) | 2,718,226 |
Reported balance
Holding disclosure · report date 2021-06-10 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 2,718,226 F2: Represents shares directly held by Aisling Capital IV, LP ("Aisling"), and which may be deemed to be beneficially owned by Aisling Capital Partners IV, LP ("Aisling GP"), as general partner of Aisling, Aisling Capital Partners IV LLC ("Aisling Partners"), as general partner of Aisling GP, and each of the individual managing members and partners (collectively, the "Managers") of Aisling GP and Aisling Partners. The Managers of Aisling Partners are Dr. Andrew Schiff and Steve Elms, who have shared voting and dispositive power over the shares. Mr. Elms disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents restricted stock units which vest in a single installment on the earlier of (i) the first anniversary of the grant date and (ii) immediately prior to the annual meeting in 2022 of the Issuer's stockholders, assuming continuous service through such vesting date.
F2: Represents shares directly held by Aisling Capital IV, LP ("Aisling"), and which may be deemed to be beneficially owned by Aisling Capital Partners IV, LP ("Aisling GP"), as general partner of Aisling, Aisling Capital Partners IV LLC ("Aisling Partners"), as general partner of Aisling GP, and each of the individual managing members and partners (collectively, the "Managers") of Aisling GP and Aisling Partners. The Managers of Aisling Partners are Dr. Andrew Schiff and Steve Elms, who have shared voting and dispositive power over the shares. Mr. Elms disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.
F3: The option will vest and become exercisable as to 100% of the total number of shares subject to the option on the earlier of (i) the first anniversary of the grant date and (ii) immediately prior to the annual meeting in 2022 of the Issuer's stockholders, assuming continuous service through such vesting date.
Past disclosures · reporting ended (2)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Elevation Oncology, Inc.
Report date July 23, 2025 · Filed July 24, 2025
Section 16 reporting ended · disclosed 2025-07-24. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $16.00 · Expires 2031-06-23 | IndirectSee footnote | 0 |
Reported balance
After 2025-07-23 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2025-07-23 · Disposition to issuer · Disposed 31,238 · Balance 0 F1: Disposed of pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of June 8, 2025, by and among Elevation Oncology, Inc. (the "Issuer"), Concentra Biosciences, LLC ("Parent") and Concentra Merger Sub VI, Inc., a wholly owned subsidiary of Parent ("Merger Sub"). On July 23, 2025, Parent and Merger Sub completed a tender offer pursuant to the terms of the Merger Agreement for all outstanding shares of common stock of the Issuer (each, a "Share") for an offer price of (i) $0.36 per Share in cash (the "Cash Amount"), and (ii) one non-transferable contractual contingent value right (each, a "CVR"), subject to and in accordance with the terms of the Contingent Value Rights Agreement (the "CVR Agreement"), in each case, without interest, and subject to any applicable withholding taxes (the Cash Amount plus one CVR, collectively, the "Offer Price"). [continues to Footnote 2] F2: [continues from Footnote 1] Merger Sub thereafter merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Parent (the "Merger"). As of immediately prior to and conditioned upon the effective time of the Merger, pursuant to the Merger Agreement, each outstanding option to purchase Shares (each, an "Option") became fully vested and exercisable, and to the extent not exercised prior to the effective time of the Merger, was cancelled and converted into the right to receive (a) an amount in cash (without interest and subject to deduction for any required withholding tax) equal to the product of (1) the excess, if any, of the Cash Amount over the exercise price per share of each such Option and (2) the number of Shares underlying such Option immediately prior to the effective time of the Merger [continues to Footnote 3] F3: [continues from Footnote 2] and (b) one CVR in respect of each Share underlying such Option; provided, however, that if the exercise price per Share of any Option was equal to or greater than the Cash Amount that was then outstanding, it was cancelled for no consideration. F4: This stock option was granted to Steven Elms, an employee of Aisling Capital, in his capacity as a director of the Issuer. Pursuant to the policies of Aisling Capital, Mr. Elms does not have any right to any of the Issuer's securities issued as part of his service on the Board and Aisling Capital is entitled to receive all of the pecuniary interest in the securities issued. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.31 · Expires 2032-06-16 | IndirectSee footnote | 0 |
Reported balance
After 2025-07-23 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2025-07-23 · Disposition to issuer · Disposed 15,619 · Balance 0 F1: Disposed of pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of June 8, 2025, by and among Elevation Oncology, Inc. (the "Issuer"), Concentra Biosciences, LLC ("Parent") and Concentra Merger Sub VI, Inc., a wholly owned subsidiary of Parent ("Merger Sub"). On July 23, 2025, Parent and Merger Sub completed a tender offer pursuant to the terms of the Merger Agreement for all outstanding shares of common stock of the Issuer (each, a "Share") for an offer price of (i) $0.36 per Share in cash (the "Cash Amount"), and (ii) one non-transferable contractual contingent value right (each, a "CVR"), subject to and in accordance with the terms of the Contingent Value Rights Agreement (the "CVR Agreement"), in each case, without interest, and subject to any applicable withholding taxes (the Cash Amount plus one CVR, collectively, the "Offer Price"). [continues to Footnote 2] F2: [continues from Footnote 1] Merger Sub thereafter merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Parent (the "Merger"). As of immediately prior to and conditioned upon the effective time of the Merger, pursuant to the Merger Agreement, each outstanding option to purchase Shares (each, an "Option") became fully vested and exercisable, and to the extent not exercised prior to the effective time of the Merger, was cancelled and converted into the right to receive (a) an amount in cash (without interest and subject to deduction for any required withholding tax) equal to the product of (1) the excess, if any, of the Cash Amount over the exercise price per share of each such Option and (2) the number of Shares underlying such Option immediately prior to the effective time of the Merger [continues to Footnote 3] F3: [continues from Footnote 2] and (b) one CVR in respect of each Share underlying such Option; provided, however, that if the exercise price per Share of any Option was equal to or greater than the Cash Amount that was then outstanding, it was cancelled for no consideration. F4: This stock option was granted to Steven Elms, an employee of Aisling Capital, in his capacity as a director of the Issuer. Pursuant to the policies of Aisling Capital, Mr. Elms does not have any right to any of the Issuer's securities issued as part of his service on the Board and Aisling Capital is entitled to receive all of the pecuniary interest in the securities issued. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.47 · Expires 2033-06-15 | IndirectSee footnote | 0 |
Reported balance
After 2025-07-23 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2025-07-23 · Disposition to issuer · Disposed 31,238 · Balance 0 F1: Disposed of pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of June 8, 2025, by and among Elevation Oncology, Inc. (the "Issuer"), Concentra Biosciences, LLC ("Parent") and Concentra Merger Sub VI, Inc., a wholly owned subsidiary of Parent ("Merger Sub"). On July 23, 2025, Parent and Merger Sub completed a tender offer pursuant to the terms of the Merger Agreement for all outstanding shares of common stock of the Issuer (each, a "Share") for an offer price of (i) $0.36 per Share in cash (the "Cash Amount"), and (ii) one non-transferable contractual contingent value right (each, a "CVR"), subject to and in accordance with the terms of the Contingent Value Rights Agreement (the "CVR Agreement"), in each case, without interest, and subject to any applicable withholding taxes (the Cash Amount plus one CVR, collectively, the "Offer Price"). [continues to Footnote 2] F2: [continues from Footnote 1] Merger Sub thereafter merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Parent (the "Merger"). As of immediately prior to and conditioned upon the effective time of the Merger, pursuant to the Merger Agreement, each outstanding option to purchase Shares (each, an "Option") became fully vested and exercisable, and to the extent not exercised prior to the effective time of the Merger, was cancelled and converted into the right to receive (a) an amount in cash (without interest and subject to deduction for any required withholding tax) equal to the product of (1) the excess, if any, of the Cash Amount over the exercise price per share of each such Option and (2) the number of Shares underlying such Option immediately prior to the effective time of the Merger [continues to Footnote 3] F3: [continues from Footnote 2] and (b) one CVR in respect of each Share underlying such Option; provided, however, that if the exercise price per Share of any Option was equal to or greater than the Cash Amount that was then outstanding, it was cancelled for no consideration. F4: This stock option was granted to Steven Elms, an employee of Aisling Capital, in his capacity as a director of the Issuer. Pursuant to the policies of Aisling Capital, Mr. Elms does not have any right to any of the Issuer's securities issued as part of his service on the Board and Aisling Capital is entitled to receive all of the pecuniary interest in the securities issued. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.35 · Expires 2034-06-12 | IndirectSee footnote | 0 |
Reported balance
After 2025-07-23 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2025-07-23 · Disposition to issuer · Disposed 35,000 · Balance 0 F1: Disposed of pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of June 8, 2025, by and among Elevation Oncology, Inc. (the "Issuer"), Concentra Biosciences, LLC ("Parent") and Concentra Merger Sub VI, Inc., a wholly owned subsidiary of Parent ("Merger Sub"). On July 23, 2025, Parent and Merger Sub completed a tender offer pursuant to the terms of the Merger Agreement for all outstanding shares of common stock of the Issuer (each, a "Share") for an offer price of (i) $0.36 per Share in cash (the "Cash Amount"), and (ii) one non-transferable contractual contingent value right (each, a "CVR"), subject to and in accordance with the terms of the Contingent Value Rights Agreement (the "CVR Agreement"), in each case, without interest, and subject to any applicable withholding taxes (the Cash Amount plus one CVR, collectively, the "Offer Price"). [continues to Footnote 2] F2: [continues from Footnote 1] Merger Sub thereafter merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Parent (the "Merger"). As of immediately prior to and conditioned upon the effective time of the Merger, pursuant to the Merger Agreement, each outstanding option to purchase Shares (each, an "Option") became fully vested and exercisable, and to the extent not exercised prior to the effective time of the Merger, was cancelled and converted into the right to receive (a) an amount in cash (without interest and subject to deduction for any required withholding tax) equal to the product of (1) the excess, if any, of the Cash Amount over the exercise price per share of each such Option and (2) the number of Shares underlying such Option immediately prior to the effective time of the Merger [continues to Footnote 3] F3: [continues from Footnote 2] and (b) one CVR in respect of each Share underlying such Option; provided, however, that if the exercise price per Share of any Option was equal to or greater than the Cash Amount that was then outstanding, it was cancelled for no consideration. F4: This stock option was granted to Steven Elms, an employee of Aisling Capital, in his capacity as a director of the Issuer. Pursuant to the policies of Aisling Capital, Mr. Elms does not have any right to any of the Issuer's securities issued as part of his service on the Board and Aisling Capital is entitled to receive all of the pecuniary interest in the securities issued. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.31 · Expires 2035-06-04 | IndirectSee footnote | 0 |
Reported balance
After 2025-07-23 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2025-07-23 · Disposition to issuer · Disposed 35,000 · Balance 0 F1: Disposed of pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of June 8, 2025, by and among Elevation Oncology, Inc. (the "Issuer"), Concentra Biosciences, LLC ("Parent") and Concentra Merger Sub VI, Inc., a wholly owned subsidiary of Parent ("Merger Sub"). On July 23, 2025, Parent and Merger Sub completed a tender offer pursuant to the terms of the Merger Agreement for all outstanding shares of common stock of the Issuer (each, a "Share") for an offer price of (i) $0.36 per Share in cash (the "Cash Amount"), and (ii) one non-transferable contractual contingent value right (each, a "CVR"), subject to and in accordance with the terms of the Contingent Value Rights Agreement (the "CVR Agreement"), in each case, without interest, and subject to any applicable withholding taxes (the Cash Amount plus one CVR, collectively, the "Offer Price"). [continues to Footnote 2] F2: [continues from Footnote 1] Merger Sub thereafter merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Parent (the "Merger"). As of immediately prior to and conditioned upon the effective time of the Merger, pursuant to the Merger Agreement, each outstanding option to purchase Shares (each, an "Option") became fully vested and exercisable, and to the extent not exercised prior to the effective time of the Merger, was cancelled and converted into the right to receive (a) an amount in cash (without interest and subject to deduction for any required withholding tax) equal to the product of (1) the excess, if any, of the Cash Amount over the exercise price per share of each such Option and (2) the number of Shares underlying such Option immediately prior to the effective time of the Merger [continues to Footnote 3] F3: [continues from Footnote 2] and (b) one CVR in respect of each Share underlying such Option; provided, however, that if the exercise price per Share of any Option was equal to or greater than the Cash Amount that was then outstanding, it was cancelled for no consideration. F4: This stock option was granted to Steven Elms, an employee of Aisling Capital, in his capacity as a director of the Issuer. Pursuant to the policies of Aisling Capital, Mr. Elms does not have any right to any of the Issuer's securities issued as part of his service on the Board and Aisling Capital is entitled to receive all of the pecuniary interest in the securities issued. |
Filing footnotes · ownership attribution and instrument terms
F1: Disposed of pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of June 8, 2025, by and among Elevation Oncology, Inc. (the "Issuer"), Concentra Biosciences, LLC ("Parent") and Concentra Merger Sub VI, Inc., a wholly owned subsidiary of Parent ("Merger Sub"). On July 23, 2025, Parent and Merger Sub completed a tender offer pursuant to the terms of the Merger Agreement for all outstanding shares of common stock of the Issuer (each, a "Share") for an offer price of (i) $0.36 per Share in cash (the "Cash Amount"), and (ii) one non-transferable contractual contingent value right (each, a "CVR"), subject to and in accordance with the terms of the Contingent Value Rights Agreement (the "CVR Agreement"), in each case, without interest, and subject to any applicable withholding taxes (the Cash Amount plus one CVR, collectively, the "Offer Price"). [continues to Footnote 2]
F2: [continues from Footnote 1] Merger Sub thereafter merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Parent (the "Merger"). As of immediately prior to and conditioned upon the effective time of the Merger, pursuant to the Merger Agreement, each outstanding option to purchase Shares (each, an "Option") became fully vested and exercisable, and to the extent not exercised prior to the effective time of the Merger, was cancelled and converted into the right to receive (a) an amount in cash (without interest and subject to deduction for any required withholding tax) equal to the product of (1) the excess, if any, of the Cash Amount over the exercise price per share of each such Option and (2) the number of Shares underlying such Option immediately prior to the effective time of the Merger [continues to Footnote 3]
F3: [continues from Footnote 2] and (b) one CVR in respect of each Share underlying such Option; provided, however, that if the exercise price per Share of any Option was equal to or greater than the Cash Amount that was then outstanding, it was cancelled for no consideration.
F4: This stock option was granted to Steven Elms, an employee of Aisling Capital, in his capacity as a director of the Issuer. Pursuant to the policies of Aisling Capital, Mr. Elms does not have any right to any of the Issuer's securities issued as part of his service on the Board and Aisling Capital is entitled to receive all of the pecuniary interest in the securities issued.
Loxo Oncology, Inc.
Report date February 15, 2019 · Filed February 15, 2019
Section 16 reporting ended · disclosed 2019-02-15. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 2,038,920 |
Reported balance
After 2019-02-15 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2019-02-15 · Other · Disposed 2,038,920 · Balance 2,038,920 F1: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement") dated January 5, 2019, between Eli Lilly and Company, an Indiana corporation ("Lilly"), Bowfin Acquisition Corporation, Inc., a Delaware corporation and a wholly owned subsidiary of Lilly ("Merger Sub"), and Loxo Oncology, Inc., a Delaware corporation ("Loxo Oncology"), Merger Sub will merge with and into Loxo Oncology, with Loxo Oncology surviving as a wholly owned subsidiary of Lilly (the "Merger"). Pursuant to the Merger Agreement each issued and outstanding shares (the "Shares") of Loxo common stock, par value $0.0001 per share, was purchased at a price of $235.00 per share (the "Offer Price"), net to the seller in cash, without interest, and subject to withholding taxes. F2: The securities are directly held by Aisling Capital III, LP ("Aisling"), and indirectly held by Aisling Capital Partners III, LP ("Aisling GP"), as general partner of Aisling, Aisling Capital Partners III LLC ("Aisling Partners"), as general partner of Aisling GP, and each of the individual managing members and partners (collectively, the "Managers") of Aisling GP and Aisling Partners. The Managers of Aisling Partners are Dennis Purcell, Dr. Andrew Schiff and Steve Elms. Mr. Elms is a member of the Issuer's Board of Directors. Dr. Joshua Bilenker, the Issuer's President and Chief Executive Officer, is a member of the Issuer's Board of Directors and an Operating Partner of Aisling GP. Mr. Elms is a member of the investment committee (the "Investment Committee") of Aisling GP. The Investment Committee has voting and dispositive power over the shares held by Aisling. |
| Employee Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $13.00 · Expires 2024-07-30 | Direct | 0 |
Reported balance
After 2019-02-15 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2019-02-15 · Disposition to issuer · Disposed 15,625 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement") dated January 5, 2019, between Eli Lilly and Company, an Indiana corporation ("Lilly"), Bowfin Acquisition Corporation, Inc., a Delaware corporation and a wholly owned subsidiary of Lilly ("Merger Sub"), and Loxo Oncology, Inc., a Delaware corporation ("Loxo Oncology"), Merger Sub will merge with and into Loxo Oncology, with Loxo Oncology surviving as a wholly owned subsidiary of Lilly (the "Merger"). Pursuant to the Merger Agreement each issued and outstanding shares (the "Shares") of Loxo common stock, par value $0.0001 per share, was purchased at a price of $235.00 per share (the "Offer Price"), net to the seller in cash, without interest, and subject to withholding taxes. F3: Pursuant to the Merger Agreement, as of immediately prior to the Effective Time, each Loxo Oncology stock option that is then-outstanding and unvested shall become immediately vested and exercisable in full. At the Effective Time, each Loxo Oncology stock option that is outstanding under the Loxo Oncology Equity Incentive Plans (including any unvested Loxo stock options for which the vesting was accelerated immediately prior to the Effective Time as described above) will be cancelled and converted into the right to receive an amount in cash equal to the product of (x) the number of Shares issuable under such option multiplied by (y) the excess, if any, of (A) the Offer Price over (B) the per share exercise price of such option. Any outstanding option with an exercise price equal to or greater than the Offer Price will be cancelled for no consideration at the Effective Time. |
| Employee Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $20.91 · Expires 2025-07-27 | Direct | 0 |
Reported balance
After 2019-02-15 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2019-02-15 · Disposition to issuer · Disposed 7,812 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement") dated January 5, 2019, between Eli Lilly and Company, an Indiana corporation ("Lilly"), Bowfin Acquisition Corporation, Inc., a Delaware corporation and a wholly owned subsidiary of Lilly ("Merger Sub"), and Loxo Oncology, Inc., a Delaware corporation ("Loxo Oncology"), Merger Sub will merge with and into Loxo Oncology, with Loxo Oncology surviving as a wholly owned subsidiary of Lilly (the "Merger"). Pursuant to the Merger Agreement each issued and outstanding shares (the "Shares") of Loxo common stock, par value $0.0001 per share, was purchased at a price of $235.00 per share (the "Offer Price"), net to the seller in cash, without interest, and subject to withholding taxes. F3: Pursuant to the Merger Agreement, as of immediately prior to the Effective Time, each Loxo Oncology stock option that is then-outstanding and unvested shall become immediately vested and exercisable in full. At the Effective Time, each Loxo Oncology stock option that is outstanding under the Loxo Oncology Equity Incentive Plans (including any unvested Loxo stock options for which the vesting was accelerated immediately prior to the Effective Time as described above) will be cancelled and converted into the right to receive an amount in cash equal to the product of (x) the number of Shares issuable under such option multiplied by (y) the excess, if any, of (A) the Offer Price over (B) the per share exercise price of such option. Any outstanding option with an exercise price equal to or greater than the Offer Price will be cancelled for no consideration at the Effective Time. |
| Employee Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $24.18 · Expires 2026-06-09 | Direct | 0 |
Reported balance
After 2019-02-15 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2019-02-15 · Disposition to issuer · Disposed 7,812 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement") dated January 5, 2019, between Eli Lilly and Company, an Indiana corporation ("Lilly"), Bowfin Acquisition Corporation, Inc., a Delaware corporation and a wholly owned subsidiary of Lilly ("Merger Sub"), and Loxo Oncology, Inc., a Delaware corporation ("Loxo Oncology"), Merger Sub will merge with and into Loxo Oncology, with Loxo Oncology surviving as a wholly owned subsidiary of Lilly (the "Merger"). Pursuant to the Merger Agreement each issued and outstanding shares (the "Shares") of Loxo common stock, par value $0.0001 per share, was purchased at a price of $235.00 per share (the "Offer Price"), net to the seller in cash, without interest, and subject to withholding taxes. F3: Pursuant to the Merger Agreement, as of immediately prior to the Effective Time, each Loxo Oncology stock option that is then-outstanding and unvested shall become immediately vested and exercisable in full. At the Effective Time, each Loxo Oncology stock option that is outstanding under the Loxo Oncology Equity Incentive Plans (including any unvested Loxo stock options for which the vesting was accelerated immediately prior to the Effective Time as described above) will be cancelled and converted into the right to receive an amount in cash equal to the product of (x) the number of Shares issuable under such option multiplied by (y) the excess, if any, of (A) the Offer Price over (B) the per share exercise price of such option. Any outstanding option with an exercise price equal to or greater than the Offer Price will be cancelled for no consideration at the Effective Time. |
| Employee Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $78.58 · Expires 2027-06-21 | Direct | 0 |
Reported balance
After 2019-02-15 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2019-02-15 · Disposition to issuer · Disposed 11,000 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement") dated January 5, 2019, between Eli Lilly and Company, an Indiana corporation ("Lilly"), Bowfin Acquisition Corporation, Inc., a Delaware corporation and a wholly owned subsidiary of Lilly ("Merger Sub"), and Loxo Oncology, Inc., a Delaware corporation ("Loxo Oncology"), Merger Sub will merge with and into Loxo Oncology, with Loxo Oncology surviving as a wholly owned subsidiary of Lilly (the "Merger"). Pursuant to the Merger Agreement each issued and outstanding shares (the "Shares") of Loxo common stock, par value $0.0001 per share, was purchased at a price of $235.00 per share (the "Offer Price"), net to the seller in cash, without interest, and subject to withholding taxes. F3: Pursuant to the Merger Agreement, as of immediately prior to the Effective Time, each Loxo Oncology stock option that is then-outstanding and unvested shall become immediately vested and exercisable in full. At the Effective Time, each Loxo Oncology stock option that is outstanding under the Loxo Oncology Equity Incentive Plans (including any unvested Loxo stock options for which the vesting was accelerated immediately prior to the Effective Time as described above) will be cancelled and converted into the right to receive an amount in cash equal to the product of (x) the number of Shares issuable under such option multiplied by (y) the excess, if any, of (A) the Offer Price over (B) the per share exercise price of such option. Any outstanding option with an exercise price equal to or greater than the Offer Price will be cancelled for no consideration at the Effective Time. |
| Employee Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $180.98 · Expires 2028-06-12 | Direct | 0 |
Reported balance
After 2019-02-15 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2019-02-15 · Disposition to issuer · Disposed 8,750 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement") dated January 5, 2019, between Eli Lilly and Company, an Indiana corporation ("Lilly"), Bowfin Acquisition Corporation, Inc., a Delaware corporation and a wholly owned subsidiary of Lilly ("Merger Sub"), and Loxo Oncology, Inc., a Delaware corporation ("Loxo Oncology"), Merger Sub will merge with and into Loxo Oncology, with Loxo Oncology surviving as a wholly owned subsidiary of Lilly (the "Merger"). Pursuant to the Merger Agreement each issued and outstanding shares (the "Shares") of Loxo common stock, par value $0.0001 per share, was purchased at a price of $235.00 per share (the "Offer Price"), net to the seller in cash, without interest, and subject to withholding taxes. F3: Pursuant to the Merger Agreement, as of immediately prior to the Effective Time, each Loxo Oncology stock option that is then-outstanding and unvested shall become immediately vested and exercisable in full. At the Effective Time, each Loxo Oncology stock option that is outstanding under the Loxo Oncology Equity Incentive Plans (including any unvested Loxo stock options for which the vesting was accelerated immediately prior to the Effective Time as described above) will be cancelled and converted into the right to receive an amount in cash equal to the product of (x) the number of Shares issuable under such option multiplied by (y) the excess, if any, of (A) the Offer Price over (B) the per share exercise price of such option. Any outstanding option with an exercise price equal to or greater than the Offer Price will be cancelled for no consideration at the Effective Time. |
Filing footnotes · ownership attribution and instrument terms
F1: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement") dated January 5, 2019, between Eli Lilly and Company, an Indiana corporation ("Lilly"), Bowfin Acquisition Corporation, Inc., a Delaware corporation and a wholly owned subsidiary of Lilly ("Merger Sub"), and Loxo Oncology, Inc., a Delaware corporation ("Loxo Oncology"), Merger Sub will merge with and into Loxo Oncology, with Loxo Oncology surviving as a wholly owned subsidiary of Lilly (the "Merger"). Pursuant to the Merger Agreement each issued and outstanding shares (the "Shares") of Loxo common stock, par value $0.0001 per share, was purchased at a price of $235.00 per share (the "Offer Price"), net to the seller in cash, without interest, and subject to withholding taxes.
F2: The securities are directly held by Aisling Capital III, LP ("Aisling"), and indirectly held by Aisling Capital Partners III, LP ("Aisling GP"), as general partner of Aisling, Aisling Capital Partners III LLC ("Aisling Partners"), as general partner of Aisling GP, and each of the individual managing members and partners (collectively, the "Managers") of Aisling GP and Aisling Partners. The Managers of Aisling Partners are Dennis Purcell, Dr. Andrew Schiff and Steve Elms. Mr. Elms is a member of the Issuer's Board of Directors. Dr. Joshua Bilenker, the Issuer's President and Chief Executive Officer, is a member of the Issuer's Board of Directors and an Operating Partner of Aisling GP. Mr. Elms is a member of the investment committee (the "Investment Committee") of Aisling GP. The Investment Committee has voting and dispositive power over the shares held by Aisling.
F3: Pursuant to the Merger Agreement, as of immediately prior to the Effective Time, each Loxo Oncology stock option that is then-outstanding and unvested shall become immediately vested and exercisable in full. At the Effective Time, each Loxo Oncology stock option that is outstanding under the Loxo Oncology Equity Incentive Plans (including any unvested Loxo stock options for which the vesting was accelerated immediately prior to the Effective Time as described above) will be cancelled and converted into the right to receive an amount in cash equal to the product of (x) the number of Shares issuable under such option multiplied by (y) the excess, if any, of (A) the Offer Price over (B) the per share exercise price of such option. Any outstanding option with an exercise price equal to or greater than the Offer Price will be cancelled for no consideration at the Effective Time.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| June 06, 2023 Filed Jun 9, 2023 01:32 UTC | Marker Therapeutics, Inc. MRKR · Entity 7609 | GrantStock Option (right to buy) · Derivative | 8,000 | $0.00 Strike: $1.72 | $0.00 |
DisclosureSEC source: 0001209191-23-035614 · doc4.xml · derivative · entry 1 ELMS STEVE · CIK 0001250195 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 8,000 Underlying: Common Stock · 8,000 shares Expires 2033-06-05 F1 · derivative.exercise_date: This option vests on June 6, 2024, subject to the Reporting Person's continued service as a director through the vesting date. Read SEC document |
| March 06, 2023 Filed Mar 8, 2023 21:30 UTC | ADMA BIOLOGICS, INC. ADMA · Entity 4477 | GrantEmployee Stock Option (right to buy) · Derivative | 51,630 | $0.00 Strike: $3.35 | $0.00 |
DisclosureSEC source: 0001140361-23-010771 · form4.xml · derivative · entry 3 ELMS STEVE · CIK 0001250195 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,630 Underlying: Common Stock · 51,630 shares Expires 2033-03-06 F4 · derivative.exercise_date: The options vest in 12 equal monthly installments, becoming fully vested on the one-year anniversary of the date of grant. Read SEC document |
| March 06, 2023 Filed Mar 8, 2023 21:30 UTC | ADMA BIOLOGICS, INC. ADMA · Entity 4477 | GrantCommon Stock | 25,815 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-23-010771 · form4.xml · nonDerivative · entry 1 ELMS STEVE · CIK 0001250195 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,401 F1 · shares: These shares represent restricted stock units ("RSUs") that will vest in two equal installments, on the six- and 12-month anniversaries of the grant date, becoming fully vested on the one-year anniversary of the grant date, subject to the reporting person's continued service as of the applicable vesting date. F2 · balance_after: Includes, as of the transaction date, (i) 25,815 RSUs granted on March 6, 2023 and reported on this Form 4, subject to vesting as set forth in footnote (1); (ii) 13,293 RSUs granted on March 7, 2022, which will vest in full on March 7, 2023; and (iii) 13,293 shares of common stock owned by the reporting person. Read SEC document |
| June 17, 2022 Filed Jun 22, 2022 18:43 UTC | Elevation Oncology, Inc. ELEV · Entity 77243 | GrantStock Option (Right to Buy) · Derivative | 15,619 | $0.00 Strike: $1.31 | $0.00 |
DisclosureSEC source: 0001209191-22-038760 · doc4.xml · derivative · entry 1 Aisling Capital IV, LP · CIK 0001652910 · 10% owner Aisling Capital Partners IV LLC · CIK 0001737019 · 10% owner Aisling Capital Partners IV, LP · CIK 0001737020 · 10% owner ELMS STEVE · CIK 0001250195 · Director · 10% owner SCHIFF ANDREW N · CIK 0001172252 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 15,619 Underlying: Common Stock · 15,619 shares Expires 2032-06-16 F1 · derivative.exercise_date: The stock option vests as to 100% of the total shares on the one year anniversary of the grant date, subject to the Reporting Person's provision of service to the Issuer on such vesting date. F2 · ownership.nature: This stock option was granted to Steven Elms, an employee of Aisling Capital, in his capacity as a director of the Issuer. Pursuant to the policies of Aisling Capital, Mr. Elms does not have any right to any of the Issuer's securities issued as part of his service on the Board and Aisling Capital is entitled to receive all of the pecuniary interest in the securities issued. Read SEC document |
| May 24, 2022 Filed May 26, 2022 20:09 UTC | Marker Therapeutics, Inc. MRKR · Entity 7609 | GrantStock Option (Right to Buy) · Derivative | 80,000 | $0.00 Strike: $0.34 | $0.00 |
DisclosureSEC source: 0001209191-22-032169 · doc4.xml · derivative · entry 1 ELMS STEVE · CIK 0001250195 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,000 Underlying: Common Stock · 80,000 shares Expires 2032-05-23 F1 · derivative.exercise_date: This option vests on May 24, 2023, subject to the Reporting Person's continued service as a director through the vesting date. Read SEC document |
| March 07, 2022 Filed Mar 9, 2022 17:59 UTC | ADMA BIOLOGICS, INC. ADMA · Entity 4477 | GrantEmployee Stock Option (right to buy) · Derivative | 53,172 | $0.00 Strike: $1.67 | $0.00 |
DisclosureSEC source: 0001140361-22-008676 · form4.xml · derivative · entry 3 ELMS STEVE · CIK 0001250195 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,172 Underlying: Common Stock · 53,172 shares Expires 2032-03-07 F4 · derivative.exercise_date: The options vest in 12 equal monthly installments, becoming fully vested on the one-year anniversary of the date of grant. Read SEC document |
| March 07, 2022 Filed Mar 9, 2022 17:59 UTC | ADMA BIOLOGICS, INC. ADMA · Entity 4477 | GrantCommon Stock | 26,586 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-22-008676 · form4.xml · nonDerivative · entry 1 ELMS STEVE · CIK 0001250195 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,586 F1 · shares: These shares represent restricted stock units ("RSUs") that will vest in two equal installments, on the six- and 12-month anniversaries of the grant date, becoming fully vested on the one-year anniversary of the grant date, subject to the reporting person's continued service as of the applicable vesting date. F2 · balance_after: Includes 26,586 RSUs granted on March 7, 2022 and reported on this Form 4, subject to vesting as set forth in footnote (1). Read SEC document |
| June 29, 2021 Filed Jul 1, 2021 18:29 UTC | Elevation Oncology, Inc. ELEV · Entity 77243 | ConversionSeries B Preferred Stock · Derivative | 1,936,834 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-044561 · doc4.xml · derivative · entry 5 Aisling Capital IV, LP · CIK 0001652910 · 10% owner Aisling Capital Partners IV LLC · CIK 0001737019 · 10% owner Aisling Capital Partners IV, LP · CIK 0001737020 · 10% owner ELMS STEVE · CIK 0001250195 · Director · Managing Member SCHIFF ANDREW N · CIK 0001172252 · Managing Member Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 458,360 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Shares of the Issuer's Preferred Stock automatically converted on a 4.225582-for-one basis into the number of shares of the Issuer's Common Stock in shown in column 7 immediately upon the closing of the Issuer's initial public offering, and had no expiration date. F1 · derivative.exercise_date: The Shares of the Issuer's Preferred Stock automatically converted on a 4.225582-for-one basis into the number of shares of the Issuer's Common Stock in shown in column 7 immediately upon the closing of the Issuer's initial public offering, and had no expiration date. F1 · derivative.expiration_date: The Shares of the Issuer's Preferred Stock automatically converted on a 4.225582-for-one basis into the number of shares of the Issuer's Common Stock in shown in column 7 immediately upon the closing of the Issuer's initial public offering, and had no expiration date. F2 · ownership.direct: The securities are directly held by Aisling Capital IV, LP ("Aisling"). Aisling Capital Partners IV, LP ("Aisling GP"), is the general partner of Aisling, and Aisling Capital Partners IV LLC ("Aisling Partners"), is the general partner of Aisling GP. The managers of Aisling Partners are Dr. Andrew Schiff and Steve Elms and may share voting power and dispositive powers over securities held by Aisling, and as a result, may be deemed to have beneficial ownership over such securities. Each of the reporting persons disclaims beneficial ownership of the reported securities except to the extent of such reporting person's pecuniary interest therein. Read SEC document |
| June 29, 2021 Filed Jul 1, 2021 18:29 UTC | Elevation Oncology, Inc. ELEV · Entity 77243 | ConversionSeries A Preferred Stock · Derivative | 8,000,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-044561 · doc4.xml · derivative · entry 4 Aisling Capital IV, LP · CIK 0001652910 · 10% owner Aisling Capital Partners IV LLC · CIK 0001737019 · 10% owner Aisling Capital Partners IV, LP · CIK 0001737020 · 10% owner ELMS STEVE · CIK 0001250195 · Director · Managing Member SCHIFF ANDREW N · CIK 0001172252 · Managing Member Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,893,232 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Shares of the Issuer's Preferred Stock automatically converted on a 4.225582-for-one basis into the number of shares of the Issuer's Common Stock in shown in column 7 immediately upon the closing of the Issuer's initial public offering, and had no expiration date. F1 · derivative.exercise_date: The Shares of the Issuer's Preferred Stock automatically converted on a 4.225582-for-one basis into the number of shares of the Issuer's Common Stock in shown in column 7 immediately upon the closing of the Issuer's initial public offering, and had no expiration date. F1 · derivative.expiration_date: The Shares of the Issuer's Preferred Stock automatically converted on a 4.225582-for-one basis into the number of shares of the Issuer's Common Stock in shown in column 7 immediately upon the closing of the Issuer's initial public offering, and had no expiration date. F2 · ownership.direct: The securities are directly held by Aisling Capital IV, LP ("Aisling"). Aisling Capital Partners IV, LP ("Aisling GP"), is the general partner of Aisling, and Aisling Capital Partners IV LLC ("Aisling Partners"), is the general partner of Aisling GP. The managers of Aisling Partners are Dr. Andrew Schiff and Steve Elms and may share voting power and dispositive powers over securities held by Aisling, and as a result, may be deemed to have beneficial ownership over such securities. Each of the reporting persons disclaims beneficial ownership of the reported securities except to the extent of such reporting person's pecuniary interest therein. Read SEC document |
| June 29, 2021 Filed Jul 1, 2021 18:29 UTC | Elevation Oncology, Inc. ELEV · Entity 77243 | PurchaseCommon Stock | 187,500 | $16.00 | $3,000,000.00 |
DisclosureSEC source: 0001209191-21-044561 · doc4.xml · nonDerivative · entry 3 Aisling Capital IV, LP · CIK 0001652910 · 10% owner Aisling Capital Partners IV LLC · CIK 0001737019 · 10% owner Aisling Capital Partners IV, LP · CIK 0001737020 · 10% owner ELMS STEVE · CIK 0001250195 · Director · Managing Member SCHIFF ANDREW N · CIK 0001172252 · Managing Member Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,834,910 F2 · ownership.direct: The securities are directly held by Aisling Capital IV, LP ("Aisling"). Aisling Capital Partners IV, LP ("Aisling GP"), is the general partner of Aisling, and Aisling Capital Partners IV LLC ("Aisling Partners"), is the general partner of Aisling GP. The managers of Aisling Partners are Dr. Andrew Schiff and Steve Elms and may share voting power and dispositive powers over securities held by Aisling, and as a result, may be deemed to have beneficial ownership over such securities. Each of the reporting persons disclaims beneficial ownership of the reported securities except to the extent of such reporting person's pecuniary interest therein. Read SEC document |
| June 29, 2021 Filed Jul 1, 2021 18:29 UTC | Elevation Oncology, Inc. ELEV · Entity 77243 | ConversionCommon Stock | 458,360 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-044561 · doc4.xml · nonDerivative · entry 2 Aisling Capital IV, LP · CIK 0001652910 · 10% owner Aisling Capital Partners IV LLC · CIK 0001737019 · 10% owner Aisling Capital Partners IV, LP · CIK 0001737020 · 10% owner ELMS STEVE · CIK 0001250195 · Director · Managing Member SCHIFF ANDREW N · CIK 0001172252 · Managing Member Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,647,410 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: The Shares of the Issuer's Preferred Stock automatically converted on a 4.225582-for-one basis into the number of shares of the Issuer's Common Stock in shown in column 7 immediately upon the closing of the Issuer's initial public offering, and had no expiration date. F2 · ownership.direct: The securities are directly held by Aisling Capital IV, LP ("Aisling"). Aisling Capital Partners IV, LP ("Aisling GP"), is the general partner of Aisling, and Aisling Capital Partners IV LLC ("Aisling Partners"), is the general partner of Aisling GP. The managers of Aisling Partners are Dr. Andrew Schiff and Steve Elms and may share voting power and dispositive powers over securities held by Aisling, and as a result, may be deemed to have beneficial ownership over such securities. Each of the reporting persons disclaims beneficial ownership of the reported securities except to the extent of such reporting person's pecuniary interest therein. Read SEC document |
| June 29, 2021 Filed Jul 1, 2021 18:29 UTC | Elevation Oncology, Inc. ELEV · Entity 77243 | ConversionCommon Stock | 1,893,232 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-044561 · doc4.xml · nonDerivative · entry 1 Aisling Capital IV, LP · CIK 0001652910 · 10% owner Aisling Capital Partners IV LLC · CIK 0001737019 · 10% owner Aisling Capital Partners IV, LP · CIK 0001737020 · 10% owner ELMS STEVE · CIK 0001250195 · Director · Managing Member SCHIFF ANDREW N · CIK 0001172252 · Managing Member Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,189,050 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: The Shares of the Issuer's Preferred Stock automatically converted on a 4.225582-for-one basis into the number of shares of the Issuer's Common Stock in shown in column 7 immediately upon the closing of the Issuer's initial public offering, and had no expiration date. F2 · ownership.direct: The securities are directly held by Aisling Capital IV, LP ("Aisling"). Aisling Capital Partners IV, LP ("Aisling GP"), is the general partner of Aisling, and Aisling Capital Partners IV LLC ("Aisling Partners"), is the general partner of Aisling GP. The managers of Aisling Partners are Dr. Andrew Schiff and Steve Elms and may share voting power and dispositive powers over securities held by Aisling, and as a result, may be deemed to have beneficial ownership over such securities. Each of the reporting persons disclaims beneficial ownership of the reported securities except to the extent of such reporting person's pecuniary interest therein. Read SEC document |
| June 24, 2021 Filed Jun 28, 2021 18:18 UTC | Elevation Oncology, Inc. ELEV · Entity 77243 | GrantDirector Stock Option · Derivative | 31,238 | $0.00 Strike: $16.00 | $0.00 |
DisclosureSEC source: 0001209191-21-043527 · doc4.xml · derivative · entry 1 Aisling Capital IV, LP · CIK 0001652910 · 10% owner Aisling Capital Partners IV LLC · CIK 0001737019 · 10% owner Aisling Capital Partners IV, LP · CIK 0001737020 · 10% owner ELMS STEVE · CIK 0001250195 · Director · Managing Member SCHIFF ANDREW N · CIK 0001172252 · Managing Member Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 31,238 Underlying: Common Stock · 31,238 shares Expires 2031-06-23 F1 · derivative.exercise_date: This stock option was granted to Steven Elms, an employee of Aisling Capital, in his capacity as a director of the Issuer. Pursuant to the policies of Aisling Capital, Mr. Elms does not have any right to any of the Issuer's securities issued as part of his service on the Board and Aisling Capital is entitled to receive all of the pecuniary interest in the securities issued. The stock option vests as of 1/36 of the total shares monthly beginning on July 24, 2021 until fully vested, subject to the Reporting Person's provision of service to the Issuer on each vesting date. Read SEC document |
| June 10, 2021 Filed Jun 14, 2021 20:38 UTC | Zosano Pharma Corp ZSAN · Entity 12518 | GrantStock Option (Right to Buy) · Derivative | 30,000 | $0.00 Strike: $0.93 | $0.00 |
DisclosureSEC source: 0001567619-21-012087 · doc1.xml · derivative · entry 3 ELMS STEVE · CIK 0001250195 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 Underlying: Common Stock · 30,000 shares Expires 2031-06-09 F3 · derivative.exercise_date: The option will vest and become exercisable as to 100% of the total number of shares subject to the option on the earlier of (i) the first anniversary of the grant date and (ii) immediately prior to the annual meeting in 2022 of the Issuer's stockholders, assuming continuous service through such vesting date. Read SEC document |
| June 10, 2021 Filed Jun 14, 2021 20:38 UTC | Zosano Pharma Corp ZSAN · Entity 12518 | GrantCommon Stock | 15,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001567619-21-012087 · doc1.xml · nonDerivative · entry 1 ELMS STEVE · CIK 0001250195 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,500 F1 · shares: Represents restricted stock units which vest in a single installment on the earlier of (i) the first anniversary of the grant date and (ii) immediately prior to the annual meeting in 2022 of the Issuer's stockholders, assuming continuous service through such vesting date. Read SEC document |
| June 08, 2021 Filed Jun 10, 2021 22:55 UTC | Marker Therapeutics, Inc. MRKR · Entity 7609 | GrantCommon Stock | 12,658 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-039632 · doc4.xml · nonDerivative · entry 1 ELMS STEVE · CIK 0001250195 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,680 F1 · shares: Represents the portion of the annual board retainer for each non-employee director payable in immediately vested common stock under the Company's 2020 Equity Incentive Plan and based on the closing price of $3.16 per share, on the day immediately preceding the date of the Company's 2021 annual meeting. Read SEC document |
| March 16, 2021 Filed Mar 18, 2021 20:35 UTC | Marker Therapeutics, Inc. MRKR · Entity 7609 | PurchaseCommon Stock | 1,142,857 | $1.75 | $1,999,999.75 |
DisclosureSEC source: 0001209191-21-021769 · doc4.xml · nonDerivative · entry 1 ELMS STEVE · CIK 0001250195 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 3,142,857 F1 · ownership.nature: The reportable securities are directly owned by Aisling Capital IV, LP ("Aisling"), and which may be deemed to be beneficially owned by Aisling Capital Partners IV, LP ("Aisling GP"), as general partner of Aisling, Aisling Capital Partners IV LLC ("Aisling Partners"), as general partner of Aisling GP, and each of the individual managing members and partners (collectively, the "Managers") of Aisling GP and Aisling Partners. The Managers of Aisling Partners are Dr. Andrew Schiff and Steve Elms, who have shared voting and dispositive power over the shares. Mr. Elms, the Reporting Person, disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein, and the inclusion of these securities herein shall not be deemed an admission of beneficial ownership for purposes of Section 16 or for any other purpose. Read SEC document |
| February 25, 2021 Filed Mar 1, 2021 21:02 UTC | ADMA BIOLOGICS, INC. ADMA · Entity 4477 | GrantStock Option (right to buy) · Derivative | 55,000 | $0.00 Strike: $2.35 | $0.00 |
DisclosureSEC source: 0001193805-21-000294 · e620329_4-elms.xml · derivative · entry 1 ELMS STEVE · CIK 0001250195 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,000 Underlying: Common Stock · 55,000 shares Expires 2031-02-25 F1 · derivative.exercise_date: The options vest in twelve equal monthly installments, becoming fully vested on February 25, 2022. Read SEC document |
| June 25, 2020 Filed Jun 29, 2020 21:47 UTC | Zosano Pharma Corp ZSAN · Entity 12518 | GrantCommon Stock | 7,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-20-015090 · form4.xml · nonDerivative · entry 1 ELMS STEVE · CIK 0001250195 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,500 F1 · shares: Represents restricted stock units which vest in a single installment on the first anniversary of June 3, 2020, subject to the Reporting Person's continued service to the Issuer on the vesting date. Read SEC document |
| June 03, 2020 Filed Jun 5, 2020 17:10 UTC | Zosano Pharma Corp ZSAN · Entity 12518 | GrantStock Option (Right to Buy) · Derivative | 15,000 | $0.00 Strike: $1.01 | $0.00 |
DisclosureSEC source: 0001567619-20-011813 · doc1.xml · derivative · entry 1 ELMS STEVE · CIK 0001250195 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2030-06-02 F1 · derivative.exercise_date: The shares underlying the option shall vest on the first anniversary of the date of grant. Read SEC document |
| May 19, 2020 Filed Feb 12, 2021 22:12 UTC | Marker Therapeutics, Inc. MRKR · Entity 7609 | GrantCommon Stock | 17,022 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-010226 · doc5.xml · nonDerivative · entry 1 ELMS STEVE · CIK 0001250195 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,022 F1 · shares: Represents the portion of the annual board retainer for each non-employee director payable in immediately vested common stock under the Company's 2014 Omnibus Stock Ownership Plan, as amended and based on the closing price of $2.35 per share, on the day immediately preceding the date of the Company's 2019 annual meeting. Read SEC document |
| February 28, 2020 Filed Mar 3, 2020 19:11 UTC | ADMA BIOLOGICS, INC. ADMA · Entity 4477 | GrantEmployee Stock Option (right to buy) · Derivative | 15,000 | $0.00 Strike: $2.92 | $0.00 |
DisclosureSEC source: 0001193805-20-000292 · e619426_4-elms.xml · derivative · entry 2 ELMS STEVE · CIK 0001250195 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2030-02-28 F2 · derivative.exercise_date: The option vests in 12 equal monthly installments, becoming fully vested on the one-year anniversary of the date of grant. Read SEC document |
| February 28, 2020 Filed Mar 3, 2020 19:11 UTC | ADMA BIOLOGICS, INC. ADMA · Entity 4477 | GrantCommon Stock | 7,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001193805-20-000292 · e619426_4-elms.xml · nonDerivative · entry 1 ELMS STEVE · CIK 0001250195 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,500 F1 · shares: These shares represent restricted stock units ("RSUs"), which will vest in equal monthly installments, becoming fully vested on the one-year anniversary of the grant, subject to the reporting person's continued service as of the applicable vesting date, and will be settled into common stock upon vesting. F1 · balance_after: These shares represent restricted stock units ("RSUs"), which will vest in equal monthly installments, becoming fully vested on the one-year anniversary of the grant, subject to the reporting person's continued service as of the applicable vesting date, and will be settled into common stock upon vesting. Read SEC document |
| February 28, 2020 Filed May 1, 2020 17:12 UTC Amendment | ADMA BIOLOGICS, INC. ADMA · Entity 4477 | GrantCommon Stock | 7,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001193805-20-000553 · e619599_4a-elms.xml · nonDerivative · entry 1 ELMS STEVE · CIK 0001250195 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,500 F1 · shares: These shares represent restricted stock units ("RSUs"). Subsequent to the filing of the initial Form 4 by the Reporting Person on March 3, 2020, the Board of Directors of the Issuer corrected the vesting schedule of the RSUs. The RSUs will vest in two equal installments, on the six- and 12-month anniversaries of the grant, becoming fully vested on the one-year anniversary of the grant, subject to the reporting person's continued service as of the applicable vesting date, and will be settled into common stock upon vesting. F1 · balance_after: These shares represent restricted stock units ("RSUs"). Subsequent to the filing of the initial Form 4 by the Reporting Person on March 3, 2020, the Board of Directors of the Issuer corrected the vesting schedule of the RSUs. The RSUs will vest in two equal installments, on the six- and 12-month anniversaries of the grant, becoming fully vested on the one-year anniversary of the grant, subject to the reporting person's continued service as of the applicable vesting date, and will be settled into common stock upon vesting. Read SEC document |
| December 02, 2019 Filed Dec 6, 2019 10:23 UTC | Zosano Pharma Corp ZSAN · Entity 12518 | GrantCommon Stock, par value of $0.0001 | 689,655 | $1.45 | $999,999.75 |
DisclosureSEC source: 0000899243-19-028646 · doc4.xml · nonDerivative · entry 1 Aisling Capital IV, LP · CIK 0001652910 · 10% owner Aisling Capital Partners IV, LP · CIK 0001737020 · 10% owner Aisling Capital Partners IV LLC · CIK 0001737019 · 10% owner ELMS STEVE · CIK 0001250195 · 10% owner SCHIFF ANDREW N · CIK 0001172252 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,718,226 F1 · ownership.direct: The securities are directly held by Aisling Capital IV, LP ("Aisling"), and may be deemed to be beneficially owned by Aisling Capital Partners IV, LP ("Aisling GP"), as general partner of Aisling, Aisling Capital Partners IV LLC ("Aisling Partners"), as general partner of Aisling GP, and each of the individual managing members and partners (collectively, the "Managers") of Aisling GP and Aisling Partners. The Managers of Aisling Partners are Dr. Andrew Schiff and Steve Elms. Read SEC document |
| August 06, 2019 Filed Aug 8, 2019 21:07 UTC | Marker Therapeutics, Inc. MRKR · Entity 7609 | GrantStock Option (right to buy) · Derivative | 12,500 | $0.00 Strike: $4.21 | $0.00 |
DisclosureSEC source: 0001209191-19-045152 · doc4.xml · derivative · entry 1 ELMS STEVE · CIK 0001250195 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,500 Underlying: Common Stock · 12,500 shares Expires 2029-08-06 F1 · derivative.exercise_date: This option vests in equal monthly installments over a two year period commencing on September 6, 2019 subject to the continued service by the Reporting Person to the Issuer as of the applicable vesting date. Read SEC document |
| July 15, 2019 Filed Jul 15, 2019 16:15 UTC | Viracta Therapeutics, Inc. SNSS · Entity 85616 | PurchaseCommon Stock | 2,500,000 | $0.60 | $1,500,000.00 |
DisclosureSEC source: 0000899243-19-019602 · doc4.xml · nonDerivative · entry 1 Aisling Capital IV, LP · CIK 0001652910 · 10% owner Aisling Capital Partners IV LLC · CIK 0001737019 · 10% owner Aisling Capital Partners IV, LP · CIK 0001737020 · 10% owner SCHIFF ANDREW N · CIK 0001172252 · 10% owner ELMS STEVE · CIK 0001250195 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 10,100,000 F1 · ownership.nature: Shares held by Aisling Capital IV, LP ("Aisling"). Aisling Capital Partners IV, LP ("Aisling GP"), is the general partner of Aisling. Aisling Capital Partners IV LLC ("Aisling Partners"), is the general partner of Aisling GP. The individual managing members ("the Aisling Managers"), of Aisling Partners are Andrew Schiff, M.D. and Steve Elms. By virtue of these relationships, Aisling GP, Aisling Partners and the Aisling Managers may be deemed to have voting and investment power over the shares held by Aisling. Each of the reporting persons, other than Aisling, disclaims beneficial ownership of the shares held by Aisling, except to the extent of any pecuniary interest therein, if any. Read SEC document |
| April 11, 2019 Filed Apr 12, 2019 16:15 UTC | Zosano Pharma Corp ZSAN · Entity 12518 | GrantCommon Stock, par value of $0.0001 | 428,571 | $3.50 | $1,499,998.50 |
DisclosureSEC source: 0000899243-19-010594 · doc4.xml · nonDerivative · entry 1 Aisling Capital IV, LP · CIK 0001652910 · 10% owner Aisling Capital Partners IV, LP · CIK 0001737020 · 10% owner Aisling Capital Partners IV LLC · CIK 0001737019 · 10% owner ELMS STEVE · CIK 0001250195 · 10% owner SCHIFF ANDREW N · CIK 0001172252 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,028,571 F1 · ownership.direct: The securities are directly held by Aisling Capital IV, LP ("Aisling"), and may be deemed to be beneficially owned by Aisling Capital Partners IV, LP ("Aisling GP"), as general partner of Aisling, Aisling Capital Partners IV LLC ("Aisling Partners"), as general partner of Aisling GP, and each of the individual managing members and partners (collectively, the "Managers") of Aisling GP and Aisling Partners. The Managers of Aisling Partners are Dr. Andrew Schiff and Steve Elms. Read SEC document |
| March 13, 2019 Filed Mar 15, 2019 17:01 UTC | ADMA BIOLOGICS, INC. ADMA · Entity 4477 | GrantStock Option (right to buy) · Derivative | 30,000 | $0.00 Strike: $3.89 | $0.00 |
DisclosureSEC source: 0001193805-19-000294 · e618303_4-elms.xml · derivative · entry 1 ELMS STEVE · CIK 0001250195 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 Underlying: Common Stock · 30,000 shares Expires 2029-03-13 F1 · derivative.exercise_date: The option vests in twelve equal monthly installments, becoming fully vested on the one-year anniversary of the date of grant. F2 · derivative.expiration_date: The option terminates on the earlier of (i) March 13, 2029 and (ii) the one-year anniversary of the reporting person's ceasing to serve as a director of the Issuer. Read SEC document |
| February 15, 2019 Filed Feb 15, 2019 09:09 UTC | Loxo Oncology, Inc. LOXO · Entity 160155 | Disposition to issuerEmployee Stock Option (Right to Buy) · Derivative | 8,750 | $235.00 Strike: $180.98 | $2,056,250.00 |
DisclosureSEC source: 0001567619-19-004568 · doc1.xml · derivative · entry 6 ELMS STEVE · CIK 0001250195 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 8,750 shares Expires 2028-06-12 F1 · kind: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement") dated January 5, 2019, between Eli Lilly and Company, an Indiana corporation ("Lilly"), Bowfin Acquisition Corporation, Inc., a Delaware corporation and a wholly owned subsidiary of Lilly ("Merger Sub"), and Loxo Oncology, Inc., a Delaware corporation ("Loxo Oncology"), Merger Sub will merge with and into Loxo Oncology, with Loxo Oncology surviving as a wholly owned subsidiary of Lilly (the "Merger"). Pursuant to the Merger Agreement each issued and outstanding shares (the "Shares") of Loxo common stock, par value $0.0001 per share, was purchased at a price of $235.00 per share (the "Offer Price"), net to the seller in cash, without interest, and subject to withholding taxes. F3 · price: Pursuant to the Merger Agreement, as of immediately prior to the Effective Time, each Loxo Oncology stock option that is then-outstanding and unvested shall become immediately vested and exercisable in full. At the Effective Time, each Loxo Oncology stock option that is outstanding under the Loxo Oncology Equity Incentive Plans (including any unvested Loxo stock options for which the vesting was accelerated immediately prior to the Effective Time as described above) will be cancelled and converted into the right to receive an amount in cash equal to the product of (x) the number of Shares issuable under such option multiplied by (y) the excess, if any, of (A) the Offer Price over (B) the per share exercise price of such option. Any outstanding option with an exercise price equal to or greater than the Offer Price will be cancelled for no consideration at the Effective Time. F3 · derivative.exercise_date: Pursuant to the Merger Agreement, as of immediately prior to the Effective Time, each Loxo Oncology stock option that is then-outstanding and unvested shall become immediately vested and exercisable in full. At the Effective Time, each Loxo Oncology stock option that is outstanding under the Loxo Oncology Equity Incentive Plans (including any unvested Loxo stock options for which the vesting was accelerated immediately prior to the Effective Time as described above) will be cancelled and converted into the right to receive an amount in cash equal to the product of (x) the number of Shares issuable under such option multiplied by (y) the excess, if any, of (A) the Offer Price over (B) the per share exercise price of such option. Any outstanding option with an exercise price equal to or greater than the Offer Price will be cancelled for no consideration at the Effective Time. Read SEC document |
| February 15, 2019 Filed Feb 15, 2019 09:09 UTC | Loxo Oncology, Inc. LOXO · Entity 160155 | Disposition to issuerEmployee Stock Option (Right to Buy) · Derivative | 11,000 | $235.00 Strike: $78.58 | $2,585,000.00 |
DisclosureSEC source: 0001567619-19-004568 · doc1.xml · derivative · entry 5 ELMS STEVE · CIK 0001250195 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 11,000 shares Expires 2027-06-21 F1 · kind: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement") dated January 5, 2019, between Eli Lilly and Company, an Indiana corporation ("Lilly"), Bowfin Acquisition Corporation, Inc., a Delaware corporation and a wholly owned subsidiary of Lilly ("Merger Sub"), and Loxo Oncology, Inc., a Delaware corporation ("Loxo Oncology"), Merger Sub will merge with and into Loxo Oncology, with Loxo Oncology surviving as a wholly owned subsidiary of Lilly (the "Merger"). Pursuant to the Merger Agreement each issued and outstanding shares (the "Shares") of Loxo common stock, par value $0.0001 per share, was purchased at a price of $235.00 per share (the "Offer Price"), net to the seller in cash, without interest, and subject to withholding taxes. F3 · price: Pursuant to the Merger Agreement, as of immediately prior to the Effective Time, each Loxo Oncology stock option that is then-outstanding and unvested shall become immediately vested and exercisable in full. At the Effective Time, each Loxo Oncology stock option that is outstanding under the Loxo Oncology Equity Incentive Plans (including any unvested Loxo stock options for which the vesting was accelerated immediately prior to the Effective Time as described above) will be cancelled and converted into the right to receive an amount in cash equal to the product of (x) the number of Shares issuable under such option multiplied by (y) the excess, if any, of (A) the Offer Price over (B) the per share exercise price of such option. Any outstanding option with an exercise price equal to or greater than the Offer Price will be cancelled for no consideration at the Effective Time. F3 · derivative.exercise_date: Pursuant to the Merger Agreement, as of immediately prior to the Effective Time, each Loxo Oncology stock option that is then-outstanding and unvested shall become immediately vested and exercisable in full. At the Effective Time, each Loxo Oncology stock option that is outstanding under the Loxo Oncology Equity Incentive Plans (including any unvested Loxo stock options for which the vesting was accelerated immediately prior to the Effective Time as described above) will be cancelled and converted into the right to receive an amount in cash equal to the product of (x) the number of Shares issuable under such option multiplied by (y) the excess, if any, of (A) the Offer Price over (B) the per share exercise price of such option. Any outstanding option with an exercise price equal to or greater than the Offer Price will be cancelled for no consideration at the Effective Time. Read SEC document |
| February 15, 2019 Filed Feb 15, 2019 09:09 UTC | Loxo Oncology, Inc. LOXO · Entity 160155 | Disposition to issuerEmployee Stock Option (Right to Buy) · Derivative | 7,812 | $235.00 Strike: $24.18 | $1,835,820.00 |
DisclosureSEC source: 0001567619-19-004568 · doc1.xml · derivative · entry 4 ELMS STEVE · CIK 0001250195 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 7,812 shares Expires 2026-06-09 F1 · kind: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement") dated January 5, 2019, between Eli Lilly and Company, an Indiana corporation ("Lilly"), Bowfin Acquisition Corporation, Inc., a Delaware corporation and a wholly owned subsidiary of Lilly ("Merger Sub"), and Loxo Oncology, Inc., a Delaware corporation ("Loxo Oncology"), Merger Sub will merge with and into Loxo Oncology, with Loxo Oncology surviving as a wholly owned subsidiary of Lilly (the "Merger"). Pursuant to the Merger Agreement each issued and outstanding shares (the "Shares") of Loxo common stock, par value $0.0001 per share, was purchased at a price of $235.00 per share (the "Offer Price"), net to the seller in cash, without interest, and subject to withholding taxes. F3 · price: Pursuant to the Merger Agreement, as of immediately prior to the Effective Time, each Loxo Oncology stock option that is then-outstanding and unvested shall become immediately vested and exercisable in full. At the Effective Time, each Loxo Oncology stock option that is outstanding under the Loxo Oncology Equity Incentive Plans (including any unvested Loxo stock options for which the vesting was accelerated immediately prior to the Effective Time as described above) will be cancelled and converted into the right to receive an amount in cash equal to the product of (x) the number of Shares issuable under such option multiplied by (y) the excess, if any, of (A) the Offer Price over (B) the per share exercise price of such option. Any outstanding option with an exercise price equal to or greater than the Offer Price will be cancelled for no consideration at the Effective Time. F3 · derivative.exercise_date: Pursuant to the Merger Agreement, as of immediately prior to the Effective Time, each Loxo Oncology stock option that is then-outstanding and unvested shall become immediately vested and exercisable in full. At the Effective Time, each Loxo Oncology stock option that is outstanding under the Loxo Oncology Equity Incentive Plans (including any unvested Loxo stock options for which the vesting was accelerated immediately prior to the Effective Time as described above) will be cancelled and converted into the right to receive an amount in cash equal to the product of (x) the number of Shares issuable under such option multiplied by (y) the excess, if any, of (A) the Offer Price over (B) the per share exercise price of such option. Any outstanding option with an exercise price equal to or greater than the Offer Price will be cancelled for no consideration at the Effective Time. Read SEC document |
| February 15, 2019 Filed Feb 15, 2019 09:09 UTC | Loxo Oncology, Inc. LOXO · Entity 160155 | Disposition to issuerEmployee Stock Option (Right to Buy) · Derivative | 7,812 | $235.00 Strike: $20.91 | $1,835,820.00 |
DisclosureSEC source: 0001567619-19-004568 · doc1.xml · derivative · entry 3 ELMS STEVE · CIK 0001250195 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 7,812 shares Expires 2025-07-27 F1 · kind: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement") dated January 5, 2019, between Eli Lilly and Company, an Indiana corporation ("Lilly"), Bowfin Acquisition Corporation, Inc., a Delaware corporation and a wholly owned subsidiary of Lilly ("Merger Sub"), and Loxo Oncology, Inc., a Delaware corporation ("Loxo Oncology"), Merger Sub will merge with and into Loxo Oncology, with Loxo Oncology surviving as a wholly owned subsidiary of Lilly (the "Merger"). Pursuant to the Merger Agreement each issued and outstanding shares (the "Shares") of Loxo common stock, par value $0.0001 per share, was purchased at a price of $235.00 per share (the "Offer Price"), net to the seller in cash, without interest, and subject to withholding taxes. F3 · price: Pursuant to the Merger Agreement, as of immediately prior to the Effective Time, each Loxo Oncology stock option that is then-outstanding and unvested shall become immediately vested and exercisable in full. At the Effective Time, each Loxo Oncology stock option that is outstanding under the Loxo Oncology Equity Incentive Plans (including any unvested Loxo stock options for which the vesting was accelerated immediately prior to the Effective Time as described above) will be cancelled and converted into the right to receive an amount in cash equal to the product of (x) the number of Shares issuable under such option multiplied by (y) the excess, if any, of (A) the Offer Price over (B) the per share exercise price of such option. Any outstanding option with an exercise price equal to or greater than the Offer Price will be cancelled for no consideration at the Effective Time. F3 · derivative.exercise_date: Pursuant to the Merger Agreement, as of immediately prior to the Effective Time, each Loxo Oncology stock option that is then-outstanding and unvested shall become immediately vested and exercisable in full. At the Effective Time, each Loxo Oncology stock option that is outstanding under the Loxo Oncology Equity Incentive Plans (including any unvested Loxo stock options for which the vesting was accelerated immediately prior to the Effective Time as described above) will be cancelled and converted into the right to receive an amount in cash equal to the product of (x) the number of Shares issuable under such option multiplied by (y) the excess, if any, of (A) the Offer Price over (B) the per share exercise price of such option. Any outstanding option with an exercise price equal to or greater than the Offer Price will be cancelled for no consideration at the Effective Time. Read SEC document |
| February 15, 2019 Filed Feb 15, 2019 09:09 UTC | Loxo Oncology, Inc. LOXO · Entity 160155 | Disposition to issuerEmployee Stock Option (Right to Buy) · Derivative | 15,625 | $235.00 Strike: $13.00 | $3,671,875.00 |
DisclosureSEC source: 0001567619-19-004568 · doc1.xml · derivative · entry 2 ELMS STEVE · CIK 0001250195 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 15,625 shares Expires 2024-07-30 F1 · kind: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement") dated January 5, 2019, between Eli Lilly and Company, an Indiana corporation ("Lilly"), Bowfin Acquisition Corporation, Inc., a Delaware corporation and a wholly owned subsidiary of Lilly ("Merger Sub"), and Loxo Oncology, Inc., a Delaware corporation ("Loxo Oncology"), Merger Sub will merge with and into Loxo Oncology, with Loxo Oncology surviving as a wholly owned subsidiary of Lilly (the "Merger"). Pursuant to the Merger Agreement each issued and outstanding shares (the "Shares") of Loxo common stock, par value $0.0001 per share, was purchased at a price of $235.00 per share (the "Offer Price"), net to the seller in cash, without interest, and subject to withholding taxes. F3 · price: Pursuant to the Merger Agreement, as of immediately prior to the Effective Time, each Loxo Oncology stock option that is then-outstanding and unvested shall become immediately vested and exercisable in full. At the Effective Time, each Loxo Oncology stock option that is outstanding under the Loxo Oncology Equity Incentive Plans (including any unvested Loxo stock options for which the vesting was accelerated immediately prior to the Effective Time as described above) will be cancelled and converted into the right to receive an amount in cash equal to the product of (x) the number of Shares issuable under such option multiplied by (y) the excess, if any, of (A) the Offer Price over (B) the per share exercise price of such option. Any outstanding option with an exercise price equal to or greater than the Offer Price will be cancelled for no consideration at the Effective Time. F3 · derivative.exercise_date: Pursuant to the Merger Agreement, as of immediately prior to the Effective Time, each Loxo Oncology stock option that is then-outstanding and unvested shall become immediately vested and exercisable in full. At the Effective Time, each Loxo Oncology stock option that is outstanding under the Loxo Oncology Equity Incentive Plans (including any unvested Loxo stock options for which the vesting was accelerated immediately prior to the Effective Time as described above) will be cancelled and converted into the right to receive an amount in cash equal to the product of (x) the number of Shares issuable under such option multiplied by (y) the excess, if any, of (A) the Offer Price over (B) the per share exercise price of such option. Any outstanding option with an exercise price equal to or greater than the Offer Price will be cancelled for no consideration at the Effective Time. Read SEC document |
| February 15, 2019 Filed Feb 15, 2019 09:09 UTC | Loxo Oncology, Inc. LOXO · Entity 160155 | OtherCommon Stock | 2,038,920 | $235.00 | $479,146,200.00 |
DisclosureSEC source: 0001567619-19-004568 · doc1.xml · nonDerivative · entry 1 ELMS STEVE · CIK 0001250195 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,038,920 F1 · kind: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement") dated January 5, 2019, between Eli Lilly and Company, an Indiana corporation ("Lilly"), Bowfin Acquisition Corporation, Inc., a Delaware corporation and a wholly owned subsidiary of Lilly ("Merger Sub"), and Loxo Oncology, Inc., a Delaware corporation ("Loxo Oncology"), Merger Sub will merge with and into Loxo Oncology, with Loxo Oncology surviving as a wholly owned subsidiary of Lilly (the "Merger"). Pursuant to the Merger Agreement each issued and outstanding shares (the "Shares") of Loxo common stock, par value $0.0001 per share, was purchased at a price of $235.00 per share (the "Offer Price"), net to the seller in cash, without interest, and subject to withholding taxes. F1 · price: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement") dated January 5, 2019, between Eli Lilly and Company, an Indiana corporation ("Lilly"), Bowfin Acquisition Corporation, Inc., a Delaware corporation and a wholly owned subsidiary of Lilly ("Merger Sub"), and Loxo Oncology, Inc., a Delaware corporation ("Loxo Oncology"), Merger Sub will merge with and into Loxo Oncology, with Loxo Oncology surviving as a wholly owned subsidiary of Lilly (the "Merger"). Pursuant to the Merger Agreement each issued and outstanding shares (the "Shares") of Loxo common stock, par value $0.0001 per share, was purchased at a price of $235.00 per share (the "Offer Price"), net to the seller in cash, without interest, and subject to withholding taxes. F2 · ownership.nature: The securities are directly held by Aisling Capital III, LP ("Aisling"), and indirectly held by Aisling Capital Partners III, LP ("Aisling GP"), as general partner of Aisling, Aisling Capital Partners III LLC ("Aisling Partners"), as general partner of Aisling GP, and each of the individual managing members and partners (collectively, the "Managers") of Aisling GP and Aisling Partners. The Managers of Aisling Partners are Dennis Purcell, Dr. Andrew Schiff and Steve Elms. Mr. Elms is a member of the Issuer's Board of Directors. Dr. Joshua Bilenker, the Issuer's President and Chief Executive Officer, is a member of the Issuer's Board of Directors and an Operating Partner of Aisling GP. Mr. Elms is a member of the investment committee (the "Investment Committee") of Aisling GP. The Investment Committee has voting and dispositive power over the shares held by Aisling. Read SEC document |
| January 02, 2019 Filed Jul 18, 2019 16:07 UTC | Zosano Pharma Corp ZSAN · Entity 12518 | GrantStock Option (Right to Buy) · Derivative | 1,500 | $0.00 Strike: $2.34 | $0.00 |
DisclosureSEC source: 0001567619-19-014980 · doc1.xml · derivative · entry 1 ELMS STEVE · CIK 0001250195 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,500 Underlying: Common Stock · 1,500 shares Expires 2029-01-02 F1 · derivative.exercise_date: The shares underlying the option shall vest in equal monthly installments over a twelve-month period. Read SEC document |
| July 10, 2018 Filed Jul 12, 2018 16:45 UTC | Loxo Oncology, Inc. LOXO · Entity 160155 | SaleCommon Stock | 1,400,000 | $179.43 | $251,202,000.00 |
DisclosureSEC source: 0000899243-18-019810 · doc4.xml · nonDerivative · entry 1 AISLING CAPITAL III LP · CIK 0001444717 · 10% owner Aisling Capital Partners III LP · CIK 0001532634 · 10% owner Aisling Capital Partners III LLC · CIK 0001532635 · 10% owner ELMS STEVE · CIK 0001250195 · 10% owner SCHIFF ANDREW N · CIK 0001172252 · 10% owner Purcell Dennis J · CIK 0001297291 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,038,920 F1 · ownership.direct: The securities are directly held by Aisling Capital III, LP ("Aisling"), and indirectly held by Aisling Capital Partners III, LP ("Aisling GP"), as general partner of Aisling, Aisling Capital Partners III LLC ("Aisling Partners"), as general partner of Aisling GP, and each of the individual managing members and partners (collectively, the "Managers") of Aisling GP and Aisling Partners. The Managers of Aisling Partners are Dennis Purcell, Dr. Andrew Schiff and Steve Elms. Mr. Elms is a member of the Issuer's Board of Directors. Dr. Joshua Bilenker, the Issuer's President and Chief Executive Officer, is a member of the Issuer's Board of Directors and an Operating Partner of Aisling GP. Mr. Elms is a member of the investment committee (the "Investment Committee") of Aisling GP. The Investment Committee has voting and dispositive power over the shares held by Aisling. Read SEC document |
| June 22, 2018 Filed Jun 25, 2018 17:01 UTC | ADMA BIOLOGICS, INC. ADMA · Entity 4477 | GrantStock Option (right to buy) · Derivative | 17,500 | $0.00 Strike: $4.91 | $0.00 |
DisclosureSEC source: 0001193805-18-000903 · e618128_4-elms.xml · derivative · entry 1 ELMS STEVE · CIK 0001250195 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,500 Underlying: Common Stock · 17,500 shares Expires 2028-06-22 F1 · derivative.exercise_date: The option vests in twenty-four equal monthly installments, becoming fully vested on the two year anniversary of the date of grant. F2 · derivative.expiration_date: The option terminates on the earlier of (i) June 22, 2028 and (ii) the one year anniversary of the reporting person's ceasing to serve as a director of the Issuer. Read SEC document |
| June 13, 2018 Filed Jun 14, 2018 17:01 UTC | Loxo Oncology, Inc. LOXO · Entity 160155 | GrantDirector Stock Option (right to buy) · Derivative | 8,750 | $0.00 Strike: $180.98 | $0.00 |
DisclosureSEC source: 0001140361-18-028636 · doc1.xml · derivative · entry 1 ELMS STEVE · CIK 0001250195 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,750 Underlying: Common Stock · 8,750 shares Expires 2028-06-12 F1 · derivative.exercise_date: The stock option vests and becomes exercisable in 12 equal monthly installments beginning one month after the grant date, until such time as the option is 100% vested, subject to the continuing service of the Reporting Person on each vesting date. F2 · ownership.direct: These stock options are held by Mr. Elms for the benefit of Aisling Capital LLC. Mr. Elms disclaims beneficial ownership of these securities and this report is not an admission that he is the beneficial owner of such securities for purposes of Section 16 or any other purposes, except to the extent of his pecuniary interest therein. Read SEC document |
| May 17, 2018 Filed May 21, 2018 20:16 UTC | Zosano Pharma Corp ZSAN · Entity 12518 | GrantStock Option (right to buy) · Derivative | 25,000 | $0.00 Strike: $4.27 | $0.00 |
DisclosureSEC source: 0001587221-18-000016 · edgar.xml · derivative · entry 1 ELMS STEVE · CIK 0001250195 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 Underlying: Common Stock · 25,000 shares Expires 2028-05-17 F1 · derivative.exercise_date: 25% of the total number of shares underlying the stock option vest on May 17, 2019, and the remaining underlying shares vest in equal monthly installments over the following three-year period. Read SEC document |
| December 19, 2017 Filed Dec 20, 2017 16:31 UTC | Loxo Oncology, Inc. LOXO · Entity 160155 | SaleCommon Stock | 250,000 | $80.50 | $20,125,000.00 |
DisclosureSEC source: 0000950142-17-002235 · es1701246_4-loxo.xml · nonDerivative · entry 1 AISLING CAPITAL III LP · CIK 0001444717 · 10% owner Aisling Capital Partners III LP · CIK 0001532634 · 10% owner Aisling Capital Partners III LLC · CIK 0001532635 · 10% owner ELMS STEVE · CIK 0001250195 · Director · 10% owner SCHIFF ANDREW N · CIK 0001172252 · 10% owner Purcell Dennis J · CIK 0001297291 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,438,920 F1 · ownership.direct: The securities are directly held by Aisling Capital III, LP ("Aisling"), and indirectly held by Aisling Capital Partners III, LP ("Aisling GP"), as general partner of Aisling, Aisling Capital Partners III LLC ("Aisling Partners"), as general partner of Aisling GP, and each of the individual managing members and partners (collectively, the "Managers") of Aisling GP and Aisling Partners. The Managers of Aisling Partners are Dennis Purcell, Dr. Andrew Schiff and Steve Elms. Mr. Elms is a member of the Issuer's Board of Directors. Dr. Joshua Bilenker, the Issuer's President and Chief Executive Officer, is a member of the Issuer's Board of Directors and an Operating Partner of Aisling GP. Mr. Elms is a member of the investment committee (the "Investment Committee") of Aisling GP. The Investment Committee has voting and dispositive power over the shares held by Aisling. Read SEC document |
| November 22, 2017 Filed Nov 27, 2017 19:29 UTC | Loxo Oncology, Inc. LOXO · Entity 160155 | SaleCommon Stock | 500,000 | $75.00 | $37,500,000.00 |
DisclosureSEC source: 0000950142-17-002107 · es1701180_4-loxo.xml · nonDerivative · entry 1 AISLING CAPITAL III LP · CIK 0001444717 · 10% owner Aisling Capital Partners III LP · CIK 0001532634 · 10% owner Aisling Capital Partners III LLC · CIK 0001532635 · 10% owner ELMS STEVE · CIK 0001250195 · Director · 10% owner SCHIFF ANDREW N · CIK 0001172252 · 10% owner Purcell Dennis J · CIK 0001297291 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,688,920 F1 · ownership.direct: The securities are directly held by Aisling Capital III, LP ("Aisling"), and indirectly held by Aisling Capital Partners III, LP ("Aisling GP"), as general partner of Aisling, Aisling Capital Partners III LLC ("Aisling Partners"), as general partner of Aisling GP, and each of the individual managing members and partners (collectively, the "Managers") of Aisling GP and Aisling Partners. The Managers of Aisling Partners are Dennis Purcell, Dr. Andrew Schiff and Steve Elms. Mr. Elms is a member of the Issuer's Board of Directors. Dr. Joshua Bilenker, the Issuer's President and Chief Executive Officer, is a member of the Issuer's Board of Directors and an Operating Partner of Aisling GP. Mr. Elms is a member of the investment committee (the "Investment Committee") of Aisling GP. The Investment Committee has voting and dispositive power over the shares held by Aisling. Read SEC document |
| June 22, 2017 Filed Jun 23, 2017 17:18 UTC | Loxo Oncology, Inc. LOXO · Entity 160155 | GrantDirector Stock Option (right to buy) · Derivative | 11,000 | $0.00 Strike: $78.58 | $0.00 |
DisclosureSEC source: 0001140361-17-026009 · doc1.xml · derivative · entry 1 ELMS STEVE · CIK 0001250195 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,000 Underlying: Common Stock · 11,000 shares Expires 2027-06-21 F1 · derivative.exercise_date: The stock option vests and becomes exercisable in 12 equal monthly installments beginning one month after the grant date, until such time as the option is 100% vested, subject to the continuing service of the Reporting Person on each vesting date. F2 · ownership.direct: These stock options are held by Mr. Elms for the benefit of Aisling Capital LLC. Mr. Elms disclaims beneficial ownership of these securities and this report is not an admission that he is the beneficial owner of such securities for purposes of Section 16 or any other purposes, except to the extent of his pecuniary interest therein. Read SEC document |
| June 06, 2017 Filed Jun 8, 2017 18:03 UTC | ADMA BIOLOGICS, INC. ADMA · Entity 4477 | GrantStock Option (right to buy) · Derivative | 53,837 | $0.00 Strike: $3.66 | $0.00 |
DisclosureSEC source: 0001193805-17-001058 · e616265_4-elms.xml · derivative · entry 1 ELMS STEVE · CIK 0001250195 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,837 Underlying: Common Stock · 53,837 shares Expires 2027-06-06 F1 · derivative.exercise_date: The option vests in twenty-four equal monthly installments, becoming fully vested on the two year anniversary of the date of grant. F2 · derivative.expiration_date: The option terminates on the earlier of (i) June 6, 2027 and (ii) the one year anniversary of the reporting person's ceasing to serve as a director of the Issuer. Read SEC document |
| February 14, 2017 Filed Feb 16, 2017 20:15 UTC | ADMA BIOLOGICS, INC. ADMA · Entity 4477 | GrantStock Option (right to buy) · Derivative | 10,000 | $0.00 Strike: $5.00 | $0.00 |
DisclosureSEC source: 0001193805-17-000281 · e615788_4-elms.xml · derivative · entry 1 ELMS STEVE · CIK 0001250195 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Underlying: Common Stock · 10,000 shares Expires 2027-02-14 F1 · derivative.exercise_date: The option vests in twenty-four equal monthly installments, becoming fully vested on the two year anniversary of the date of grant. F2 · derivative.expiration_date: The option terminates on the earlier of (i) February 14, 2027 and (ii) the one year anniversary of the reporting person's ceasing to serve as a director of the Issuer. Read SEC document |
| January 10, 2017 Filed Jan 12, 2017 17:17 UTC | Loxo Oncology, Inc. LOXO · Entity 160155 | PurchaseCommon Stock | 160,000 | $31.00 | $4,960,000.00 |
DisclosureSEC source: 0000950142-17-000108 · es1700164_4-loxo.xml · nonDerivative · entry 1 AISLING CAPITAL III LP · CIK 0001444717 · 10% owner Aisling Capital Partners III LP · CIK 0001532634 · 10% owner Aisling Capital Partners III LLC · CIK 0001532635 · 10% owner ELMS STEVE · CIK 0001250195 · Director · 10% owner SCHIFF ANDREW N · CIK 0001172252 · 10% owner Purcell Dennis J · CIK 0001297291 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,188,920 F1 · ownership.direct: The securities are directly held by Aisling Capital III, LP ("Aisling"), and indirectly held by Aisling Capital Partners III, LP ("Aisling GP"), as general partner of Aisling, Aisling Capital Partners III LLC ("Aisling Partners"), as general partner of Aisling GP, and each of the individual managing members and partners (collectively, the "Managers") of Aisling GP and Aisling Partners. The Managers of Aisling Partners are Dennis Purcell, Dr. Andrew Schiff and Steve Elms. Mr. Elms is a member of the Issuer's Board of Directors. Dr. Joshua Bilenker, the Issuer's President and Chief Executive Officer, is a member of the Issuer's Board of Directors and an Operating Partner of Aisling GP. Mr. Elms is a member of the investment committee (the "Investment Committee") of Aisling GP. The Investment Committee has voting and dispositive power over the shares held by Aisling. 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.