Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Aptevo Therapeutics Inc.APVO · Entity 8337 | SVP, GC and Corporate Affairs | February 18, 2020 | March 19, 2020 |
| Olema Pharmaceuticals, Inc.OLMA · Entity 613 | CHIEF LEGAL OFFICER | March 03, 2026 | March 05, 2026 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Aptevo Therapeutics Inc.
Report date February 18, 2020 · Filed March 19, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.50 · Expires 2030-02-17 | Direct | 134,800 |
Reported balance
After 2020-02-18 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2020-02-18 · Grant · Acquired 134,800 · Balance 134,800 F1: The option vests in three approximately equal annual installments beginning on February 17, 2021. |
Filing footnotes · ownership attribution and instrument terms
F1: The option vests in three approximately equal annual installments beginning on February 17, 2021.
Olema Pharmaceuticals, Inc.
Report date March 03, 2026 · Filed March 05, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 233 |
Ending reported balance
After 2026-03-04 transaction · row 4
4 source rows · reconciled sequenceRow 1 · 2026-03-03 · Exercise / conversion · Acquired 15,000 · Balance 15,000 Row 2 · 2026-03-03 · Sale · Disposed 15,000 · Balance 0 F1: The weighted average sale price for the transaction reported was $23.01, and the range of prices were between $22.89 and $23.19. Upon request from the SEC staff, the issuer, or any security holder of the issuer, full information regarding the number of shares sold at each separate price will be provided. Row 3 · 2026-03-04 · Exercise / conversion · Acquired 25,000 · Balance 25,000 Row 4 · 2026-03-04 · Sale · Disposed 24,767 · Balance 233 F2: The weighted average sale price for the transaction reported was $24.25, and the range of prices were between $23.68 and $24.64. Upon request from the SEC staff, the issuer, or any security holder of the issuer, full information regarding the number of shares sold at each separate price will be provided. |
| Comon StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2026-03-04 transaction · row 5
1 source rowRow 5 · 2026-03-04 · Sale · Disposed 233 · Balance 0 F3: The weighted average sale price for the transaction reported was $24.69, and the range of prices were between $24.68 and $24.70. Upon request from the SEC staff, the issuer, or any security holder of the issuer, full information regarding the number of shares sold at each separate price will be provided. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $4.37 · Expires 2035-02-27 | Direct | 435,000 |
Reported balance
After 2026-03-03 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2026-03-03 · Exercise / conversion · Disposed 15,000 · Balance 435,000 F4: 25% of the shares subject to the option vest on February 28, 2026 and 1/48 of the total number of shares subject to the option vest each month thereafter, subject to the Reporting Person's continuous service through each applicable vesting date. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $4.37 · Expires 2035-02-27 | Direct | 410,000 |
Reported balance
After 2026-03-04 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2026-03-04 · Exercise / conversion · Disposed 25,000 · Balance 410,000 F4: 25% of the shares subject to the option vest on February 28, 2026 and 1/48 of the total number of shares subject to the option vest each month thereafter, subject to the Reporting Person's continuous service through each applicable vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: The weighted average sale price for the transaction reported was $23.01, and the range of prices were between $22.89 and $23.19. Upon request from the SEC staff, the issuer, or any security holder of the issuer, full information regarding the number of shares sold at each separate price will be provided.
F2: The weighted average sale price for the transaction reported was $24.25, and the range of prices were between $23.68 and $24.64. Upon request from the SEC staff, the issuer, or any security holder of the issuer, full information regarding the number of shares sold at each separate price will be provided.
F3: The weighted average sale price for the transaction reported was $24.69, and the range of prices were between $24.68 and $24.70. Upon request from the SEC staff, the issuer, or any security holder of the issuer, full information regarding the number of shares sold at each separate price will be provided.
F4: 25% of the shares subject to the option vest on February 28, 2026 and 1/48 of the total number of shares subject to the option vest each month thereafter, subject to the Reporting Person's continuous service through each applicable vesting date.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
ZOGENIX, INC.
Report date March 07, 2022 · Filed March 09, 2022
Section 16 reporting ended · disclosed 2022-03-09. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2022-03-07 transaction · row 1
1 source rowRow 1 · 2022-03-07 · Other · Disposed 605 · Balance 0 F2: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger, dated January 18, 2022, (the "Merger Agreement"), among UCB S.A., a societe anonyme formed under the laws of Belgium ("Parent"), Zinc Merger Sub, Inc., a Delaware corporation and an indirect wholly owned subsidiary of Parent ("Purchaser") and the Issuer, pursuant to which Purchaser completed a tender offer for shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer (the "Merger") effective as of March 7, 2022 (the "Effective Time"). At the Effective Time, each issued and outstanding Share was canceled and converted into the right to receive $26.00 in cash (the "Cash Amount") plus a contingent value right ("CVR"), which CVR represents the right to receive a contingent payment of $2.00 which amount will become payable, if at all, if a specified milestone is achieved on or prior to December 31, 2023. F1: Acquired under the Issuer's Employee Stock Purchase Plan since the last filing by the Reporting Person. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $26.68 · Expires 2030-04-19 | Direct | 0 |
Reported balance
After 2022-03-07 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2022-03-07 · Disposition to issuer · Disposed 110,000 · Balance 0 F3: Upon the terms and subject to the conditions set forth in the Merger Agreement, (a) each outstanding option to purchase Shares (each, a "Company Option") with an exercise price less than $26.00 (each, an "In the Money Option"), was canceled and converted into the right to receive an amount in cash equal to, subject to applicable tax withholding, the product of (i) the excess, if any of the Cash Amount over the exercise price per Share underlying such In the Money Option, multiplied by (ii) the total number of Shares subject to such In the Money Options and one CVR; (b) each Company Option with an exercise price equal to or greater than $26.00 but less than $28.00 (each, an "Out of the Money Option"), F4: (Continued from Footnote 3) was canceled and converted into the right to receive, subject to the terms of the Merger Agreement, if and when (and only if and when) payments in respect of CVRs are required to be made, $28.00 in cash (less the applicable exercise price per Share subject to such Out of the Money Option); (c) each Company Option with an exercise price equal to or greater than $28.00, was canceled for no consideration. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $18.76 · Expires 2031-03-25 | Direct | 0 |
Reported balance
After 2022-03-07 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2022-03-07 · Disposition to issuer · Disposed 25,000 · Balance 0 F3: Upon the terms and subject to the conditions set forth in the Merger Agreement, (a) each outstanding option to purchase Shares (each, a "Company Option") with an exercise price less than $26.00 (each, an "In the Money Option"), was canceled and converted into the right to receive an amount in cash equal to, subject to applicable tax withholding, the product of (i) the excess, if any of the Cash Amount over the exercise price per Share underlying such In the Money Option, multiplied by (ii) the total number of Shares subject to such In the Money Options and one CVR; (b) each Company Option with an exercise price equal to or greater than $26.00 but less than $28.00 (each, an "Out of the Money Option"), F4: (Continued from Footnote 3) was canceled and converted into the right to receive, subject to the terms of the Merger Agreement, if and when (and only if and when) payments in respect of CVRs are required to be made, $28.00 in cash (less the applicable exercise price per Share subject to such Out of the Money Option); (c) each Company Option with an exercise price equal to or greater than $28.00, was canceled for no consideration. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2022-03-07 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2022-03-07 · Disposition to issuer · Disposed 25,000 · Balance 0 F5: Each restricted stock unit represents a contingent right to receive one Share. F7: Pursuant to the terms of the Merger Agreement, each restricted stock unit (including performance stock units) was canceled and converted into the right to receive an amount in cash equal to (i) the product of (A) the total number of Shares subject to (or deliverable under) such restricted stock unit (with any performance conditions deemed achieved at maximum levels with respect to any performance stock unit) multiplied by (B) the Cash Amount, and (ii) one CVR with respect to each Share subject to such restricted stock unit. F3: Upon the terms and subject to the conditions set forth in the Merger Agreement, (a) each outstanding option to purchase Shares (each, a "Company Option") with an exercise price less than $26.00 (each, an "In the Money Option"), was canceled and converted into the right to receive an amount in cash equal to, subject to applicable tax withholding, the product of (i) the excess, if any of the Cash Amount over the exercise price per Share underlying such In the Money Option, multiplied by (ii) the total number of Shares subject to such In the Money Options and one CVR; (b) each Company Option with an exercise price equal to or greater than $26.00 but less than $28.00 (each, an "Out of the Money Option"), F4: (Continued from Footnote 3) was canceled and converted into the right to receive, subject to the terms of the Merger Agreement, if and when (and only if and when) payments in respect of CVRs are required to be made, $28.00 in cash (less the applicable exercise price per Share subject to such Out of the Money Option); (c) each Company Option with an exercise price equal to or greater than $28.00, was canceled for no consideration. F6: Not applicable. |
Filing footnotes · ownership attribution and instrument terms
F1: Acquired under the Issuer's Employee Stock Purchase Plan since the last filing by the Reporting Person.
F2: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger, dated January 18, 2022, (the "Merger Agreement"), among UCB S.A., a societe anonyme formed under the laws of Belgium ("Parent"), Zinc Merger Sub, Inc., a Delaware corporation and an indirect wholly owned subsidiary of Parent ("Purchaser") and the Issuer, pursuant to which Purchaser completed a tender offer for shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer (the "Merger") effective as of March 7, 2022 (the "Effective Time"). At the Effective Time, each issued and outstanding Share was canceled and converted into the right to receive $26.00 in cash (the "Cash Amount") plus a contingent value right ("CVR"), which CVR represents the right to receive a contingent payment of $2.00 which amount will become payable, if at all, if a specified milestone is achieved on or prior to December 31, 2023.
F3: Upon the terms and subject to the conditions set forth in the Merger Agreement, (a) each outstanding option to purchase Shares (each, a "Company Option") with an exercise price less than $26.00 (each, an "In the Money Option"), was canceled and converted into the right to receive an amount in cash equal to, subject to applicable tax withholding, the product of (i) the excess, if any of the Cash Amount over the exercise price per Share underlying such In the Money Option, multiplied by (ii) the total number of Shares subject to such In the Money Options and one CVR; (b) each Company Option with an exercise price equal to or greater than $26.00 but less than $28.00 (each, an "Out of the Money Option"),
F4: (Continued from Footnote 3) was canceled and converted into the right to receive, subject to the terms of the Merger Agreement, if and when (and only if and when) payments in respect of CVRs are required to be made, $28.00 in cash (less the applicable exercise price per Share subject to such Out of the Money Option); (c) each Company Option with an exercise price equal to or greater than $28.00, was canceled for no consideration.
F5: Each restricted stock unit represents a contingent right to receive one Share.
F6: Not applicable.
F7: Pursuant to the terms of the Merger Agreement, each restricted stock unit (including performance stock units) was canceled and converted into the right to receive an amount in cash equal to (i) the product of (A) the total number of Shares subject to (or deliverable under) such restricted stock unit (with any performance conditions deemed achieved at maximum levels with respect to any performance stock unit) multiplied by (B) the Cash Amount, and (ii) one CVR with respect to each Share subject to such restricted stock unit.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| March 04, 2026 Filed Mar 5, 2026 20:00 UTC | Olema Pharmaceuticals, Inc. OLMA · Entity 613 | Exercise / conversionStock Option (Right to Buy) · Derivative | 25,000 | $0.00 Strike: $4.37 | $0.00 |
DisclosureSEC source: 0001749432-26-000004 · form4-03052026_080301.xml · derivative · entry 7 Mitchell Shawnte · CIK 0001749432 · CHIEF LEGAL OFFICER 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 410,000 Underlying: Common Stock · 25,000 shares Expires 2035-02-27 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_date: 25% of the shares subject to the option vest on February 28, 2026 and 1/48 of the total number of shares subject to the option vest each month thereafter, subject to the Reporting Person's continuous service through each applicable vesting date. Read SEC document |
| March 04, 2026 Filed Mar 5, 2026 20:00 UTC | Olema Pharmaceuticals, Inc. OLMA · Entity 613 | SaleComon Stock | 233 | $24.69 | $5,752.77 |
DisclosureSEC source: 0001749432-26-000004 · form4-03052026_080301.xml · nonDerivative · entry 5 Mitchell Shawnte · CIK 0001749432 · CHIEF LEGAL OFFICER 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 F3 · price: The weighted average sale price for the transaction reported was $24.69, and the range of prices were between $24.68 and $24.70. Upon request from the SEC staff, the issuer, or any security holder of the issuer, full information regarding the number of shares sold at each separate price will be provided. Read SEC document |
| March 04, 2026 Filed Mar 5, 2026 20:00 UTC | Olema Pharmaceuticals, Inc. OLMA · Entity 613 | SaleCommon Stock | 24,767 | $24.25 | $600,599.75 |
DisclosureSEC source: 0001749432-26-000004 · form4-03052026_080301.xml · nonDerivative · entry 4 Mitchell Shawnte · CIK 0001749432 · CHIEF LEGAL OFFICER 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 233 F2 · price: The weighted average sale price for the transaction reported was $24.25, and the range of prices were between $23.68 and $24.64. Upon request from the SEC staff, the issuer, or any security holder of the issuer, full information regarding the number of shares sold at each separate price will be provided. Read SEC document |
| March 04, 2026 Filed Mar 5, 2026 20:00 UTC | Olema Pharmaceuticals, Inc. OLMA · Entity 613 | Exercise / conversionCommon Stock | 25,000 | $4.37 | $109,250.00 |
DisclosureSEC source: 0001749432-26-000004 · form4-03052026_080301.xml · nonDerivative · entry 3 Mitchell Shawnte · CIK 0001749432 · CHIEF LEGAL OFFICER 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 25,000 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| March 03, 2026 Filed Mar 5, 2026 20:00 UTC | Olema Pharmaceuticals, Inc. OLMA · Entity 613 | Exercise / conversionStock Option (Right to Buy) · Derivative | 15,000 | $0.00 Strike: $4.37 | $0.00 |
DisclosureSEC source: 0001749432-26-000004 · form4-03052026_080301.xml · derivative · entry 6 Mitchell Shawnte · CIK 0001749432 · CHIEF LEGAL OFFICER 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 435,000 Underlying: Common Stock · 15,000 shares Expires 2035-02-27 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_date: 25% of the shares subject to the option vest on February 28, 2026 and 1/48 of the total number of shares subject to the option vest each month thereafter, subject to the Reporting Person's continuous service through each applicable vesting date. Read SEC document |
| March 03, 2026 Filed Mar 5, 2026 20:00 UTC | Olema Pharmaceuticals, Inc. OLMA · Entity 613 | SaleCommon Stock | 15,000 | $23.01 | $345,150.00 |
DisclosureSEC source: 0001749432-26-000004 · form4-03052026_080301.xml · nonDerivative · entry 2 Mitchell Shawnte · CIK 0001749432 · CHIEF LEGAL OFFICER 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 F1 · price: The weighted average sale price for the transaction reported was $23.01, and the range of prices were between $22.89 and $23.19. Upon request from the SEC staff, the issuer, or any security holder of the issuer, full information regarding the number of shares sold at each separate price will be provided. Read SEC document |
| March 03, 2026 Filed Mar 5, 2026 20:00 UTC | Olema Pharmaceuticals, Inc. OLMA · Entity 613 | Exercise / conversionCommon Stock | 15,000 | $4.37 | $65,550.00 |
DisclosureSEC source: 0001749432-26-000004 · form4-03052026_080301.xml · nonDerivative · entry 1 Mitchell Shawnte · CIK 0001749432 · CHIEF LEGAL OFFICER 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 15,000 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| February 02, 2026 Filed Feb 4, 2026 21:30 UTC | Olema Pharmaceuticals, Inc. OLMA · Entity 613 | GrantPerformance Stock Options (Right to Buy) · Derivative | 56,250 | $0.00 Strike: $25.65 | $0.00 |
DisclosureSEC source: 0001749432-26-000002 · form4-02042026_090203.xml · derivative · entry 2 Mitchell Shawnte · CIK 0001749432 · CHIEF LEGAL OFFICER 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 56,250 Underlying: Common Stock · 56,250 shares Expires 2036-02-01 F2 · derivative.exercise_date: The performance-based stock options will be eligible to vest during two distinct performance periods, each beginning on February 2, 2026 and ending on December 31, 2029 and December 31, 2030, respectively, based on the Issuer's stock price trading at certain pre-determined price thresholds as measured by the average closing price per share of the Issuer's stock over a consecutive thirty (30) day trading period during each such performance period. Once a price threshold is achieved, the portion of the award related to such threshold will vest upon the date set forth in the certification by the Compensation Committee certifying that such price threshold was achieved, subject to the Reporting Person's continuous service as of the applicable certification date. Read SEC document |
| February 02, 2026 Filed Feb 4, 2026 21:30 UTC | Olema Pharmaceuticals, Inc. OLMA · Entity 613 | GrantStock Option (Right to Buy) · Derivative | 220,000 | $0.00 Strike: $25.65 | $0.00 |
DisclosureSEC source: 0001749432-26-000002 · form4-02042026_090203.xml · derivative · entry 1 Mitchell Shawnte · CIK 0001749432 · CHIEF LEGAL OFFICER 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 220,000 Underlying: Common Stock · 220,000 shares Expires 2036-02-01 F1 · derivative.exercise_date: 25% of the shares subject to the option vest on February 2, 2027, and 1/48 of the total number of shares subject to the option vest each month thereafter, subject to the Reporting Person's continuous service through each applicable vesting date. Read SEC document |
| February 28, 2025 Filed Mar 3, 2025 16:18 UTC | Olema Pharmaceuticals, Inc. OLMA · Entity 613 | GrantStock Option (Right to Buy) · Derivative | 450,000 | $0.00 Strike: $4.37 | $0.00 |
DisclosureSEC source: 0001415889-25-006154 · form4-03032025_090314.xml · derivative · entry 1 Mitchell Shawnte · CIK 0001749432 · CHIEF LEGAL OFFICER 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 450,000 Underlying: Common Stock · 450,000 shares Expires 2035-02-27 F1 · derivative.exercise_date: 25% of the shares subject to the option vest on February 28, 2026 and 1/48 of the total number of shares subject to the option vest each month thereafter, subject to the Reporting Person's continuous service through each applicable vesting date. Read SEC document |
| March 07, 2022 Filed Mar 9, 2022 19:06 UTC | ZOGENIX, INC. ZGNX · Entity 129305 | Disposition to issuerRestricted Stock Units · Derivative | 25,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-22-010293 · doc4.xml · derivative · entry 4 Mitchell Shawnte · CIK 0001749432 · EVP, GC & Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 25,000 shares Expires not disclosed F5 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one Share. F7 · price: Pursuant to the terms of the Merger Agreement, each restricted stock unit (including performance stock units) was canceled and converted into the right to receive an amount in cash equal to (i) the product of (A) the total number of Shares subject to (or deliverable under) such restricted stock unit (with any performance conditions deemed achieved at maximum levels with respect to any performance stock unit) multiplied by (B) the Cash Amount, and (ii) one CVR with respect to each Share subject to such restricted stock unit. F3 · derivative.exercise_date: Upon the terms and subject to the conditions set forth in the Merger Agreement, (a) each outstanding option to purchase Shares (each, a "Company Option") with an exercise price less than $26.00 (each, an "In the Money Option"), was canceled and converted into the right to receive an amount in cash equal to, subject to applicable tax withholding, the product of (i) the excess, if any of the Cash Amount over the exercise price per Share underlying such In the Money Option, multiplied by (ii) the total number of Shares subject to such In the Money Options and one CVR; (b) each Company Option with an exercise price equal to or greater than $26.00 but less than $28.00 (each, an "Out of the Money Option"), F4 · derivative.exercise_date: (Continued from Footnote 3) was canceled and converted into the right to receive, subject to the terms of the Merger Agreement, if and when (and only if and when) payments in respect of CVRs are required to be made, $28.00 in cash (less the applicable exercise price per Share subject to such Out of the Money Option); (c) each Company Option with an exercise price equal to or greater than $28.00, was canceled for no consideration. F6 · derivative.expiration_date: Not applicable. Read SEC document |
| March 07, 2022 Filed Mar 9, 2022 19:06 UTC | ZOGENIX, INC. ZGNX · Entity 129305 | Disposition to issuerStock Option (Right to Buy) · Derivative | 25,000 | Not disclosed Strike: $18.76 | Not disclosed |
DisclosureSEC source: 0000899243-22-010293 · doc4.xml · derivative · entry 3 Mitchell Shawnte · CIK 0001749432 · EVP, GC & Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 25,000 shares Expires 2031-03-25 F3 · price: Upon the terms and subject to the conditions set forth in the Merger Agreement, (a) each outstanding option to purchase Shares (each, a "Company Option") with an exercise price less than $26.00 (each, an "In the Money Option"), was canceled and converted into the right to receive an amount in cash equal to, subject to applicable tax withholding, the product of (i) the excess, if any of the Cash Amount over the exercise price per Share underlying such In the Money Option, multiplied by (ii) the total number of Shares subject to such In the Money Options and one CVR; (b) each Company Option with an exercise price equal to or greater than $26.00 but less than $28.00 (each, an "Out of the Money Option"), F4 · price: (Continued from Footnote 3) was canceled and converted into the right to receive, subject to the terms of the Merger Agreement, if and when (and only if and when) payments in respect of CVRs are required to be made, $28.00 in cash (less the applicable exercise price per Share subject to such Out of the Money Option); (c) each Company Option with an exercise price equal to or greater than $28.00, was canceled for no consideration. F3 · derivative.exercise_date: Upon the terms and subject to the conditions set forth in the Merger Agreement, (a) each outstanding option to purchase Shares (each, a "Company Option") with an exercise price less than $26.00 (each, an "In the Money Option"), was canceled and converted into the right to receive an amount in cash equal to, subject to applicable tax withholding, the product of (i) the excess, if any of the Cash Amount over the exercise price per Share underlying such In the Money Option, multiplied by (ii) the total number of Shares subject to such In the Money Options and one CVR; (b) each Company Option with an exercise price equal to or greater than $26.00 but less than $28.00 (each, an "Out of the Money Option"), F4 · derivative.exercise_date: (Continued from Footnote 3) was canceled and converted into the right to receive, subject to the terms of the Merger Agreement, if and when (and only if and when) payments in respect of CVRs are required to be made, $28.00 in cash (less the applicable exercise price per Share subject to such Out of the Money Option); (c) each Company Option with an exercise price equal to or greater than $28.00, was canceled for no consideration. Read SEC document |
| March 07, 2022 Filed Mar 9, 2022 19:06 UTC | ZOGENIX, INC. ZGNX · Entity 129305 | Disposition to issuerStock Option (Right to Buy) · Derivative | 110,000 | Not disclosed Strike: $26.68 | Not disclosed |
DisclosureSEC source: 0000899243-22-010293 · doc4.xml · derivative · entry 2 Mitchell Shawnte · CIK 0001749432 · EVP, GC & Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 110,000 shares Expires 2030-04-19 F3 · price: Upon the terms and subject to the conditions set forth in the Merger Agreement, (a) each outstanding option to purchase Shares (each, a "Company Option") with an exercise price less than $26.00 (each, an "In the Money Option"), was canceled and converted into the right to receive an amount in cash equal to, subject to applicable tax withholding, the product of (i) the excess, if any of the Cash Amount over the exercise price per Share underlying such In the Money Option, multiplied by (ii) the total number of Shares subject to such In the Money Options and one CVR; (b) each Company Option with an exercise price equal to or greater than $26.00 but less than $28.00 (each, an "Out of the Money Option"), F4 · price: (Continued from Footnote 3) was canceled and converted into the right to receive, subject to the terms of the Merger Agreement, if and when (and only if and when) payments in respect of CVRs are required to be made, $28.00 in cash (less the applicable exercise price per Share subject to such Out of the Money Option); (c) each Company Option with an exercise price equal to or greater than $28.00, was canceled for no consideration. F3 · derivative.exercise_date: Upon the terms and subject to the conditions set forth in the Merger Agreement, (a) each outstanding option to purchase Shares (each, a "Company Option") with an exercise price less than $26.00 (each, an "In the Money Option"), was canceled and converted into the right to receive an amount in cash equal to, subject to applicable tax withholding, the product of (i) the excess, if any of the Cash Amount over the exercise price per Share underlying such In the Money Option, multiplied by (ii) the total number of Shares subject to such In the Money Options and one CVR; (b) each Company Option with an exercise price equal to or greater than $26.00 but less than $28.00 (each, an "Out of the Money Option"), F4 · derivative.exercise_date: (Continued from Footnote 3) was canceled and converted into the right to receive, subject to the terms of the Merger Agreement, if and when (and only if and when) payments in respect of CVRs are required to be made, $28.00 in cash (less the applicable exercise price per Share subject to such Out of the Money Option); (c) each Company Option with an exercise price equal to or greater than $28.00, was canceled for no consideration. Read SEC document |
| March 07, 2022 Filed Mar 9, 2022 19:06 UTC | ZOGENIX, INC. ZGNX · Entity 129305 | OtherCommon Stock | 605 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-22-010293 · doc4.xml · nonDerivative · entry 1 Mitchell Shawnte · CIK 0001749432 · EVP, GC & Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F2 · kind: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger, dated January 18, 2022, (the "Merger Agreement"), among UCB S.A., a societe anonyme formed under the laws of Belgium ("Parent"), Zinc Merger Sub, Inc., a Delaware corporation and an indirect wholly owned subsidiary of Parent ("Purchaser") and the Issuer, pursuant to which Purchaser completed a tender offer for shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer (the "Merger") effective as of March 7, 2022 (the "Effective Time"). At the Effective Time, each issued and outstanding Share was canceled and converted into the right to receive $26.00 in cash (the "Cash Amount") plus a contingent value right ("CVR"), which CVR represents the right to receive a contingent payment of $2.00 which amount will become payable, if at all, if a specified milestone is achieved on or prior to December 31, 2023. F1 · shares: Acquired under the Issuer's Employee Stock Purchase Plan since the last filing by the Reporting Person. F2 · price: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger, dated January 18, 2022, (the "Merger Agreement"), among UCB S.A., a societe anonyme formed under the laws of Belgium ("Parent"), Zinc Merger Sub, Inc., a Delaware corporation and an indirect wholly owned subsidiary of Parent ("Purchaser") and the Issuer, pursuant to which Purchaser completed a tender offer for shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer (the "Merger") effective as of March 7, 2022 (the "Effective Time"). At the Effective Time, each issued and outstanding Share was canceled and converted into the right to receive $26.00 in cash (the "Cash Amount") plus a contingent value right ("CVR"), which CVR represents the right to receive a contingent payment of $2.00 which amount will become payable, if at all, if a specified milestone is achieved on or prior to December 31, 2023. Read SEC document |
| March 26, 2021 Filed Mar 30, 2021 21:25 UTC | ZOGENIX, INC. ZGNX · Entity 129305 | GrantRestricted Stock Units · Derivative | 12,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001375151-21-000037 · wf-form4_161715390667661.xml · derivative · entry 2 Mitchell Shawnte · CIK 0001749432 · EVP, GC and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,500 Underlying: Common Stock · 12,500 shares Expires not disclosed F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Zogenix common stock. F3 · derivative.exercise_date: The restricted stock units vests in four equal installments on each of March 15, 2022, 2023, 2024 and 2025, subject to the reporting person's continuous service to the Company on such vesting date. F4 · derivative.expiration_date: Not applicable. Read SEC document |
| March 26, 2021 Filed Mar 30, 2021 21:25 UTC | ZOGENIX, INC. ZGNX · Entity 129305 | GrantStock Option (Right to Buy) · Derivative | 25,000 | $0.00 Strike: $18.76 | $0.00 |
DisclosureSEC source: 0001375151-21-000037 · wf-form4_161715390667661.xml · derivative · entry 1 Mitchell Shawnte · CIK 0001749432 · EVP, GC and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 Underlying: Common Stock · 25,000 shares Expires 2031-03-26 F1 · derivative.exercise_date: The option award shall vest in a series of forty-eight (48) successive, equal monthly installments, with the first vest date occurring on April 15, 2021, subject to the reporting person's continued service to the Company on the applicable vesting dates. Read SEC document |
| April 20, 2020 Filed Apr 21, 2020 21:37 UTC | ZOGENIX, INC. ZGNX · Entity 129305 | GrantStock Option (Right to Buy) · Derivative | 110,000 | $0.00 Strike: $26.68 | $0.00 |
DisclosureSEC source: 0001375151-20-000063 · wf-form4_158751941465958.xml · derivative · entry 1 Mitchell Shawnte · CIK 0001749432 · EVP, GC and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 110,000 Underlying: Common Stock · 110,000 shares Expires 2030-04-19 F1 · derivative.exercise_date: 1/4th of the total number of shares subject to the option vests on the one-year anniversary of the date of grant and the remaining shares vest at a rate of 1/48th of the total number of shares subject to the option on each month thereafter, subject to continued service to us through each vesting date. Read SEC document |
| February 18, 2020 Filed Mar 19, 2020 22:34 UTC | Aptevo Therapeutics Inc. APVO · Entity 8337 | GrantStock Option (right to buy) · Derivative | 134,800 | $0.00 Strike: $0.50 | $0.00 |
DisclosureSEC source: 0001019056-20-000243 · mitchell.xml · derivative · entry 1 Mitchell Shawnte · CIK 0001749432 · SVP, GC and Corporate Affairs 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 134,800 Underlying: Common Stock · 134,800 shares Expires 2030-02-17 F1 · derivative.exercise_date: The option vests in three approximately equal annual installments beginning on February 17, 2021. Read SEC document |
| November 01, 2019 Filed Nov 6, 2019 01:55 UTC | Aptevo Therapeutics Inc. APVO · Entity 8337 | GrantStock Option (right to buy) · Derivative | 120,968 | $0.00 Strike: $0.58 | $0.00 |
DisclosureSEC source: 0001019056-19-000618 · mitchell.xml · derivative · entry 1 Mitchell Shawnte · CIK 0001749432 · SVP, GC and Corporate Affairs 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 120,968 Underlying: Common Stock · 120,968 shares Expires 2029-10-31 F1 · derivative.exercise_date: The options vest on November 1, 2020, the one-year anniversary of the grant date. Read SEC document |
| March 01, 2019 Filed Mar 5, 2019 02:08 UTC | Aptevo Therapeutics Inc. APVO · Entity 8337 | Exercise / conversionRestricted Stock Unit · Derivative | 6,787 | $0.00 | $0.00 |
DisclosureSEC source: 0001019056-19-000182 · mitchell.xml · derivative · entry 4 Mitchell Shawnte · CIK 0001749432 · SVP, GC and Corporate Affairs 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 6,787 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: Restricted stock units convert into shares of the Issuer's common stock on a one-for-one basis. F3 · derivative.exercise_date: On March 1, 2016 the reporting person was granted 20,365 restricted stock units. 6,789 shares of common stock underlying the restricted stock units vested on each of March 1, 2017 and March 1, 2018, and the remaining 6,787 shares vested on March 1, 2019. F3 · derivative.expiration_date: On March 1, 2016 the reporting person was granted 20,365 restricted stock units. 6,789 shares of common stock underlying the restricted stock units vested on each of March 1, 2017 and March 1, 2018, and the remaining 6,787 shares vested on March 1, 2019. Read SEC document |
| March 01, 2019 Filed Mar 5, 2019 02:08 UTC | Aptevo Therapeutics Inc. APVO · Entity 8337 | Tax withholdingCommon Stock | 2,012 | $1.57 | $3,158.84 |
DisclosureSEC source: 0001019056-19-000182 · mitchell.xml · nonDerivative · entry 2 Mitchell Shawnte · CIK 0001749432 · SVP, GC and Corporate Affairs 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,527 Read SEC document |
| March 01, 2019 Filed Mar 5, 2019 02:08 UTC | Aptevo Therapeutics Inc. APVO · Entity 8337 | Exercise / conversionCommon Stock | 6,787 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001019056-19-000182 · mitchell.xml · nonDerivative · entry 1 Mitchell Shawnte · CIK 0001749432 · SVP, GC and Corporate Affairs 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 82,539 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: Restricted stock units convert into shares of the Issuer's common stock on a one-for-one basis. Read SEC document |
| February 28, 2019 Filed Mar 5, 2019 02:08 UTC | Aptevo Therapeutics Inc. APVO · Entity 8337 | GrantStock Option (right to buy) · Derivative | 67,400 | $0.00 Strike: $1.52 | $0.00 |
DisclosureSEC source: 0001019056-19-000182 · mitchell.xml · derivative · entry 3 Mitchell Shawnte · CIK 0001749432 · SVP, GC and Corporate Affairs 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 67,400 Underlying: Common Stock · 67,400 shares Expires 2029-02-28 F2 · derivative.exercise_date: The option vests in three approximately equal annual installments beginning on February 28, 2020. Read SEC document |
| August 09, 2018 Filed Aug 13, 2018 20:45 UTC | Aptevo Therapeutics Inc. APVO · Entity 8337 | Exercise / conversionRestricted Stock Units · Derivative | 1,630 | $0.00 | $0.00 |
DisclosureSEC source: 0001019056-18-000956 · ownership.xml · derivative · entry 3 Mitchell Shawnte · CIK 0001749432 · SVP, GC and Corporate Affairs 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,787 Underlying: Common Stock · 1,630 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: Restricted stock units convert into shares of the Issuer's common stock on a one-for-one basis. F2 · derivative.exercise_date: On August 10, 2015, the reporting person was granted 4,892 restricted stock units. 1,631 shares of common stock underlying the restricted stock units vested on each of August 9, 2016 and August 9, 2017, and 1,630 vested on August 9, 2018. F2 · derivative.expiration_date: On August 10, 2015, the reporting person was granted 4,892 restricted stock units. 1,631 shares of common stock underlying the restricted stock units vested on each of August 9, 2016 and August 9, 2017, and 1,630 vested on August 9, 2018. Read SEC document |
| August 09, 2018 Filed Aug 13, 2018 20:45 UTC | Aptevo Therapeutics Inc. APVO · Entity 8337 | Tax withholdingCommon Stock | 383 | $4.50 | $1,723.50 |
DisclosureSEC source: 0001019056-18-000956 · ownership.xml · nonDerivative · entry 2 Mitchell Shawnte · CIK 0001749432 · SVP, GC and Corporate Affairs 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,752 Read SEC document |
| August 09, 2018 Filed Aug 13, 2018 20:45 UTC | Aptevo Therapeutics Inc. APVO · Entity 8337 | Exercise / conversionCommon Stock | 1,630 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001019056-18-000956 · ownership.xml · nonDerivative · entry 1 Mitchell Shawnte · CIK 0001749432 · SVP, GC and Corporate Affairs 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 76,135 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: Restricted stock units convert into shares of the Issuer's common stock on a one-for-one basis. 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.