Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Allakos Inc.ALLK · Entity 79644 | Director | May 25, 2023 | May 30, 2023 |
| Esperion Therapeutics, Inc.ESPR · Entity 30796 | Director | May 27, 2021 | May 28, 2021 |
| Krystal Biotech, Inc.KRYS · Entity 3500 | Director | September 14, 2026 | September 17, 2026 |
| SUTRO BIOPHARMA, INC.STRO · Entity 5797 | Director | June 17, 2019 | June 19, 2019 |
| VIVEVE MEDICAL, INC.VIVE · Entity 11899 | Director | December 31, 2018 | January 02, 2019 |
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.
Allakos Inc.
Report date May 25, 2023 · Filed May 30, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $4.81 · Expires 2033-05-25 | Direct | 86,762 |
Reported balance
After 2023-05-25 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2023-05-25 · Grant · Acquired 86,762 · Balance 86,762 F1: The option vests as to 100% of the shares on the earlier of (i) the one-year anniversary of the date of grant or (ii) the date of the Issuer's next Annual Meeting of stockholders that occurs following the grant, subject to the Reporting Person continuing as a service provider through each such date. |
Filing footnotes · ownership attribution and instrument terms
F1: The option vests as to 100% of the shares on the earlier of (i) the one-year anniversary of the date of grant or (ii) the date of the Issuer's next Annual Meeting of stockholders that occurs following the grant, subject to the Reporting Person continuing as a service provider through each such date.
Esperion Therapeutics, Inc.
Report date May 27, 2021 · Filed May 28, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 23,449 |
Reported balance
After 2021-05-27 transaction · row 1
1 source rowRow 1 · 2021-05-27 · Grant · Acquired 12,376 · Balance 23,449 F1: The shares vest in full on the earlier of (i) May 27, 2022 and (ii) the Issuer's next annual meeting of stockholders following May 27, 2021. |
| Common StockSEC Table I · non-derivative | IndirectBy Alta Bioequities, L.P. | 24,565 |
Reported balance
Holding disclosure · report date 2021-05-27 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 24,565 F2: On February 28, 2018, Alta Partners VIII, L.P. ("APVIII") distributed 624,564 shares of Common Stock on a pro rata basis, for no additional consideration, to its partners, which distribution was exempt from Section 16 of the Exchange Act pursuant to Rule 16a-9 and Rule 16a-13. Alta Bioequities, L.P. ("Alta Bioequities") received 24,565 of these shares. Alta Bioequities Management, LLC is the general partner of Alta Bioequities L.P. The Reporting Person is the Managing Director of Alta Bioequities Management, LLC and may be deemed to have voting and investment power over the shares owned by Alta Bioequities, L.P. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares vest in full on the earlier of (i) May 27, 2022 and (ii) the Issuer's next annual meeting of stockholders following May 27, 2021.
F2: On February 28, 2018, Alta Partners VIII, L.P. ("APVIII") distributed 624,564 shares of Common Stock on a pro rata basis, for no additional consideration, to its partners, which distribution was exempt from Section 16 of the Exchange Act pursuant to Rule 16a-9 and Rule 16a-13. Alta Bioequities, L.P. ("Alta Bioequities") received 24,565 of these shares. Alta Bioequities Management, LLC is the general partner of Alta Bioequities L.P. The Reporting Person is the Managing Director of Alta Bioequities Management, LLC and may be deemed to have voting and investment power over the shares owned by Alta Bioequities, L.P.
Krystal Biotech, Inc.
Report date September 14, 2026 · Filed September 17, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $340.03 · Expires 2036-09-13 | Direct | 1,187 |
Reported balance
After 2026-09-14 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-09-14 · Grant · Acquired 1,187 · Balance 1,187 F1: The stock options vest in full on September 14, 2027, subject to continued service on the Company's Board of Directors through such date and to earlier vesting in certain circumstances described in the Company's Non-Employee Director Compensation Policy as in effect on the date of grant. |
| Restricted Stock AwardSEC Table II · derivative / convertible security | Direct | 471 |
Reported balance
After 2026-09-14 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2026-09-14 · Grant · Acquired 471 · Balance 471 F2: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Company's common stock. F3: The RSUs vest in full on September 14, 2027, subject to continued service on the Company's Board of Directors through such date and to earlier vesting in certain circumstances described in the Company's Non-Employee Director Compensation Policy as in effect on the date of grant. |
Filing footnotes · ownership attribution and instrument terms
F1: The stock options vest in full on September 14, 2027, subject to continued service on the Company's Board of Directors through such date and to earlier vesting in certain circumstances described in the Company's Non-Employee Director Compensation Policy as in effect on the date of grant.
F2: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Company's common stock.
F3: The RSUs vest in full on September 14, 2027, subject to continued service on the Company's Board of Directors through such date and to earlier vesting in certain circumstances described in the Company's Non-Employee Director Compensation Policy as in effect on the date of grant.
SUTRO BIOPHARMA, INC.
Report date June 17, 2019 · Filed June 19, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (right to buy Common Stock)SEC Table II · derivative / convertible security · Conversion / exercise price $11.12 · Expires 2029-06-16 | Direct | 11,610 |
Reported balance
After 2019-06-17 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2019-06-17 · Grant · Acquired 11,610 · Balance 11,610 F1: The option vests as to 1/12th of the total shares monthly, beginning on July 7, 2019, with 100% of the total shares vested and exercisable on June 7, 2020, subject to the reporting person's provision of service to the issuer on each vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: The option vests as to 1/12th of the total shares monthly, beginning on July 7, 2019, with 100% of the total shares vested and exercisable on June 7, 2020, subject to the reporting person's provision of service to the issuer on each vesting date.
VIVEVE MEDICAL, INC.
Report date December 31, 2018 · Filed January 02, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 60,579 |
Reported balance
After 2018-12-31 transaction · row 1
1 source rowRow 1 · 2018-12-31 · Grant · Acquired 21,131 · Balance 60,579 F1: The reporting person is a participant in the Issuer's Amended and Restated 2013 Stock Option and Incentive Plan (the "Plan") and received a restricted stock award of 21,131 shares of common stock on December 31, 2018 (the "Grant Date"). The restricted stock award shall vest in full on the Grant Date. |
| Common StockSEC Table I · non-derivative | IndirectSee | 1,381,955 |
Reported balance
Holding disclosure · report date 2018-12-31 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 1,381,955 F2: Directly beneficially owned by Alta Bioequities, L.P. F3: Alta Bioequities Management, LLC is the general partner of Alta Bioequities, L.P. Daniel Janney is the Managing Director of Alta Bioequities Management, LLC and may be deemed to have voting and investment power over the shares beneficially owned by Alta Bioequities, L.P. Each of Alta Bioequities Management, LLC and Mr. Janney disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: The reporting person is a participant in the Issuer's Amended and Restated 2013 Stock Option and Incentive Plan (the "Plan") and received a restricted stock award of 21,131 shares of common stock on December 31, 2018 (the "Grant Date"). The restricted stock award shall vest in full on the Grant Date.
F2: Directly beneficially owned by Alta Bioequities, L.P.
F3: Alta Bioequities Management, LLC is the general partner of Alta Bioequities, L.P. Daniel Janney is the Managing Director of Alta Bioequities Management, LLC and may be deemed to have voting and investment power over the shares beneficially owned by Alta Bioequities, L.P. Each of Alta Bioequities Management, LLC and Mr. Janney disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Tyra Biosciences, Inc.
Report date September 17, 2021 · Filed September 17, 2021
Jointly reported with Alta Partners NextGen Fund II Management, LLC, Alta Partners NextGen Fund II, L.P., Hudson Peter A
Section 16 reporting ended · disclosed 2021-09-17. 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 | 4,080,296 |
Last balance in matching sequence
After 2021-09-17 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2021-09-17 · Conversion · Acquired 3,811,117 · Balance 3,924,046 F1: On September 17, 2021, each share of Series A Preferred Stock and each share of Series B Preferred Stock converted into Common Stock of the Issuer at a ratio of 1-for-2.5974 without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. The shares had no expiration date. As a result of the Issuer's initial public offering, the reporting persons are no longer 10% owners of the Issuer's common stock and are, therefore, no longer subject to Section 16 in connection with their transactions in the equity securities of the Issuer. F2: These securities are held directly by Alta Partners NextGen Fund II, L.P. (the "APNG II"). The shares directly held by APNG II are indirectly held by Alta Partners NextGen Fund II Management, LLC ("APNG II Management"), which is the general partner of APNG II. The individual managing directors of APNG II Management are Robert More, Peter Hudson and Daniel Janney. The managing directors of APNG II Management exercise shared voting and investment control with respect to the shares held by APNG II. APNG II Management, Mr. Hudson and Mr. Janney disclaim beneficial ownership of all shares held by APNG II, except to the extent of its or their respective pecuniary interests therein. Mr. More is a director of the Issuer and files separate Section 16 reports. Row 2 · 2021-09-17 · Purchase · Acquired 156,250 · Balance 4,080,296 F2: These securities are held directly by Alta Partners NextGen Fund II, L.P. (the "APNG II"). The shares directly held by APNG II are indirectly held by Alta Partners NextGen Fund II Management, LLC ("APNG II Management"), which is the general partner of APNG II. The individual managing directors of APNG II Management are Robert More, Peter Hudson and Daniel Janney. The managing directors of APNG II Management exercise shared voting and investment control with respect to the shares held by APNG II. APNG II Management, Mr. Hudson and Mr. Janney disclaim beneficial ownership of all shares held by APNG II, except to the extent of its or their respective pecuniary interests therein. Mr. More is a director of the Issuer and files separate Section 16 reports. |
| Series A Preferred StockSEC Table II · derivative / convertible security | IndirectSee footnote | 0 |
Reported balance
After 2021-09-17 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2021-09-17 · Conversion · Disposed 1,212,122 · Balance 0 F1: On September 17, 2021, each share of Series A Preferred Stock and each share of Series B Preferred Stock converted into Common Stock of the Issuer at a ratio of 1-for-2.5974 without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. The shares had no expiration date. As a result of the Issuer's initial public offering, the reporting persons are no longer 10% owners of the Issuer's common stock and are, therefore, no longer subject to Section 16 in connection with their transactions in the equity securities of the Issuer. F2: These securities are held directly by Alta Partners NextGen Fund II, L.P. (the "APNG II"). The shares directly held by APNG II are indirectly held by Alta Partners NextGen Fund II Management, LLC ("APNG II Management"), which is the general partner of APNG II. The individual managing directors of APNG II Management are Robert More, Peter Hudson and Daniel Janney. The managing directors of APNG II Management exercise shared voting and investment control with respect to the shares held by APNG II. APNG II Management, Mr. Hudson and Mr. Janney disclaim beneficial ownership of all shares held by APNG II, except to the extent of its or their respective pecuniary interests therein. Mr. More is a director of the Issuer and files separate Section 16 reports. |
| Series B Preferred StockSEC Table II · derivative / convertible security | IndirectSee footnote | 0 |
Reported balance
After 2021-09-17 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2021-09-17 · Conversion · Disposed 255,160 · Balance 0 F1: On September 17, 2021, each share of Series A Preferred Stock and each share of Series B Preferred Stock converted into Common Stock of the Issuer at a ratio of 1-for-2.5974 without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. The shares had no expiration date. As a result of the Issuer's initial public offering, the reporting persons are no longer 10% owners of the Issuer's common stock and are, therefore, no longer subject to Section 16 in connection with their transactions in the equity securities of the Issuer. F2: These securities are held directly by Alta Partners NextGen Fund II, L.P. (the "APNG II"). The shares directly held by APNG II are indirectly held by Alta Partners NextGen Fund II Management, LLC ("APNG II Management"), which is the general partner of APNG II. The individual managing directors of APNG II Management are Robert More, Peter Hudson and Daniel Janney. The managing directors of APNG II Management exercise shared voting and investment control with respect to the shares held by APNG II. APNG II Management, Mr. Hudson and Mr. Janney disclaim beneficial ownership of all shares held by APNG II, except to the extent of its or their respective pecuniary interests therein. Mr. More is a director of the Issuer and files separate Section 16 reports. |
Filing footnotes · ownership attribution and instrument terms
F1: On September 17, 2021, each share of Series A Preferred Stock and each share of Series B Preferred Stock converted into Common Stock of the Issuer at a ratio of 1-for-2.5974 without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. The shares had no expiration date. As a result of the Issuer's initial public offering, the reporting persons are no longer 10% owners of the Issuer's common stock and are, therefore, no longer subject to Section 16 in connection with their transactions in the equity securities of the Issuer.
F2: These securities are held directly by Alta Partners NextGen Fund II, L.P. (the "APNG II"). The shares directly held by APNG II are indirectly held by Alta Partners NextGen Fund II Management, LLC ("APNG II Management"), which is the general partner of APNG II. The individual managing directors of APNG II Management are Robert More, Peter Hudson and Daniel Janney. The managing directors of APNG II Management exercise shared voting and investment control with respect to the shares held by APNG II. APNG II Management, Mr. Hudson and Mr. Janney disclaim beneficial ownership of all shares held by APNG II, except to the extent of its or their respective pecuniary interests therein. Mr. More is a director of the Issuer and files separate Section 16 reports.
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 |
|---|---|---|---|---|---|---|
| July 23, 2018 Filed Jul 23, 2018 17:03 UTC | Allakos Inc. ALLK · Entity 79644 | PurchaseCommon Stock | 250,000 | $18.00 | $4,500,000.00 |
DisclosureSEC source: 0001209191-18-043629 · doc4.xml · nonDerivative · entry 2 JANNEY DANIEL · CIK 0001198325 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 11,519,200 F4 · ownership.nature: The shares directly held by Alta VIII are indirectly held by Alta Partners Management VIII, LLC ("Alta Management VIII"), which is the general partner of Alta VIII. The individual managing directors of Alta Management VIII are Farah Champsi, Guy Nohra and Daniel Janney. The managing directors of Alta Management VIII exercise sole voting and investment control with respect to the shares held by Alta VIII. The individual managing directors of Alta Management VIII disclaim beneficial ownership of all shares held by Alta VIII, except to the extent of their pecuniary interests therein. F5 · ownership.nature: The shares directly held by APNG I are indirectly held by Alta Partners NextGen Fund I Management, LLC ("APNG I Management"), which is the general partner of APNG I. The individual managing directors of APNG I Management are Robert More, Peter Hudson and Daniel Janney. The managing directors of APNG I Management exercise sole voting and investment control with respect to the shares held by APNG I. The individual managing directors of APNG I Management disclaim beneficial ownership of all shares held by APNG I, except to the extent of their pecuniary interests therein. F6 · ownership.nature: Consists of 3,557,377 shares held of record by APNG I and 7,961,823 shares held of record by Alta VIII. Read SEC document |
| July 23, 2018 Filed Jul 23, 2018 17:03 UTC | Allakos Inc. ALLK · Entity 79644 | ConversionCommon Stock | 11,269,200 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-043629 · doc4.xml · nonDerivative · entry 1 JANNEY DANIEL · CIK 0001198325 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 11,269,200 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 Series A Preferred Stock automatically converted into Common Stock on a one-for-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date. F2 · price: The Series B Preferred Stock automatically converted into Common Stock on a one-for-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date. F3 · ownership.nature: Consists of 3,446,265 shares held of record by Alta Partners NextGen Fund I, L.P. ("APNG I") and 7,822,935 shares held of record by Alta Partners VIII, L.P. ("Alta VIII"). F4 · ownership.nature: The shares directly held by Alta VIII are indirectly held by Alta Partners Management VIII, LLC ("Alta Management VIII"), which is the general partner of Alta VIII. The individual managing directors of Alta Management VIII are Farah Champsi, Guy Nohra and Daniel Janney. The managing directors of Alta Management VIII exercise sole voting and investment control with respect to the shares held by Alta VIII. The individual managing directors of Alta Management VIII disclaim beneficial ownership of all shares held by Alta VIII, except to the extent of their pecuniary interests therein. F5 · ownership.nature: The shares directly held by APNG I are indirectly held by Alta Partners NextGen Fund I Management, LLC ("APNG I Management"), which is the general partner of APNG I. The individual managing directors of APNG I Management are Robert More, Peter Hudson and Daniel Janney. The managing directors of APNG I Management exercise sole voting and investment control with respect to the shares held by APNG I. The individual managing directors of APNG I Management disclaim beneficial ownership of all shares held by APNG I, except to the extent of their pecuniary interests therein. Read SEC document |
| July 02, 2018 Filed Jul 3, 2018 18:23 UTC | VIVEVE MEDICAL, INC. VIVE · Entity 11899 | GrantCommon Stock | 8,437 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-18-012955 · rdgdoc.xml · nonDerivative · entry 1 JANNEY DANIEL · CIK 0001198325 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,501 F1 · shares: The reporting person is a participant in the Issuer's Amended and Restated 2013 Stock Option and Incentive Plan (the "Plan") and received a restricted stock award of 8,437 shares of common stock on July 2, 2018 (the "Grant Date"). The restricted stock award shall vest in full on the Grant Date. Read SEC document |
| May 31, 2018 Filed Jun 4, 2018 23:43 UTC | Krystal Biotech, Inc. KRYS · Entity 3500 | GrantStock Option (Right to Buy) · Derivative | 7,500 | $0.00 Strike: $10.29 | $0.00 |
DisclosureSEC source: 0001209191-18-035373 · doc4.xml · derivative · entry 1 JANNEY DANIEL · CIK 0001198325 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,500 Underlying: Common Stock · 7,500 shares Expires 2028-05-31 F1 · derivative.exercise_date: The options were awarded on May 31, 2018 and vest monthly over a one-year period. Read SEC document |
| May 23, 2018 Filed May 25, 2018 20:17 UTC | Esperion Therapeutics, Inc. ESPR · Entity 30796 | GrantStock Option (right to buy) · Derivative | 10,100 | $0.00 Strike: $38.32 | $0.00 |
DisclosureSEC source: 0001179110-18-007559 · edgar.xml · derivative · entry 1 JANNEY DANIEL · CIK 0001198325 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,100 Underlying: Common Stock · 10,100 shares Expires 2028-05-23 F1 · derivative.exercise_date: The options vest in full on the earlier of (i) May 23, 2019 and (ii) the Issuer's next annual meeting of stockholders following May 23, 2018. Read SEC document |
| May 22, 2018 Filed May 23, 2018 16:20 UTC | VIVEVE MEDICAL, INC. VIVE · Entity 11899 | GrantNon-qualified Stock Option (Right to Purchase) · Derivative | 17,500 | $0.00 Strike: $1.75 | $0.00 |
DisclosureSEC source: 0001437749-18-010593 · rdgdoc.xml · derivative · entry 1 JANNEY DANIEL · CIK 0001198325 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,500 Underlying: Common Stock · 17,500 shares Expires 2028-05-21 F1 · derivative.exercise_date: The reporting person is a participant in the Issuer's Amended and Restated 2013 Stock Option and Incentive Plan (the "Plan") and received 17,500 non-qualified stock options on May 22, 2018 (the "Grant Date"). The non-qualified stock options shall vest in full on the first anniversary of the Grant Date. Read SEC document |
| April 02, 2018 Filed Apr 4, 2018 17:43 UTC | VIVEVE MEDICAL, INC. VIVE · Entity 11899 | GrantCommon Stock | 6,450 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-18-006348 · rdgdoc.xml · nonDerivative · entry 1 JANNEY DANIEL · CIK 0001198325 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,064 F1 · shares: The reporting person is a participant in the Issuer's Amended and Restated 2013 Stock Option and Incentive Plan (the "Plan") and received a restricted stock award of 6,450 shares of common stock on April 2, 2018 (the "Grant Date"). The restricted stock award shall vest in full on the Grant Date. Read SEC document |
| February 28, 2018 Filed May 31, 2019 20:51 UTC | Esperion Therapeutics, Inc. ESPR · Entity 30796 | OtherCommon Stock | 24,565 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-19-006917 · edgar.xml · nonDerivative · entry 1 JANNEY DANIEL · CIK 0001198325 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Alta Bioequities, L.P. Disclosed balance after: 24,565 F1 · date: On February 28, 2018, Alta Partners VIII, L.P. ("APVIII") distributed 624,564 shares of Common Stock on a pro rata basis, for no additional consideration, to its partners, which distribution was exempt from Section 16 of the Exchange Act pursuant to Rule 16a-9 and Rule 16a-13. Alta Bioequities, L.P. ("Alta Bioequities") received 24,565 of these shares. Alta Bioequities Management, LLC is the general partner of Alta Bioequities L.P. The Reporting Person is the Managing Director of Alta Bioequities Management, LLC and may be deemed to have voting and investment power over the shares owned by Alta Bioequities, L.P. F1 · shares: On February 28, 2018, Alta Partners VIII, L.P. ("APVIII") distributed 624,564 shares of Common Stock on a pro rata basis, for no additional consideration, to its partners, which distribution was exempt from Section 16 of the Exchange Act pursuant to Rule 16a-9 and Rule 16a-13. Alta Bioequities, L.P. ("Alta Bioequities") received 24,565 of these shares. Alta Bioequities Management, LLC is the general partner of Alta Bioequities L.P. The Reporting Person is the Managing Director of Alta Bioequities Management, LLC and may be deemed to have voting and investment power over the shares owned by Alta Bioequities, L.P. F2 · balance_after: The 24,565 shares of Common Stock reported in this column as indirectly beneficially owned by the Reporting Person through Alta Bioequities were previously reported by the Reporting Person as indirectly beneficially owned through APVIII. These shares became indirectly beneficially owned by the Reporting Person through Alta Bioequities as a result of a pro rata distribution of shares described in footnote (1). F1 · ownership.nature: On February 28, 2018, Alta Partners VIII, L.P. ("APVIII") distributed 624,564 shares of Common Stock on a pro rata basis, for no additional consideration, to its partners, which distribution was exempt from Section 16 of the Exchange Act pursuant to Rule 16a-9 and Rule 16a-13. Alta Bioequities, L.P. ("Alta Bioequities") received 24,565 of these shares. Alta Bioequities Management, LLC is the general partner of Alta Bioequities L.P. The Reporting Person is the Managing Director of Alta Bioequities Management, LLC and may be deemed to have voting and investment power over the shares owned by Alta Bioequities, L.P. Read SEC document |
| February 28, 2018 Filed May 29, 2020 20:40 UTC | Esperion Therapeutics, Inc. ESPR · Entity 30796 | OtherCommon Stock | 24,565 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-20-006718 · edgar.xml · nonDerivative · entry 2 JANNEY DANIEL · CIK 0001198325 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Alta Bioequities, L.P. Disclosed balance after: 24,565 F2 · date: On February 28, 2018, Alta Partners VIII, L.P. ("APVIII") distributed 624,564 shares of Common Stock on a pro rata basis, for no additional consideration, to its partners, which distribution was exempt from Section 16 of the Exchange Act pursuant to Rule 16a-9 and Rule 16a-13. Alta Bioequities, L.P. ("Alta Bioequities") received 24,565 of these shares. Alta Bioequities Management, LLC is the general partner of Alta Bioequities L.P. The Reporting Person is the Managing Director of Alta Bioequities Management, LLC and may be deemed to have voting and investment power over the shares owned by Alta Bioequities, L.P. F2 · shares: On February 28, 2018, Alta Partners VIII, L.P. ("APVIII") distributed 624,564 shares of Common Stock on a pro rata basis, for no additional consideration, to its partners, which distribution was exempt from Section 16 of the Exchange Act pursuant to Rule 16a-9 and Rule 16a-13. Alta Bioequities, L.P. ("Alta Bioequities") received 24,565 of these shares. Alta Bioequities Management, LLC is the general partner of Alta Bioequities L.P. The Reporting Person is the Managing Director of Alta Bioequities Management, LLC and may be deemed to have voting and investment power over the shares owned by Alta Bioequities, L.P. F3 · balance_after: The 24,565 shares of Common Stock reported in this column as indirectly beneficially owned by the Reporting Person through Alta Bioequities were previously reported by the Reporting Person as indirectly beneficially owned through APVIII. These shares became indirectly beneficially owned by the Reporting Person through Alta Bioequities as a result of a pro rata distribution of shares described in footnote (2). F2 · ownership.nature: On February 28, 2018, Alta Partners VIII, L.P. ("APVIII") distributed 624,564 shares of Common Stock on a pro rata basis, for no additional consideration, to its partners, which distribution was exempt from Section 16 of the Exchange Act pursuant to Rule 16a-9 and Rule 16a-13. Alta Bioequities, L.P. ("Alta Bioequities") received 24,565 of these shares. Alta Bioequities Management, LLC is the general partner of Alta Bioequities L.P. The Reporting Person is the Managing Director of Alta Bioequities Management, LLC and may be deemed to have voting and investment power over the shares owned by Alta Bioequities, L.P. Read SEC document |
| January 18, 2018 Filed Jan 23, 2018 01:49 UTC | Esperion Therapeutics, Inc. ESPR · Entity 30796 | Exercise / conversionWarrant to Purchase Common Stock · Derivative | 71,237 | $0.00 Strike: $6.99 | $0.00 |
DisclosureSEC source: 0001209191-18-004819 · doc4.xml · derivative · entry 5 JANNEY DANIEL · CIK 0001198325 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 71,237 shares Expires 2018-02-12 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F6 · derivative.exercise_date: Immediately exercisable. F2 · ownership.nature: These securities are owned directly by APVIII. The general partner of APVIII is Alta Partners Management VIII, LLC ("APMVIII"). Mr. Janney is a managing director of APMVIII, and he disclaims beneficial ownership of the shares held by APVIII, except to the extent of his pecuniary interest therein. Read SEC document |
| January 18, 2018 Filed Jan 23, 2018 01:49 UTC | Esperion Therapeutics, Inc. ESPR · Entity 30796 | Tax withholdingCommon Stock | 6,640 | $74.96 | $497,734.40 |
DisclosureSEC source: 0001209191-18-004819 · doc4.xml · nonDerivative · entry 2 JANNEY DANIEL · CIK 0001198325 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 624,564 F2 · ownership.nature: These securities are owned directly by APVIII. The general partner of APVIII is Alta Partners Management VIII, LLC ("APMVIII"). Mr. Janney is a managing director of APMVIII, and he disclaims beneficial ownership of the shares held by APVIII, except to the extent of his pecuniary interest therein. Read SEC document |
| January 18, 2018 Filed Jan 23, 2018 01:49 UTC | Esperion Therapeutics, Inc. ESPR · Entity 30796 | Exercise / conversionCommon Stock | 71,237 | $6.99 | $497,946.63 |
DisclosureSEC source: 0001209191-18-004819 · doc4.xml · nonDerivative · entry 1 JANNEY DANIEL · CIK 0001198325 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 631,204 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 · balance_after: Gives effect to the distribution of 800,000 shares of Common Stock distributed by Alta Partners VIII, L.P. ("APVIII") on a pro rata basis, for no additional consideration, to its partners on December 20, 2017, which distribution was not required to be reported under Section 16 pursuant to SEC rules. Alta Bioequities, L.P. ("Alta Bioequities") received 31,466 of these shares. Alta Bioequities Management, LLC is the general partner of Alta Bioequities, L.P. The Reporting Person is the Managing Director of Alta Bioequities Management, LLC and may be deemed to have voting and investment power over the shares owned by Alta Bioequities, L.P. F2 · ownership.nature: These securities are owned directly by APVIII. The general partner of APVIII is Alta Partners Management VIII, LLC ("APMVIII"). Mr. Janney is a managing director of APMVIII, and he disclaims beneficial ownership of the shares held by APVIII, except to the extent of his pecuniary interest therein. Read SEC document |
| January 02, 2018 Filed Jan 4, 2018 21:53 UTC | VIVEVE MEDICAL, INC. VIVE · Entity 11899 | GrantCommon Stock | 4,276 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-18-000288 · rdgdoc.xml · nonDerivative · entry 1 JANNEY DANIEL · CIK 0001198325 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,614 F1 · shares: The reporting person is a participant in the Issuer's Amended and Restated 2013 Stock Option and Incentive Plan (the "Plan") and received a restricted stock award of 4,276 shares of common stock on January 2, 2018 (the "Grant Date"). The restricted stock award shall vest in full on the Grant Date. Read SEC document |
| December 29, 2017 Filed Jan 23, 2018 01:49 UTC | Esperion Therapeutics, Inc. ESPR · Entity 30796 | GiftCommon Stock | 7,020 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-004819 · doc4.xml · nonDerivative · entry 4 JANNEY DANIEL · CIK 0001198325 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 F5 · ownership.nature: These shares were held by the Daniel Janney and Noelle Montgomery Family Trust DTD May 26, 1998 (the "Trust"). The Reporting Person is a Trustee of the Trust. The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. Read SEC document |
| December 29, 2017 Filed Jan 23, 2018 01:49 UTC | Esperion Therapeutics, Inc. ESPR · Entity 30796 | GiftCommon Stock | 31,466 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-004819 · doc4.xml · nonDerivative · entry 3 JANNEY DANIEL · CIK 0001198325 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 F3 · kind: Gift of 31,466 shares of Common Stock held by Alta Bioequities as described in footnote (1). F3 · timeliness: Gift of 31,466 shares of Common Stock held by Alta Bioequities as described in footnote (1). F3 · shares: Gift of 31,466 shares of Common Stock held by Alta Bioequities as described in footnote (1). F3 · price: Gift of 31,466 shares of Common Stock held by Alta Bioequities as described in footnote (1). F3 · balance_after: Gift of 31,466 shares of Common Stock held by Alta Bioequities as described in footnote (1). F4 · ownership.nature: These shares were held by Alta Bioequities. Alta Bioequities Management, LLC is the general partner of Alta Bioequities. The Reporting Person is the Managing Director of Alta Bioequities Management, LLC and may be deemed to have voting and investment power over the shares owned by Alta Bioequities. Read SEC document |
| October 02, 2017 Filed Oct 4, 2017 20:34 UTC | VIVEVE MEDICAL, INC. VIVE · Entity 11899 | GrantCommon Stock | 2,872 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-17-016824 · rdgdoc.xml · nonDerivative · entry 1 JANNEY DANIEL · CIK 0001198325 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,338 F1 · shares: The reporting person is a participant in the Issuer's Amended and Restated 2013 Stock Option and Incentive Plan (the "Plan") and received a restricted stock award of 2,872 shares of common stock on October 2, 2017 (the "Grant Date"). The restricted stock award shall vest in full on the Grant Date. Read SEC document |
| September 22, 2017 Filed Sep 25, 2017 21:28 UTC | Krystal Biotech, Inc. KRYS · Entity 3500 | ConversionSeries A Convertible Preferred Stock · Derivative | 124,456 | $0.00 | $0.00 |
DisclosureSEC source: 0000925421-17-000363 · edgar.xml · derivative · entry 3 JANNEY DANIEL · CIK 0001198325 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 0 Underlying: Common Stock · 124,456 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 Series A convertible preferred stock converted on a one-to-one basis into 124,456 shares of common stock upon the closing of Krystal Biotech, Inc.'s initial public offering. F1 · derivative.exercise_date: The Series A convertible preferred stock converted on a one-to-one basis into 124,456 shares of common stock upon the closing of Krystal Biotech, Inc.'s initial public offering. F1 · derivative.expiration_date: The Series A convertible preferred stock converted on a one-to-one basis into 124,456 shares of common stock upon the closing of Krystal Biotech, Inc.'s initial public offering. F2 · ownership.nature: Directly beneficially owned by Alta Bioequities, L.P. F3 · ownership.nature: Alta Bioequities Management, LLC is the general partner of Alta Bioequities, L.P. and may be deemed to have sole voting and investment power over the shares beneficially owned by Alta Bioequities, L.P. The reporting person is the Managing Director of Alta Bioequities Management, LLC. The reporting person disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. Read SEC document |
| September 22, 2017 Filed Sep 25, 2017 21:28 UTC | Krystal Biotech, Inc. KRYS · Entity 3500 | ConversionCommon Stock | 124,456 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000925421-17-000363 · edgar.xml · nonDerivative · entry 2 JANNEY DANIEL · CIK 0001198325 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 455,046 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 Series A convertible preferred stock converted on a one-to-one basis into 124,456 shares of common stock upon the closing of Krystal Biotech, Inc.'s initial public offering. F2 · ownership.nature: Directly beneficially owned by Alta Bioequities, L.P. F3 · ownership.nature: Alta Bioequities Management, LLC is the general partner of Alta Bioequities, L.P. and may be deemed to have sole voting and investment power over the shares beneficially owned by Alta Bioequities, L.P. The reporting person is the Managing Director of Alta Bioequities Management, LLC. The reporting person disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. Read SEC document |
| September 22, 2017 Filed Sep 25, 2017 21:28 UTC | Krystal Biotech, Inc. KRYS · Entity 3500 | PurchaseCommon Stock | 200,000 | $10.00 | $2,000,000.00 |
DisclosureSEC source: 0000925421-17-000363 · edgar.xml · nonDerivative · entry 1 JANNEY DANIEL · CIK 0001198325 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 330,590 F2 · ownership.nature: Directly beneficially owned by Alta Bioequities, L.P. F3 · ownership.nature: Alta Bioequities Management, LLC is the general partner of Alta Bioequities, L.P. and may be deemed to have sole voting and investment power over the shares beneficially owned by Alta Bioequities, L.P. The reporting person is the Managing Director of Alta Bioequities Management, LLC. The reporting person disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. Read SEC document |
| September 06, 2017 Filed Sep 8, 2017 20:36 UTC | VIVEVE MEDICAL, INC. VIVE · Entity 11899 | GrantNon-qualified Stock Option (Right to Purchase) · Derivative | 17,500 | $0.00 Strike: $5.58 | $0.00 |
DisclosureSEC source: 0001437749-17-015820 · rdgdoc.xml · derivative · entry 3 JANNEY DANIEL · CIK 0001198325 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,500 Underlying: Common Stock · 17,500 shares Expires 2027-09-05 F4 · derivative.exercise_date: The reporting person is a participant in the Issuer's Plan and received 17,500 non-qualified stock options on September 6, 2017 (the "Grant Date"). The non-qualified stock options shall vest in full on the first anniversary of the Grant Date. Read SEC document |
| September 06, 2017 Filed Sep 8, 2017 20:36 UTC | VIVEVE MEDICAL, INC. VIVE · Entity 11899 | GrantCommon Stock | 3,025 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-17-015820 · rdgdoc.xml · nonDerivative · entry 1 JANNEY DANIEL · CIK 0001198325 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,466 F1 · shares: The reporting person is a participant in the Issuer's Amended and Restated 2013 Stock Option and Incentive Plan (the "Plan") and received a restricted stock award of 3,025 shares of common stock on September 6, 2017 (the "Grant Date"). The restricted stock award shall vest in full on the Grant Date. Read SEC document |
| May 17, 2017 Filed May 19, 2017 20:20 UTC | VIVEVE MEDICAL, INC. VIVE · Entity 11899 | GrantCommon Stock | 2,387 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-17-009700 · rdgdoc.xml · nonDerivative · entry 1 JANNEY DANIEL · CIK 0001198325 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,441 F1 · shares: The reporting person is a participant in the Issuer's Amended and Restated 2013 Stock Option and Incentive Plan (the "Plan") and received a restricted stock award of 2,387 shares of common stock on May 17, 2017 (the "Grant Date"). The restricted stock award vested in the full on the Grant Date. Read SEC document |
| May 17, 2017 Filed May 19, 2017 20:20 UTC | VIVEVE MEDICAL, INC. VIVE · Entity 11899 | GrantCommon Stock | 2,387 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-17-009699 · rdgdoc.xml · nonDerivative · entry 1 JANNEY DANIEL · CIK 0001198325 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,441 F1 · shares: The reporting person is a participant in the Issuer's Amended and Restated 2013 Stock Option and Incentive Plan (the "Plan") and received a restricted stock award of 2,387 shares of common stock on May 17, 2017 (the "Grant Date"). The restricted stock award vested in the full on the Grant Date. Read SEC document |
| April 17, 2017 Filed Apr 19, 2017 10:49 UTC | Esperion Therapeutics, Inc. ESPR · Entity 30796 | GrantStock Option (right to buy) · Derivative | 14,000 | $0.00 Strike: $38.96 | $0.00 |
DisclosureSEC source: 0001179110-17-006064 · edgar.xml · derivative · entry 1 JANNEY DANIEL · CIK 0001198325 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,000 Underlying: Common Stock · 14,000 shares Expires 2027-04-17 F1 · derivative.exercise_date: The options vest in full on the earlier of (i) April 17, 2018 and (ii) the Issuer's next annual meeting of stockholders following April 17, 2017. Read SEC document |
| March 21, 2017 Filed Mar 23, 2017 20:45 UTC | Esperion Therapeutics, Inc. ESPR · Entity 30796 | SaleCommon Stock | 700 | $48.19 | $33,733.00 |
DisclosureSEC source: 0001209191-17-022582 · doc4.xml · nonDerivative · entry 5 JANNEY DANIEL · CIK 0001198325 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,359,967 F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $48.17 - $48.21, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (6) to this Form 4. F2 · ownership.nature: The reportable securities are owned directly by Alta Partners VIII, L.P. ("APVIII"). The general partner of APVIII is Alta Partners Management VIII, LLC ("APMVIII"). Mr. Janney is a managing director of APMVIII, and he disclaims beneficial ownership of the shares held by APVIII, except to the extent of his pecuniary interest therein. Read SEC document |
| March 21, 2017 Filed Mar 23, 2017 20:45 UTC | Esperion Therapeutics, Inc. ESPR · Entity 30796 | SaleCommon Stock | 56,855 | $47.54 | $2,702,886.70 |
DisclosureSEC source: 0001209191-17-022582 · doc4.xml · nonDerivative · entry 4 JANNEY DANIEL · CIK 0001198325 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,360,667 F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $47.125 - $48.11, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (5) to this Form 4. F2 · ownership.nature: The reportable securities are owned directly by Alta Partners VIII, L.P. ("APVIII"). The general partner of APVIII is Alta Partners Management VIII, LLC ("APMVIII"). Mr. Janney is a managing director of APMVIII, and he disclaims beneficial ownership of the shares held by APVIII, except to the extent of his pecuniary interest therein. Read SEC document |
| March 21, 2017 Filed Mar 23, 2017 20:45 UTC | Esperion Therapeutics, Inc. ESPR · Entity 30796 | SaleCommon Stock | 59,798 | $46.60 | $2,786,586.80 |
DisclosureSEC source: 0001209191-17-022582 · doc4.xml · nonDerivative · entry 3 JANNEY DANIEL · CIK 0001198325 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,417,522 F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $46.125 - $47.12, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (4) to this Form 4. F2 · ownership.nature: The reportable securities are owned directly by Alta Partners VIII, L.P. ("APVIII"). The general partner of APVIII is Alta Partners Management VIII, LLC ("APMVIII"). Mr. Janney is a managing director of APMVIII, and he disclaims beneficial ownership of the shares held by APVIII, except to the extent of his pecuniary interest therein. Read SEC document |
| March 21, 2017 Filed Mar 23, 2017 20:45 UTC | Esperion Therapeutics, Inc. ESPR · Entity 30796 | SaleCommon Stock | 111,307 | $45.43 | $5,056,677.01 |
DisclosureSEC source: 0001209191-17-022582 · doc4.xml · nonDerivative · entry 2 JANNEY DANIEL · CIK 0001198325 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,477,320 F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $45.125 - $46.12, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (3) to this Form 4. F2 · ownership.nature: The reportable securities are owned directly by Alta Partners VIII, L.P. ("APVIII"). The general partner of APVIII is Alta Partners Management VIII, LLC ("APMVIII"). Mr. Janney is a managing director of APMVIII, and he disclaims beneficial ownership of the shares held by APVIII, except to the extent of his pecuniary interest therein. Read SEC document |
| March 21, 2017 Filed Mar 23, 2017 20:45 UTC | Esperion Therapeutics, Inc. ESPR · Entity 30796 | SaleCommon Stock | 121,340 | $44.91 | $5,449,379.40 |
DisclosureSEC source: 0001209191-17-022582 · doc4.xml · nonDerivative · entry 1 JANNEY DANIEL · CIK 0001198325 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,588,627 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $44.12 - $45.12, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (1) to this Form 4. F2 · ownership.nature: The reportable securities are owned directly by Alta Partners VIII, L.P. ("APVIII"). The general partner of APVIII is Alta Partners Management VIII, LLC ("APMVIII"). Mr. Janney is a managing director of APMVIII, and he disclaims beneficial ownership of the shares held by APVIII, except to the extent of his pecuniary interest therein. Read SEC document |
| March 17, 2017 Filed Mar 21, 2017 18:48 UTC | VIVEVE MEDICAL, INC. VIVE · Entity 11899 | PurchaseCommon Stock | 500,000 | $4.00 | $2,000,000.00 |
DisclosureSEC source: 0001437749-17-005029 · rdgdoc.xml · nonDerivative · entry 1 JANNEY DANIEL · CIK 0001198325 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 1,381,955 F1 · ownership.nature: Directly beneficially owned by Alta Bioequities, L.P. F2 · ownership.nature: Alta Bioequities Management, LLC is the general partner of Alta Bioequities, L.P. and may be deemed to have sole voting and investment power over the shares beneficially owned by Alta Bioequities, L.P. Daniel Janney is the Managing Director of Alta Bioequities Management, LLC. Mr. Janney disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. Read SEC document |
| December 23, 2016 Filed Dec 28, 2016 21:00 UTC | VIVEVE MEDICAL, INC. VIVE · Entity 11899 | GrantNon-qualified Stock Option (Right to Purchase) · Derivative | 11,035 | $0.00 Strike: $5.22 | $0.00 |
DisclosureSEC source: 0001437749-16-043880 · rdgdoc.xml · derivative · entry 1 JANNEY DANIEL · CIK 0001198325 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,035 Underlying: Common Stock · 11,035 shares Expires 2026-12-22 F1 · derivative.exercise_date: The reporting person is a participant in the Issuer's Amended and Restated 2013 Stock Option and Incentive Plan and received 11,035 non-qualified stock options on December 23, 2016 (the "Grant Date"). The non-qualified stock options will vest in equal monthly increments over 48 months following the Grant Date. Read SEC document |
| November 09, 2016 Filed Nov 14, 2016 16:03 UTC | VIVEVE MEDICAL, INC. VIVE · Entity 11899 | GrantCommon Stock | 1,775 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-16-042059 · rdgdoc.xml · nonDerivative · entry 1 JANNEY DANIEL · CIK 0001198325 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,054 F1 · shares: The reporting person is a participant in the Issuer's Amended and Restated 2013 Stock Option and Incentive Plan (the "Plan") and received a restricted stock award of 1,775 shares of common stock on November 9, 2016 (the "Grant Date"). The restricted stock award vested in the full on the Grant Date. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.