Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Allogene Therapeutics, Inc.ALLO · Entity 5243 | Chief Technical Officer | March 22, 2023 | March 25, 2023 |
| Artiva Biotherapeutics, Inc.ARTV · Entity 5404 | Director | September 10, 2026 | September 14, 2026 |
| CODEXIS, INC.CDXS · Entity 6428 | Director · President and CEO | October 12, 2026 | October 14, 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.
Allogene Therapeutics, Inc.
Report date March 22, 2023 · Filed March 25, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 672,731 |
Reported balance
After 2023-03-22 transaction · row 1
1 source rowRow 1 · 2023-03-22 · Grant · Acquired 558,094 · Balance 672,731 F1: Includes 429,303 of performance RSUs which shall vest as follows: (1) 33% shall vest if the 30-day weighted average stock price is equal to or greater than $18 and (2) 67% shall vest upon the first regulatory approval of a product candidate. Notwithstanding the foregoing (1) any portion that vests upon the stock price threshold shall no longer vest and be terminated after three years from the grant date if such threshold has not been met in such three-year period, and (2) any portion that vests upon product candidate approval shall no longer vest and be terminated after five years from the grant date if such approval has not occurred in such five-year period. |
| Stock Option (Right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.04 · Expires 2033-03-22 | Direct | 432,738 |
Reported balance
After 2023-03-22 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2023-03-22 · Grant · Acquired 432,738 · Balance 432,738 F2: 25% of the shares subject to the stock option shall vest on March 13, 2024, and the remaining shares shall vest in 36 equal monthly installments thereafter. |
Filing footnotes · ownership attribution and instrument terms
F1: Includes 429,303 of performance RSUs which shall vest as follows: (1) 33% shall vest if the 30-day weighted average stock price is equal to or greater than $18 and (2) 67% shall vest upon the first regulatory approval of a product candidate. Notwithstanding the foregoing (1) any portion that vests upon the stock price threshold shall no longer vest and be terminated after three years from the grant date if such threshold has not been met in such three-year period, and (2) any portion that vests upon product candidate approval shall no longer vest and be terminated after five years from the grant date if such approval has not occurred in such five-year period.
F2: 25% of the shares subject to the stock option shall vest on March 13, 2024, and the remaining shares shall vest in 36 equal monthly installments thereafter.
Artiva Biotherapeutics, Inc.
Report date September 10, 2026 · Filed September 14, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Director Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $10.42 · Expires 2036-09-09 | Direct | 16,250 |
Reported balance
After 2026-09-10 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-09-10 · Grant · Acquired 16,250 · Balance 16,250 F1: The shares subject to the option will vest in full on the earlier of September 10, 2027, or the date of the Issuer's 2027 annual stockholder meeting. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares subject to the option will vest in full on the earlier of September 10, 2027, or the date of the Issuer's 2027 annual stockholder meeting.
CODEXIS, INC.
Report date October 12, 2026 · Filed October 14, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 244,171 |
Reported balance
After 2026-10-12 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2026-10-12 · Sale · Disposed 6,335 · Balance 244,171 F1: The shares were sold solely to satisfy tax or other government withholding obligations in connection with the vesting of shares subject to Restricted Stock Units ("RSUs") of the Issuer. F2: Includes 119,582 restricted stock units. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares were sold solely to satisfy tax or other government withholding obligations in connection with the vesting of shares subject to Restricted Stock Units ("RSUs") of the Issuer.
F2: Includes 119,582 restricted stock units.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| September 17, 2019 Filed Sep 18, 2019 23:05 UTC | Allogene Therapeutics, Inc. ALLO · Entity 5243 | Exercise / conversionStock Option (Right to Buy) · Derivative | 22,503 | $0.00 Strike: $2.27 | $0.00 |
DisclosureSEC source: 0001214659-19-005941 · marketforms-45786.xml · derivative · entry 8 MOORE ALISON · CIK 0001754937 · Chief Technical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 739,269 Underlying: Common Stock · 22,503 shares Expires 2028-06-25 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: One-fourth of the 892,500 shares subject to the stock option vested on June 1, 2019, and the remaining shares vest in 36 successive equal monthly installments thereafter. Read SEC document |
| September 17, 2019 Filed Sep 18, 2019 23:05 UTC | Allogene Therapeutics, Inc. ALLO · Entity 5243 | SaleCommon Stock | 22,503 | $32.11 | $722,560.08 |
DisclosureSEC source: 0001214659-19-005941 · marketforms-45786.xml · nonDerivative · entry 4 MOORE ALISON · CIK 0001754937 · Chief Technical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,067 F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 15, 2019. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $32.00 to $32.42, 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 above. Read SEC document |
| September 17, 2019 Filed Sep 18, 2019 23:05 UTC | Allogene Therapeutics, Inc. ALLO · Entity 5243 | Exercise / conversionCommon Stock | 22,503 | $2.27 | $51,081.81 |
DisclosureSEC source: 0001214659-19-005941 · marketforms-45786.xml · nonDerivative · entry 3 MOORE ALISON · CIK 0001754937 · Chief Technical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 88,570 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| September 16, 2019 Filed Sep 18, 2019 23:05 UTC | Allogene Therapeutics, Inc. ALLO · Entity 5243 | Exercise / conversionStock Option (Right to Buy) · Derivative | 5,257 | $0.00 Strike: $2.27 | $0.00 |
DisclosureSEC source: 0001214659-19-005941 · marketforms-45786.xml · derivative · entry 7 MOORE ALISON · CIK 0001754937 · Chief Technical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 761,772 Underlying: Common Stock · 5,257 shares Expires 2028-06-25 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: One-fourth of the 892,500 shares subject to the stock option vested on June 1, 2019, and the remaining shares vest in 36 successive equal monthly installments thereafter. Read SEC document |
| September 16, 2019 Filed Sep 18, 2019 23:05 UTC | Allogene Therapeutics, Inc. ALLO · Entity 5243 | SaleCommon Stock | 5,257 | $32.00 | $168,233.99 |
DisclosureSEC source: 0001214659-19-005941 · marketforms-45786.xml · nonDerivative · entry 2 MOORE ALISON · CIK 0001754937 · Chief Technical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,067 F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 15, 2019. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $32.00 to $32.03, 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 above. Read SEC document |
| September 16, 2019 Filed Sep 18, 2019 23:05 UTC | Allogene Therapeutics, Inc. ALLO · Entity 5243 | Exercise / conversionCommon Stock | 5,257 | $2.27 | $11,933.39 |
DisclosureSEC source: 0001214659-19-005941 · marketforms-45786.xml · nonDerivative · entry 1 MOORE ALISON · CIK 0001754937 · Chief Technical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 71,324 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: Includes 694 shares of the Issuer's common stock acquired by the reporting person on September 13, 2019 pursuant to an employee stock purchase program. Read SEC document |
| July 30, 2019 Filed Jul 30, 2019 22:23 UTC | Allogene Therapeutics, Inc. ALLO · Entity 5243 | Exercise / conversionStock Option (Right to Buy) · Derivative | 11,819 | $0.00 Strike: $2.27 | $0.00 |
DisclosureSEC source: 0001209191-19-043755 · doc4.xml · derivative · entry 9 MOORE ALISON · CIK 0001754937 · Chief Technical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 767,029 Underlying: Common Stock · 11,819 shares Expires 2028-06-25 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. F5 · derivative.exercise_date: One-fourth of the 892,500 shares subject to the stock option vested on June 1, 2019, and the remaining shares vest in 36 successive equal monthly installments thereafter. Read SEC document |
| July 30, 2019 Filed Jul 30, 2019 22:23 UTC | Allogene Therapeutics, Inc. ALLO · Entity 5243 | SaleCommon Stock | 11,819 | $29.85 | $352,738.06 |
DisclosureSEC source: 0001209191-19-043755 · doc4.xml · nonDerivative · entry 6 MOORE ALISON · CIK 0001754937 · Chief Technical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,373 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 15, 2019. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $29.36 to $30.16, 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 above. Read SEC document |
| July 30, 2019 Filed Jul 30, 2019 22:23 UTC | Allogene Therapeutics, Inc. ALLO · Entity 5243 | Exercise / conversionCommon Stock | 11,819 | $2.27 | $26,829.13 |
DisclosureSEC source: 0001209191-19-043755 · doc4.xml · nonDerivative · entry 5 MOORE ALISON · CIK 0001754937 · Chief Technical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 77,192 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 |
| July 29, 2019 Filed Jul 30, 2019 22:23 UTC | Allogene Therapeutics, Inc. ALLO · Entity 5243 | Exercise / conversionStock Option (Right to Buy) · Derivative | 23,815 | $0.00 Strike: $2.27 | $0.00 |
DisclosureSEC source: 0001209191-19-043755 · doc4.xml · derivative · entry 8 MOORE ALISON · CIK 0001754937 · Chief Technical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 778,848 Underlying: Common Stock · 23,815 shares Expires 2028-06-25 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. F5 · derivative.exercise_date: One-fourth of the 892,500 shares subject to the stock option vested on June 1, 2019, and the remaining shares vest in 36 successive equal monthly installments thereafter. Read SEC document |
| July 29, 2019 Filed Jul 30, 2019 22:23 UTC | Allogene Therapeutics, Inc. ALLO · Entity 5243 | SaleCommon Stock | 23,815 | $29.39 | $699,870.46 |
DisclosureSEC source: 0001209191-19-043755 · doc4.xml · nonDerivative · entry 4 MOORE ALISON · CIK 0001754937 · Chief Technical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,373 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 15, 2019. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $29.03 to $29.64, 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 above. Read SEC document |
| July 29, 2019 Filed Jul 30, 2019 22:23 UTC | Allogene Therapeutics, Inc. ALLO · Entity 5243 | Exercise / conversionCommon Stock | 23,815 | $2.27 | $54,060.05 |
DisclosureSEC source: 0001209191-19-043755 · doc4.xml · nonDerivative · entry 3 MOORE ALISON · CIK 0001754937 · Chief Technical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 89,188 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 |
| July 26, 2019 Filed Jul 30, 2019 22:23 UTC | Allogene Therapeutics, Inc. ALLO · Entity 5243 | Exercise / conversionStock Option (Right to Buy) · Derivative | 13,193 | $0.00 Strike: $2.27 | $0.00 |
DisclosureSEC source: 0001209191-19-043755 · doc4.xml · derivative · entry 7 MOORE ALISON · CIK 0001754937 · Chief Technical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 802,663 Underlying: Common Stock · 13,193 shares Expires 2028-06-25 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. F5 · derivative.exercise_date: One-fourth of the 892,500 shares subject to the stock option vested on June 1, 2019, and the remaining shares vest in 36 successive equal monthly installments thereafter. Read SEC document |
| July 26, 2019 Filed Jul 30, 2019 22:23 UTC | Allogene Therapeutics, Inc. ALLO · Entity 5243 | SaleCommon Stock | 13,193 | $29.18 | $384,994.17 |
DisclosureSEC source: 0001209191-19-043755 · doc4.xml · nonDerivative · entry 2 MOORE ALISON · CIK 0001754937 · Chief Technical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,373 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 15, 2019. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $29.00 to $29.39, 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 above. Read SEC document |
| July 26, 2019 Filed Jul 30, 2019 22:23 UTC | Allogene Therapeutics, Inc. ALLO · Entity 5243 | Exercise / conversionCommon Stock | 13,193 | $2.27 | $29,948.11 |
DisclosureSEC source: 0001209191-19-043755 · doc4.xml · nonDerivative · entry 1 MOORE ALISON · CIK 0001754937 · Chief Technical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 78,566 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 |
| June 28, 2019 Filed Jul 1, 2019 20:32 UTC | Allogene Therapeutics, Inc. ALLO · Entity 5243 | Exercise / conversionOption to Purchase Common Stock (Right to Buy) · Derivative | 27,816 | $0.00 Strike: $2.27 | $0.00 |
DisclosureSEC source: 0001209191-19-039728 · doc4.xml · derivative · entry 2 MOORE ALISON · CIK 0001754937 · Chief Technical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 815,856 Underlying: Common Stock · 27,816 shares Expires 2028-06-25 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_date: One-fourth of the 892,500 shares subject to the stock option vested on June 1, 2019, and the remaining shares vest in 36 successive equal monthly installments thereafter. Read SEC document |
| June 28, 2019 Filed Jul 1, 2019 20:32 UTC | Allogene Therapeutics, Inc. ALLO · Entity 5243 | Exercise / conversionCommon Stock | 27,816 | $2.27 | $63,142.32 |
DisclosureSEC source: 0001209191-19-039728 · doc4.xml · nonDerivative · entry 1 MOORE ALISON · CIK 0001754937 · Chief Technical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,373 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 |
| June 03, 2019 Filed Jun 5, 2019 21:49 UTC | Allogene Therapeutics, Inc. ALLO · Entity 5243 | Exercise / conversionOption to Purchase Common Stock (Right to Buy) · Derivative | 48,828 | $0.00 Strike: $2.27 | $0.00 |
DisclosureSEC source: 0001209191-19-034861 · doc4.xml · derivative · entry 4 MOORE ALISON · CIK 0001754937 · Chief Technical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 843,672 Underlying: Common Stock · 48,828 shares Expires 2028-06-25 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. F5 · derivative.exercise_date: One-fourth of the 892,500 shares subject to the stock option vested on June 1, 2019, and the remaining shares vest in 36 successive equal monthly installments thereafter. Read SEC document |
| June 03, 2019 Filed Jun 5, 2019 21:49 UTC | Allogene Therapeutics, Inc. ALLO · Entity 5243 | SaleCommon Stock | 1,623 | $27.31 | $44,319.10 |
DisclosureSEC source: 0001209191-19-034861 · doc4.xml · nonDerivative · entry 3 MOORE ALISON · CIK 0001754937 · Chief Technical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,557 F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 15, 2019. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $27.30 to $27.31, 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 above. Read SEC document |
| June 03, 2019 Filed Jun 5, 2019 21:49 UTC | Allogene Therapeutics, Inc. ALLO · Entity 5243 | SaleCommon Stock | 47,205 | $26.74 | $1,262,455.24 |
DisclosureSEC source: 0001209191-19-034861 · doc4.xml · nonDerivative · entry 2 MOORE ALISON · CIK 0001754937 · Chief Technical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,180 F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 15, 2019. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $26.30 to $27.29, 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 above. Read SEC document |
| June 03, 2019 Filed Jun 5, 2019 21:49 UTC | Allogene Therapeutics, Inc. ALLO · Entity 5243 | Exercise / conversionCommon Stock | 48,828 | $2.27 | $110,839.56 |
DisclosureSEC source: 0001209191-19-034861 · doc4.xml · nonDerivative · entry 1 MOORE ALISON · CIK 0001754937 · Chief Technical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 86,385 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: Includes 507 shares of the Issuer's common stock acquired by the reporting person on March 15, 2019 pursuant to an employee stock purchase program. Read SEC document |
| March 13, 2019 Filed Mar 15, 2019 21:22 UTC | Allogene Therapeutics, Inc. ALLO · Entity 5243 | GrantEmployee Stock Option (Right to Buy) · Derivative | 83,500 | $0.00 Strike: $26.89 | $0.00 |
DisclosureSEC source: 0001209191-19-019767 · doc4.xml · derivative · entry 2 MOORE ALISON · CIK 0001754937 · Chief Technical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 83,500 Underlying: Common Stock · 83,500 shares Expires 2029-03-12 F1 · derivative.exercise_date: 25% of the shares subject to the stock option shall vest on the first anniversary of the grant date, and the remaining shares shall vest in 36 equal monthly installments thereafter. Read SEC document |
| March 13, 2019 Filed Mar 15, 2019 21:22 UTC | Allogene Therapeutics, Inc. ALLO · Entity 5243 | GrantCommon Stock | 37,050 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-019767 · doc4.xml · nonDerivative · entry 1 MOORE ALISON · CIK 0001754937 · Chief Technical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,050 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.