Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| AEON Biopharma, Inc.AEON · Entity 7859 | 10% owner | July 21, 2023 | July 26, 2023 |
| Evolus, Inc.EOLS · Entity 5341 | Director | February 17, 2026 | February 20, 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.
AEON Biopharma, Inc.
Report date July 21, 2023 · Filed July 26, 2023
Jointly reported with Priveterra Sponsor, LLC, Grodnensky Oleg, PALMISANO ROBERT J
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | Direct | 6,900,000 |
Reported balance
After 2023-07-21 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2023-07-21 · Conversion · Acquired 6,900,000 · Balance 6,900,000 F1: The Priveterra Acquisition Corp. ("Priveterra") Class B common stock were cancelled and, in exchange, the holder(s) thereof was entitled to receive Class A common stock of the Issuer on a one-for-one basis upon the consummation of the Issuer's initial business combination on July 21, 2023 pursuant to that certain Business Combination Agreement (the "BCA"), dated as of December 12, 2022, as amended April 27, 2023, by and among the Issuer, Priveterra Merger Sub, Inc. ("Merger Sub") and AEON Biopharma, Inc. ("Old AEON") (the "Initial Business Combination"). 2,070,000 of the shares of Class A common stock of the Issuer held by Priveterra Sponsor, LLC. (the "Sponsor") are fully vested. F2: 1,380,000 of the shares of Class A common stock of the Issuer held by the Sponsor vest based on the achievement of certain pre-established share price targets and the remaining 3,450,000 shares of Class A common stock of the Issuer held by the Sponsor will vest based on the achievement of certain milestones, each as set forth in Amendment No.1 to the Sponsor Support Agreement, dated as of April 27, 2023. Simultaneously with the Issuer's initial public offering ("IPO"), the Sponsor acquired 5,213,333 warrants of the Issuer exercisable to purchase one share of Class A common stock of the Issuer at an exercise price of $11.50 per share (the "Private Placement Warrants") and Sponsor subsequently acquired 66,667 Private Placement Warrants on June 28, 2021 upon the conversion of an unsecured convertible promissory note issued by the Issuer to the Sponsor on February 15, 2021. F3: As described in the Issuer's Registration Statement on Form S-1 (File No. 333-252310) filed with the Securities and Exchange Commission on January 21, 2021, the Private Placement Warrants are identical to the warrants sold in connection with the Issuer's IPO, except that (i) the Private Placement Warrants (including shares of Class A common stock issuable upon exercise of the private placement warrants) will not be transferable, assignable or salable until 30 days after the completion of the Initial Business Combination (except, among other limited exceptions, to Priveterra's officers and directors, the Sponsor, or any of its or their respective permitted transferees); |
| Class A Common StockSEC Table I · non-derivative | IndirectHeld by Vikram Malik | 6,989,163 |
Reported balance
After 2023-07-21 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2023-07-21 · Conversion · Acquired 89,163 · Balance 6,989,163 F1: The Priveterra Acquisition Corp. ("Priveterra") Class B common stock were cancelled and, in exchange, the holder(s) thereof was entitled to receive Class A common stock of the Issuer on a one-for-one basis upon the consummation of the Issuer's initial business combination on July 21, 2023 pursuant to that certain Business Combination Agreement (the "BCA"), dated as of December 12, 2022, as amended April 27, 2023, by and among the Issuer, Priveterra Merger Sub, Inc. ("Merger Sub") and AEON Biopharma, Inc. ("Old AEON") (the "Initial Business Combination"). 2,070,000 of the shares of Class A common stock of the Issuer held by Priveterra Sponsor, LLC. (the "Sponsor") are fully vested. F2: 1,380,000 of the shares of Class A common stock of the Issuer held by the Sponsor vest based on the achievement of certain pre-established share price targets and the remaining 3,450,000 shares of Class A common stock of the Issuer held by the Sponsor will vest based on the achievement of certain milestones, each as set forth in Amendment No.1 to the Sponsor Support Agreement, dated as of April 27, 2023. Simultaneously with the Issuer's initial public offering ("IPO"), the Sponsor acquired 5,213,333 warrants of the Issuer exercisable to purchase one share of Class A common stock of the Issuer at an exercise price of $11.50 per share (the "Private Placement Warrants") and Sponsor subsequently acquired 66,667 Private Placement Warrants on June 28, 2021 upon the conversion of an unsecured convertible promissory note issued by the Issuer to the Sponsor on February 15, 2021. F6: These securities, which were acquired upon the closing of the Initial Business Combination pursuant to the terms of the BCA as a result of the cancellation of the shares of Old AEON ("Old AEON Common Stock") held by Mr. Malik and Sabina Taneja and the automatic conversion of such shares into 2.328 (the "Exchange Ratio") shares of Class A common stock of the Issuer, are held directly by Mr. Malik, a manager of the Sponsor, and Ms. Taneja. The Sponsor disclaims beneficial ownership of these securities, except to the extent of its pecuniary interest therein. |
| Class B Common StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2023-07-21 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2023-07-21 · Conversion · Disposed 6,900,000 · Balance 0 F1: The Priveterra Acquisition Corp. ("Priveterra") Class B common stock were cancelled and, in exchange, the holder(s) thereof was entitled to receive Class A common stock of the Issuer on a one-for-one basis upon the consummation of the Issuer's initial business combination on July 21, 2023 pursuant to that certain Business Combination Agreement (the "BCA"), dated as of December 12, 2022, as amended April 27, 2023, by and among the Issuer, Priveterra Merger Sub, Inc. ("Merger Sub") and AEON Biopharma, Inc. ("Old AEON") (the "Initial Business Combination"). 2,070,000 of the shares of Class A common stock of the Issuer held by Priveterra Sponsor, LLC. (the "Sponsor") are fully vested. F2: 1,380,000 of the shares of Class A common stock of the Issuer held by the Sponsor vest based on the achievement of certain pre-established share price targets and the remaining 3,450,000 shares of Class A common stock of the Issuer held by the Sponsor will vest based on the achievement of certain milestones, each as set forth in Amendment No.1 to the Sponsor Support Agreement, dated as of April 27, 2023. Simultaneously with the Issuer's initial public offering ("IPO"), the Sponsor acquired 5,213,333 warrants of the Issuer exercisable to purchase one share of Class A common stock of the Issuer at an exercise price of $11.50 per share (the "Private Placement Warrants") and Sponsor subsequently acquired 66,667 Private Placement Warrants on June 28, 2021 upon the conversion of an unsecured convertible promissory note issued by the Issuer to the Sponsor on February 15, 2021. F7: The reporting person disposed of all Class B common stock upon the consummation of the Issuer's Initial Business Combination, which were automatically exchanged on a one-for-one basis into Class A common stock of the Issuer. F5: The Sponsor is the record holder of the securities reported herein. Messrs Grodnensky, Palmisano, and Malik are the managers of the Sponsor and share voting and investment discretion with respect to the securities held of record by the Sponsor. |
| Private Placement WarrantsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2023-07-21 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2023-07-21 · Grant · Disposed 5,280,000 · Balance 0 F3: As described in the Issuer's Registration Statement on Form S-1 (File No. 333-252310) filed with the Securities and Exchange Commission on January 21, 2021, the Private Placement Warrants are identical to the warrants sold in connection with the Issuer's IPO, except that (i) the Private Placement Warrants (including shares of Class A common stock issuable upon exercise of the private placement warrants) will not be transferable, assignable or salable until 30 days after the completion of the Initial Business Combination (except, among other limited exceptions, to Priveterra's officers and directors, the Sponsor, or any of its or their respective permitted transferees); F4: (ii) the Private Placement Warrants will not be redeemable by the Issuer so long as they are held by the Sponsor, Priveterra's officers or directors, or its or their respective permitted transferees (except as set forth in the warrant agreement), (iii) the Private Placement Warrants may be exercised by the Sponsor, Priveterra's officers and directors, or its or their respective permitted transferees on a cashless basis, (iv) if the private placement warrants are held by holders other than the Sponsor, Priveterra's officers and directors, or its or their permitted transferees, the Private Placement Warrants will be redeemable by the Issuer and exercisable by the holders on the same basis as the public warrants; and (v) the Private Placement Warrants (including shares of Class A common stock issuable upon exercise of the private placement warrants) are entitled to registration rights. |
| Stock OptionsSEC Table II · derivative / convertible security | IndirectHeld by Oleg Grodnensky | 38,824 |
Reported balance
After 2023-07-21 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2023-07-21 · Conversion · Acquired 38,824 · Balance 38,824 F8: At the Effective Time, each outstanding option to purchase shares of AEON common stock (each an "AEON Option") was automatically cancelled and converted into an option to purchase a number of shares of common stock of the Issuer at a per-share exercise price of $10 per share. F9: Represents an award of stock options granted on November 20, 2019, which vested in three yearly installments from November 1, 2019. Such options expire on November 20, 2029. The Sponsor disclaims beneficial ownership of these securities, except to the extent of its pecuniary interest therein. F12: Represents an award of stock options granted on March 9, 2022, which vested ratably over one year from March 9, 2022. Such options expire on March 9, 2032. The Sponsor disclaims beneficial ownership of these securities, except to the extent of its pecuniary interest therein. |
| Stock OptionsSEC Table II · derivative / convertible security | IndirectHeld by Vikram Malik | 38,824 |
Reported balance
After 2023-07-21 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2023-07-21 · Conversion · Acquired 38,824 · Balance 38,824 F8: At the Effective Time, each outstanding option to purchase shares of AEON common stock (each an "AEON Option") was automatically cancelled and converted into an option to purchase a number of shares of common stock of the Issuer at a per-share exercise price of $10 per share. F9: Represents an award of stock options granted on November 20, 2019, which vested in three yearly installments from November 1, 2019. Such options expire on November 20, 2029. The Sponsor disclaims beneficial ownership of these securities, except to the extent of its pecuniary interest therein. F12: Represents an award of stock options granted on March 9, 2022, which vested ratably over one year from March 9, 2022. Such options expire on March 9, 2032. The Sponsor disclaims beneficial ownership of these securities, except to the extent of its pecuniary interest therein. |
| Stock OptionsSEC Table II · derivative / convertible security | IndirectHeld by Vikram Malik | 21,974 |
Reported balance
After 2023-07-21 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2023-07-21 · Conversion · Acquired 21,974 · Balance 21,974 F8: At the Effective Time, each outstanding option to purchase shares of AEON common stock (each an "AEON Option") was automatically cancelled and converted into an option to purchase a number of shares of common stock of the Issuer at a per-share exercise price of $10 per share. F10: Represents an award of stock options granted on August 5, 2020, which vested ratably over one year from March 4, 2020. Such options expire on August 1, 2030. The Sponsor disclaims beneficial ownership of these securities, except to the extent of its pecuniary interest therein. F12: Represents an award of stock options granted on March 9, 2022, which vested ratably over one year from March 9, 2022. Such options expire on March 9, 2032. The Sponsor disclaims beneficial ownership of these securities, except to the extent of its pecuniary interest therein. |
| Stock OptionsSEC Table II · derivative / convertible security | IndirectHeld by Vikram Malik | 19,800 |
Reported balance
After 2023-07-21 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2023-07-21 · Conversion · Acquired 19,800 · Balance 19,800 F8: At the Effective Time, each outstanding option to purchase shares of AEON common stock (each an "AEON Option") was automatically cancelled and converted into an option to purchase a number of shares of common stock of the Issuer at a per-share exercise price of $10 per share. F11: Represents an award of stock options granted on March 5, 2021, which vested ratably over one year from March 5, 2021. Such options expire on March 5, 2031. The Sponsor disclaims beneficial ownership of these securities, except to the extent of its pecuniary interest therein. F12: Represents an award of stock options granted on March 9, 2022, which vested ratably over one year from March 9, 2022. Such options expire on March 9, 2032. The Sponsor disclaims beneficial ownership of these securities, except to the extent of its pecuniary interest therein. |
| Stock OptionsSEC Table II · derivative / convertible security | IndirectHeld by Vikram Malik | 21,198 |
Reported balance
After 2023-07-21 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2023-07-21 · Conversion · Acquired 21,198 · Balance 21,198 F8: At the Effective Time, each outstanding option to purchase shares of AEON common stock (each an "AEON Option") was automatically cancelled and converted into an option to purchase a number of shares of common stock of the Issuer at a per-share exercise price of $10 per share. F12: Represents an award of stock options granted on March 9, 2022, which vested ratably over one year from March 9, 2022. Such options expire on March 9, 2032. The Sponsor disclaims beneficial ownership of these securities, except to the extent of its pecuniary interest therein. |
| Stock OptionsSEC Table II · derivative / convertible security | IndirectHeld by Vikram Malik | 7,765 |
Reported balance
After 2023-07-21 transaction · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · 2023-07-21 · Conversion · Acquired 7,765 · Balance 7,765 F8: At the Effective Time, each outstanding option to purchase shares of AEON common stock (each an "AEON Option") was automatically cancelled and converted into an option to purchase a number of shares of common stock of the Issuer at a per-share exercise price of $10 per share. F13: Represents an award of stock options granted on March 9, 2022, which vests in three yearly installments from March 9, 2022. Such options expire on March 9, 2032. The Sponsor disclaims beneficial ownership of these securities, except to the extent of its pecuniary interest therein. F12: Represents an award of stock options granted on March 9, 2022, which vested ratably over one year from March 9, 2022. Such options expire on March 9, 2032. The Sponsor disclaims beneficial ownership of these securities, except to the extent of its pecuniary interest therein. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | IndirectHeld by Vikram Malik | 77,453 |
Reported balance
After 2023-07-21 transaction · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · 2023-07-21 · Conversion · Acquired 77,453 · Balance 77,453 F14: At the Effective Time, each outstanding award of restricted stock unit ("RSU") representing the contingent right to receive shares of AEON common stock (each an "AEON RSU") was automatically cancelled and converted into an RSU representing the contingent right to receive a number of shares of common stock of the Issuer equal to (i) the number of shares of AEON common stock subject to the applicable AEON RSU multiplied by (ii) the Exchange Ratio, rounded down to the nearest whole share. F15: Represents an award of RSUs on April 26, 2023, which vests 6.25% vests upon the achievement of a first earnout goal, 25% upon the achievement of a second earnout goal, 25% upon the achievement of a third earnout, and 43.75% upon achievement of a fourth earnout goal. The Sponsor disclaims beneficial ownership of these securities, except to the extent of its pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: The Priveterra Acquisition Corp. ("Priveterra") Class B common stock were cancelled and, in exchange, the holder(s) thereof was entitled to receive Class A common stock of the Issuer on a one-for-one basis upon the consummation of the Issuer's initial business combination on July 21, 2023 pursuant to that certain Business Combination Agreement (the "BCA"), dated as of December 12, 2022, as amended April 27, 2023, by and among the Issuer, Priveterra Merger Sub, Inc. ("Merger Sub") and AEON Biopharma, Inc. ("Old AEON") (the "Initial Business Combination"). 2,070,000 of the shares of Class A common stock of the Issuer held by Priveterra Sponsor, LLC. (the "Sponsor") are fully vested.
F2: 1,380,000 of the shares of Class A common stock of the Issuer held by the Sponsor vest based on the achievement of certain pre-established share price targets and the remaining 3,450,000 shares of Class A common stock of the Issuer held by the Sponsor will vest based on the achievement of certain milestones, each as set forth in Amendment No.1 to the Sponsor Support Agreement, dated as of April 27, 2023. Simultaneously with the Issuer's initial public offering ("IPO"), the Sponsor acquired 5,213,333 warrants of the Issuer exercisable to purchase one share of Class A common stock of the Issuer at an exercise price of $11.50 per share (the "Private Placement Warrants") and Sponsor subsequently acquired 66,667 Private Placement Warrants on June 28, 2021 upon the conversion of an unsecured convertible promissory note issued by the Issuer to the Sponsor on February 15, 2021.
F3: As described in the Issuer's Registration Statement on Form S-1 (File No. 333-252310) filed with the Securities and Exchange Commission on January 21, 2021, the Private Placement Warrants are identical to the warrants sold in connection with the Issuer's IPO, except that (i) the Private Placement Warrants (including shares of Class A common stock issuable upon exercise of the private placement warrants) will not be transferable, assignable or salable until 30 days after the completion of the Initial Business Combination (except, among other limited exceptions, to Priveterra's officers and directors, the Sponsor, or any of its or their respective permitted transferees);
F4: (ii) the Private Placement Warrants will not be redeemable by the Issuer so long as they are held by the Sponsor, Priveterra's officers or directors, or its or their respective permitted transferees (except as set forth in the warrant agreement), (iii) the Private Placement Warrants may be exercised by the Sponsor, Priveterra's officers and directors, or its or their respective permitted transferees on a cashless basis, (iv) if the private placement warrants are held by holders other than the Sponsor, Priveterra's officers and directors, or its or their permitted transferees, the Private Placement Warrants will be redeemable by the Issuer and exercisable by the holders on the same basis as the public warrants; and (v) the Private Placement Warrants (including shares of Class A common stock issuable upon exercise of the private placement warrants) are entitled to registration rights.
F5: The Sponsor is the record holder of the securities reported herein. Messrs Grodnensky, Palmisano, and Malik are the managers of the Sponsor and share voting and investment discretion with respect to the securities held of record by the Sponsor.
F6: These securities, which were acquired upon the closing of the Initial Business Combination pursuant to the terms of the BCA as a result of the cancellation of the shares of Old AEON ("Old AEON Common Stock") held by Mr. Malik and Sabina Taneja and the automatic conversion of such shares into 2.328 (the "Exchange Ratio") shares of Class A common stock of the Issuer, are held directly by Mr. Malik, a manager of the Sponsor, and Ms. Taneja. The Sponsor disclaims beneficial ownership of these securities, except to the extent of its pecuniary interest therein.
F7: The reporting person disposed of all Class B common stock upon the consummation of the Issuer's Initial Business Combination, which were automatically exchanged on a one-for-one basis into Class A common stock of the Issuer.
F8: At the Effective Time, each outstanding option to purchase shares of AEON common stock (each an "AEON Option") was automatically cancelled and converted into an option to purchase a number of shares of common stock of the Issuer at a per-share exercise price of $10 per share.
F9: Represents an award of stock options granted on November 20, 2019, which vested in three yearly installments from November 1, 2019. Such options expire on November 20, 2029. The Sponsor disclaims beneficial ownership of these securities, except to the extent of its pecuniary interest therein.
F10: Represents an award of stock options granted on August 5, 2020, which vested ratably over one year from March 4, 2020. Such options expire on August 1, 2030. The Sponsor disclaims beneficial ownership of these securities, except to the extent of its pecuniary interest therein.
F11: Represents an award of stock options granted on March 5, 2021, which vested ratably over one year from March 5, 2021. Such options expire on March 5, 2031. The Sponsor disclaims beneficial ownership of these securities, except to the extent of its pecuniary interest therein.
F12: Represents an award of stock options granted on March 9, 2022, which vested ratably over one year from March 9, 2022. Such options expire on March 9, 2032. The Sponsor disclaims beneficial ownership of these securities, except to the extent of its pecuniary interest therein.
F13: Represents an award of stock options granted on March 9, 2022, which vests in three yearly installments from March 9, 2022. Such options expire on March 9, 2032. The Sponsor disclaims beneficial ownership of these securities, except to the extent of its pecuniary interest therein.
F14: At the Effective Time, each outstanding award of restricted stock unit ("RSU") representing the contingent right to receive shares of AEON common stock (each an "AEON RSU") was automatically cancelled and converted into an RSU representing the contingent right to receive a number of shares of common stock of the Issuer equal to (i) the number of shares of AEON common stock subject to the applicable AEON RSU multiplied by (ii) the Exchange Ratio, rounded down to the nearest whole share.
F15: Represents an award of RSUs on April 26, 2023, which vests 6.25% vests upon the achievement of a first earnout goal, 25% upon the achievement of a second earnout goal, 25% upon the achievement of a third earnout, and 43.75% upon achievement of a fourth earnout goal. The Sponsor disclaims beneficial ownership of these securities, except to the extent of its pecuniary interest therein.
Evolus, Inc.
Report date February 17, 2026 · Filed February 20, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 321,109 |
Reported balance
After 2026-02-17 transaction · row 1
1 source rowRow 1 · 2026-02-17 · Grant · Acquired 45,559 · Balance 321,109 F1: Represents shares issuable on settlement of restricted stock units ("RSUs") granted to the reporting person. Each RSU represents a contingent right to receive one share of the Issuer's common stock. The RSUs will vest in full on the one year anniversary of February 17, 2026, provided the reporting person remains in continuous service before the vesting date, subject to accelerated vesting in certain events, including upon certain changes of control of the Issuer. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents shares issuable on settlement of restricted stock units ("RSUs") granted to the reporting person. Each RSU represents a contingent right to receive one share of the Issuer's common stock. The RSUs will vest in full on the one year anniversary of February 17, 2026, provided the reporting person remains in continuous service before the vesting date, subject to accelerated vesting in certain events, including upon certain changes of control of the Issuer.
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 |
|---|---|---|---|---|---|---|
| February 17, 2026 Filed Feb 20, 2026 01:57 UTC | Evolus, Inc. EOLS · Entity 5341 | GrantCommon Stock | 45,559 | $0.00 | $0.00 |
DisclosureSEC source: 0001570562-26-000022 · wk-form4_1771552641.xml · nonDerivative · entry 1 Malik Vikram · CIK 0001730123 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 321,109 F1 · shares: Represents shares issuable on settlement of restricted stock units ("RSUs") granted to the reporting person. Each RSU represents a contingent right to receive one share of the Issuer's common stock. The RSUs will vest in full on the one year anniversary of February 17, 2026, provided the reporting person remains in continuous service before the vesting date, subject to accelerated vesting in certain events, including upon certain changes of control of the Issuer. Read SEC document |
| March 07, 2025 Filed Mar 11, 2025 22:53 UTC | Evolus, Inc. EOLS · Entity 5341 | GrantStock Option (Right to Buy) · Derivative | 11,146 | $0.00 Strike: $13.58 | $0.00 |
DisclosureSEC source: 0001570562-25-000036 · wk-form4_1741733600.xml · derivative · entry 2 Malik Vikram · CIK 0001730123 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 11,146 Underlying: Common Stock · 11,146 shares Expires 2035-03-07 F2 · derivative.exercise_date: The shares subject to the option will vest over a period of twelve months, with 1/12th of the shares subject to the option vesting monthly on the anniversary of March 7, 2025, provided the reporting person remains in continuous service on each vesting date, subject to accelerated vesting in certain events, including certain terminations of the reporting person or upon certain changes of control of the issuer. Read SEC document |
| March 07, 2025 Filed Mar 11, 2025 22:53 UTC | Evolus, Inc. EOLS · Entity 5341 | GrantCommon Stock | 7,364 | $0.00 | $0.00 |
DisclosureSEC source: 0001570562-25-000036 · wk-form4_1741733600.xml · nonDerivative · entry 1 Malik Vikram · CIK 0001730123 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 253,878 F1 · shares: Represents shares issuable on settlement of restricted stock units ("RSUs") granted to the reporting person. Each RSU represents a contingent right to receive one share of the Issuer's common stock. The RSUs will vest in full on the one year anniversary of March 7, 2025, provided the reporting person remains in continuous service before the vesting date, subject to accelerated vesting in certain events, including upon certain changes of control of the Issuer. Read SEC document |
| June 03, 2024 Filed Jun 6, 2024 01:30 UTC | Evolus, Inc. EOLS · Entity 5341 | SaleCommon Stock | 7,500 | $12.96 | $97,203.00 |
DisclosureSEC source: 0001570562-24-000093 · wk-form4_1717637447.xml · nonDerivative · entry 1 Malik Vikram · CIK 0001730123 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 246,514 F1 · price: The shares were sold in multiple trades at prices ranging from $12.9602 to $12.97. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| May 13, 2024 Filed May 15, 2024 21:19 UTC | Evolus, Inc. EOLS · Entity 5341 | SaleCommon Stock | 28,000 | $12.93 | $362,012.00 |
DisclosureSEC source: 0001570562-24-000089 · wk-form4_1715807976.xml · nonDerivative · entry 1 Malik Vikram · CIK 0001730123 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 254,014 F1 · price: The shares were sold in multiple trades at prices ranging from $12.92 to $12.93. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| February 07, 2024 Filed Feb 9, 2024 23:37 UTC | Evolus, Inc. EOLS · Entity 5341 | GrantStock Option (Right to Buy) · Derivative | 9,377 | $0.00 Strike: $13.15 | $0.00 |
DisclosureSEC source: 0001570562-24-000020 · wk-form4_1707521811.xml · derivative · entry 2 Malik Vikram · CIK 0001730123 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 9,377 Underlying: Common Stock · 9,377 shares Expires 2034-02-07 F2 · derivative.exercise_date: The shares subject to the option will vest over a period of twelve months, with 1/12th of the shares subject to the option vesting monthly on the anniversary of February 7, 2024, provided the reporting person remains in continuous service on each vesting date, subject to accelerated vesting in certain events, including certain terminations of the reporting person or upon certain changes of control of the issuer. Read SEC document |
| February 07, 2024 Filed Feb 9, 2024 23:37 UTC | Evolus, Inc. EOLS · Entity 5341 | GrantCommon Stock | 6,464 | $0.00 | $0.00 |
DisclosureSEC source: 0001570562-24-000020 · wk-form4_1707521811.xml · nonDerivative · entry 1 Malik Vikram · CIK 0001730123 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 282,014 F1 · shares: Represents shares issuable on settlement of restricted stock units ("RSUs") granted to the reporting person. Each RSU represents a contingent right to receive one share of the Issuer's common stock. The RSUs will vest in full on the one year anniversary of February 7, 2024, provided the reporting person remains in continuous service before the vesting date, subject to accelerated vesting in certain events, including upon certain changes of control of the Issuer. Read SEC document |
| August 15, 2023 Filed Aug 15, 2023 20:34 UTC | Evolus, Inc. EOLS · Entity 5341 | PurchaseCommon Stock | 174,967 | $7.41 | $1,296,505.47 |
DisclosureSEC source: 0001570562-23-000094 · wk-form4_1692131636.xml · nonDerivative · entry 2 Malik Vikram · CIK 0001730123 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 275,550 F2 · kind: Represents the private transfer of shares of common stock of the issuer from Strathspey Crown Holdings Group, LLC ("SCH") to the reporting person, who elected to receive payment of certain outstanding fees from SCH in the form of shares of common stock of the issuer held by SCH rather than cash. Read SEC document |
| August 11, 2023 Filed Aug 15, 2023 20:34 UTC | Evolus, Inc. EOLS · Entity 5341 | OtherCommon Stock | 22,998 | $0.00 | $0.00 |
DisclosureSEC source: 0001570562-23-000094 · wk-form4_1692131636.xml · nonDerivative · entry 1 Malik Vikram · CIK 0001730123 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 100,583 F1 · kind: Pro rata distribution from Alphaeon 1, LLC of which the reporting person is a non-managing member. Read SEC document |
| July 21, 2023 Filed Jul 26, 2023 21:06 UTC | AEON Biopharma, Inc. AEON · Entity 7859 | ConversionRestricted Stock Units · Derivative | 77,453 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000950103-23-010810 · dp197251_4-psllc.xml · derivative · entry 11 Priveterra Sponsor, LLC · CIK 0001843128 · 10% owner Grodnensky Oleg · CIK 0001843167 · 10% owner PALMISANO ROBERT J · CIK 0001138646 · Director · 10% owner Malik Vikram · CIK 0001730123 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · Held by Vikram Malik Disclosed balance after: 77,453 Underlying: Stock Options · 77,453 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. F14 · derivative.exercise_price: At the Effective Time, each outstanding award of restricted stock unit ("RSU") representing the contingent right to receive shares of AEON common stock (each an "AEON RSU") was automatically cancelled and converted into an RSU representing the contingent right to receive a number of shares of common stock of the Issuer equal to (i) the number of shares of AEON common stock subject to the applicable AEON RSU multiplied by (ii) the Exchange Ratio, rounded down to the nearest whole share. F15 · derivative.exercise_price: Represents an award of RSUs on April 26, 2023, which vests 6.25% vests upon the achievement of a first earnout goal, 25% upon the achievement of a second earnout goal, 25% upon the achievement of a third earnout, and 43.75% upon achievement of a fourth earnout goal. The Sponsor disclaims beneficial ownership of these securities, except to the extent of its pecuniary interest therein. F14 · shares: At the Effective Time, each outstanding award of restricted stock unit ("RSU") representing the contingent right to receive shares of AEON common stock (each an "AEON RSU") was automatically cancelled and converted into an RSU representing the contingent right to receive a number of shares of common stock of the Issuer equal to (i) the number of shares of AEON common stock subject to the applicable AEON RSU multiplied by (ii) the Exchange Ratio, rounded down to the nearest whole share. F15 · shares: Represents an award of RSUs on April 26, 2023, which vests 6.25% vests upon the achievement of a first earnout goal, 25% upon the achievement of a second earnout goal, 25% upon the achievement of a third earnout, and 43.75% upon achievement of a fourth earnout goal. The Sponsor disclaims beneficial ownership of these securities, except to the extent of its pecuniary interest therein. F15 · price: Represents an award of RSUs on April 26, 2023, which vests 6.25% vests upon the achievement of a first earnout goal, 25% upon the achievement of a second earnout goal, 25% upon the achievement of a third earnout, and 43.75% upon achievement of a fourth earnout goal. The Sponsor disclaims beneficial ownership of these securities, except to the extent of its pecuniary interest therein. F15 · derivative.exercise_date: Represents an award of RSUs on April 26, 2023, which vests 6.25% vests upon the achievement of a first earnout goal, 25% upon the achievement of a second earnout goal, 25% upon the achievement of a third earnout, and 43.75% upon achievement of a fourth earnout goal. The Sponsor disclaims beneficial ownership of these securities, except to the extent of its pecuniary interest therein. F15 · derivative.expiration_date: Represents an award of RSUs on April 26, 2023, which vests 6.25% vests upon the achievement of a first earnout goal, 25% upon the achievement of a second earnout goal, 25% upon the achievement of a third earnout, and 43.75% upon achievement of a fourth earnout goal. The Sponsor disclaims beneficial ownership of these securities, except to the extent of its pecuniary interest therein. Read SEC document |
| July 21, 2023 Filed Jul 26, 2023 21:06 UTC | AEON Biopharma, Inc. AEON · Entity 7859 | ConversionStock Options · Derivative | 7,765 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000950103-23-010810 · dp197251_4-psllc.xml · derivative · entry 10 Priveterra Sponsor, LLC · CIK 0001843128 · 10% owner Grodnensky Oleg · CIK 0001843167 · 10% owner PALMISANO ROBERT J · CIK 0001138646 · Director · 10% owner Malik Vikram · CIK 0001730123 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · Held by Vikram Malik Disclosed balance after: 7,765 Underlying: Stock Options · 7,765 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. F8 · derivative.exercise_price: At the Effective Time, each outstanding option to purchase shares of AEON common stock (each an "AEON Option") was automatically cancelled and converted into an option to purchase a number of shares of common stock of the Issuer at a per-share exercise price of $10 per share. F13 · shares: Represents an award of stock options granted on March 9, 2022, which vests in three yearly installments from March 9, 2022. Such options expire on March 9, 2032. The Sponsor disclaims beneficial ownership of these securities, except to the extent of its pecuniary interest therein. F13 · price: Represents an award of stock options granted on March 9, 2022, which vests in three yearly installments from March 9, 2022. Such options expire on March 9, 2032. The Sponsor disclaims beneficial ownership of these securities, except to the extent of its pecuniary interest therein. F12 · derivative.exercise_date: Represents an award of stock options granted on March 9, 2022, which vested ratably over one year from March 9, 2022. Such options expire on March 9, 2032. The Sponsor disclaims beneficial ownership of these securities, except to the extent of its pecuniary interest therein. F12 · derivative.expiration_date: Represents an award of stock options granted on March 9, 2022, which vested ratably over one year from March 9, 2022. Such options expire on March 9, 2032. The Sponsor disclaims beneficial ownership of these securities, except to the extent of its pecuniary interest therein. Read SEC document |
| July 21, 2023 Filed Jul 26, 2023 21:06 UTC | AEON Biopharma, Inc. AEON · Entity 7859 | ConversionStock Options · Derivative | 21,198 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000950103-23-010810 · dp197251_4-psllc.xml · derivative · entry 9 Priveterra Sponsor, LLC · CIK 0001843128 · 10% owner Grodnensky Oleg · CIK 0001843167 · 10% owner PALMISANO ROBERT J · CIK 0001138646 · Director · 10% owner Malik Vikram · CIK 0001730123 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · Held by Vikram Malik Disclosed balance after: 21,198 Underlying: Stock Options · 21,198 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. F8 · derivative.exercise_price: At the Effective Time, each outstanding option to purchase shares of AEON common stock (each an "AEON Option") was automatically cancelled and converted into an option to purchase a number of shares of common stock of the Issuer at a per-share exercise price of $10 per share. F12 · shares: Represents an award of stock options granted on March 9, 2022, which vested ratably over one year from March 9, 2022. Such options expire on March 9, 2032. The Sponsor disclaims beneficial ownership of these securities, except to the extent of its pecuniary interest therein. F12 · price: Represents an award of stock options granted on March 9, 2022, which vested ratably over one year from March 9, 2022. Such options expire on March 9, 2032. The Sponsor disclaims beneficial ownership of these securities, except to the extent of its pecuniary interest therein. F12 · derivative.exercise_date: Represents an award of stock options granted on March 9, 2022, which vested ratably over one year from March 9, 2022. Such options expire on March 9, 2032. The Sponsor disclaims beneficial ownership of these securities, except to the extent of its pecuniary interest therein. F12 · derivative.expiration_date: Represents an award of stock options granted on March 9, 2022, which vested ratably over one year from March 9, 2022. Such options expire on March 9, 2032. The Sponsor disclaims beneficial ownership of these securities, except to the extent of its pecuniary interest therein. Read SEC document |
| July 21, 2023 Filed Jul 26, 2023 21:06 UTC | AEON Biopharma, Inc. AEON · Entity 7859 | ConversionStock Options · Derivative | 19,800 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000950103-23-010810 · dp197251_4-psllc.xml · derivative · entry 8 Priveterra Sponsor, LLC · CIK 0001843128 · 10% owner Grodnensky Oleg · CIK 0001843167 · 10% owner PALMISANO ROBERT J · CIK 0001138646 · Director · 10% owner Malik Vikram · CIK 0001730123 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · Held by Vikram Malik Disclosed balance after: 19,800 Underlying: Stock Options · 19,800 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. F8 · derivative.exercise_price: At the Effective Time, each outstanding option to purchase shares of AEON common stock (each an "AEON Option") was automatically cancelled and converted into an option to purchase a number of shares of common stock of the Issuer at a per-share exercise price of $10 per share. F11 · shares: Represents an award of stock options granted on March 5, 2021, which vested ratably over one year from March 5, 2021. Such options expire on March 5, 2031. The Sponsor disclaims beneficial ownership of these securities, except to the extent of its pecuniary interest therein. F11 · price: Represents an award of stock options granted on March 5, 2021, which vested ratably over one year from March 5, 2021. Such options expire on March 5, 2031. The Sponsor disclaims beneficial ownership of these securities, except to the extent of its pecuniary interest therein. F12 · derivative.exercise_date: Represents an award of stock options granted on March 9, 2022, which vested ratably over one year from March 9, 2022. Such options expire on March 9, 2032. The Sponsor disclaims beneficial ownership of these securities, except to the extent of its pecuniary interest therein. F12 · derivative.expiration_date: Represents an award of stock options granted on March 9, 2022, which vested ratably over one year from March 9, 2022. Such options expire on March 9, 2032. The Sponsor disclaims beneficial ownership of these securities, except to the extent of its pecuniary interest therein. Read SEC document |
| July 21, 2023 Filed Jul 26, 2023 21:06 UTC | AEON Biopharma, Inc. AEON · Entity 7859 | ConversionStock Options · Derivative | 21,974 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000950103-23-010810 · dp197251_4-psllc.xml · derivative · entry 7 Priveterra Sponsor, LLC · CIK 0001843128 · 10% owner Grodnensky Oleg · CIK 0001843167 · 10% owner PALMISANO ROBERT J · CIK 0001138646 · Director · 10% owner Malik Vikram · CIK 0001730123 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · Held by Vikram Malik Disclosed balance after: 21,974 Underlying: Stock Options · 21,974 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. F8 · derivative.exercise_price: At the Effective Time, each outstanding option to purchase shares of AEON common stock (each an "AEON Option") was automatically cancelled and converted into an option to purchase a number of shares of common stock of the Issuer at a per-share exercise price of $10 per share. F10 · shares: Represents an award of stock options granted on August 5, 2020, which vested ratably over one year from March 4, 2020. Such options expire on August 1, 2030. The Sponsor disclaims beneficial ownership of these securities, except to the extent of its pecuniary interest therein. F10 · price: Represents an award of stock options granted on August 5, 2020, which vested ratably over one year from March 4, 2020. Such options expire on August 1, 2030. The Sponsor disclaims beneficial ownership of these securities, except to the extent of its pecuniary interest therein. F12 · derivative.exercise_date: Represents an award of stock options granted on March 9, 2022, which vested ratably over one year from March 9, 2022. Such options expire on March 9, 2032. The Sponsor disclaims beneficial ownership of these securities, except to the extent of its pecuniary interest therein. F12 · derivative.expiration_date: Represents an award of stock options granted on March 9, 2022, which vested ratably over one year from March 9, 2022. Such options expire on March 9, 2032. The Sponsor disclaims beneficial ownership of these securities, except to the extent of its pecuniary interest therein. Read SEC document |
| July 21, 2023 Filed Jul 26, 2023 21:06 UTC | AEON Biopharma, Inc. AEON · Entity 7859 | ConversionStock Options · Derivative | 38,824 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000950103-23-010810 · dp197251_4-psllc.xml · derivative · entry 6 Priveterra Sponsor, LLC · CIK 0001843128 · 10% owner Grodnensky Oleg · CIK 0001843167 · 10% owner PALMISANO ROBERT J · CIK 0001138646 · Director · 10% owner Malik Vikram · CIK 0001730123 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · Held by Vikram Malik Disclosed balance after: 38,824 Underlying: Stock Options · 38,824 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. F8 · derivative.exercise_price: At the Effective Time, each outstanding option to purchase shares of AEON common stock (each an "AEON Option") was automatically cancelled and converted into an option to purchase a number of shares of common stock of the Issuer at a per-share exercise price of $10 per share. F9 · shares: Represents an award of stock options granted on November 20, 2019, which vested in three yearly installments from November 1, 2019. Such options expire on November 20, 2029. The Sponsor disclaims beneficial ownership of these securities, except to the extent of its pecuniary interest therein. F9 · price: Represents an award of stock options granted on November 20, 2019, which vested in three yearly installments from November 1, 2019. Such options expire on November 20, 2029. The Sponsor disclaims beneficial ownership of these securities, except to the extent of its pecuniary interest therein. F12 · derivative.exercise_date: Represents an award of stock options granted on March 9, 2022, which vested ratably over one year from March 9, 2022. Such options expire on March 9, 2032. The Sponsor disclaims beneficial ownership of these securities, except to the extent of its pecuniary interest therein. F12 · derivative.expiration_date: Represents an award of stock options granted on March 9, 2022, which vested ratably over one year from March 9, 2022. Such options expire on March 9, 2032. The Sponsor disclaims beneficial ownership of these securities, except to the extent of its pecuniary interest therein. Read SEC document |
| July 21, 2023 Filed Jul 26, 2023 21:06 UTC | AEON Biopharma, Inc. AEON · Entity 7859 | ConversionStock Options · Derivative | 38,824 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000950103-23-010810 · dp197251_4-psllc.xml · derivative · entry 5 Priveterra Sponsor, LLC · CIK 0001843128 · 10% owner Grodnensky Oleg · CIK 0001843167 · 10% owner PALMISANO ROBERT J · CIK 0001138646 · Director · 10% owner Malik Vikram · CIK 0001730123 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · Held by Oleg Grodnensky Disclosed balance after: 38,824 Underlying: Stock Options · 38,824 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. F8 · derivative.exercise_price: At the Effective Time, each outstanding option to purchase shares of AEON common stock (each an "AEON Option") was automatically cancelled and converted into an option to purchase a number of shares of common stock of the Issuer at a per-share exercise price of $10 per share. F9 · shares: Represents an award of stock options granted on November 20, 2019, which vested in three yearly installments from November 1, 2019. Such options expire on November 20, 2029. The Sponsor disclaims beneficial ownership of these securities, except to the extent of its pecuniary interest therein. F9 · price: Represents an award of stock options granted on November 20, 2019, which vested in three yearly installments from November 1, 2019. Such options expire on November 20, 2029. The Sponsor disclaims beneficial ownership of these securities, except to the extent of its pecuniary interest therein. F12 · derivative.exercise_date: Represents an award of stock options granted on March 9, 2022, which vested ratably over one year from March 9, 2022. Such options expire on March 9, 2032. The Sponsor disclaims beneficial ownership of these securities, except to the extent of its pecuniary interest therein. F12 · derivative.expiration_date: Represents an award of stock options granted on March 9, 2022, which vested ratably over one year from March 9, 2022. Such options expire on March 9, 2032. The Sponsor disclaims beneficial ownership of these securities, except to the extent of its pecuniary interest therein. Read SEC document |
| July 21, 2023 Filed Jul 26, 2023 21:06 UTC | AEON Biopharma, Inc. AEON · Entity 7859 | GrantPrivate Placement Warrants · Derivative | 5,280,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000950103-23-010810 · dp197251_4-psllc.xml · derivative · entry 4 Priveterra Sponsor, LLC · CIK 0001843128 · 10% owner Grodnensky Oleg · CIK 0001843167 · 10% owner PALMISANO ROBERT J · CIK 0001138646 · Director · 10% owner Malik Vikram · CIK 0001730123 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,280,000 shares Expires not disclosed F3 · derivative.exercise_price: As described in the Issuer's Registration Statement on Form S-1 (File No. 333-252310) filed with the Securities and Exchange Commission on January 21, 2021, the Private Placement Warrants are identical to the warrants sold in connection with the Issuer's IPO, except that (i) the Private Placement Warrants (including shares of Class A common stock issuable upon exercise of the private placement warrants) will not be transferable, assignable or salable until 30 days after the completion of the Initial Business Combination (except, among other limited exceptions, to Priveterra's officers and directors, the Sponsor, or any of its or their respective permitted transferees); F4 · derivative.exercise_price: (ii) the Private Placement Warrants will not be redeemable by the Issuer so long as they are held by the Sponsor, Priveterra's officers or directors, or its or their respective permitted transferees (except as set forth in the warrant agreement), (iii) the Private Placement Warrants may be exercised by the Sponsor, Priveterra's officers and directors, or its or their respective permitted transferees on a cashless basis, (iv) if the private placement warrants are held by holders other than the Sponsor, Priveterra's officers and directors, or its or their permitted transferees, the Private Placement Warrants will be redeemable by the Issuer and exercisable by the holders on the same basis as the public warrants; and (v) the Private Placement Warrants (including shares of Class A common stock issuable upon exercise of the private placement warrants) are entitled to registration rights. F3 · price: As described in the Issuer's Registration Statement on Form S-1 (File No. 333-252310) filed with the Securities and Exchange Commission on January 21, 2021, the Private Placement Warrants are identical to the warrants sold in connection with the Issuer's IPO, except that (i) the Private Placement Warrants (including shares of Class A common stock issuable upon exercise of the private placement warrants) will not be transferable, assignable or salable until 30 days after the completion of the Initial Business Combination (except, among other limited exceptions, to Priveterra's officers and directors, the Sponsor, or any of its or their respective permitted transferees); F4 · price: (ii) the Private Placement Warrants will not be redeemable by the Issuer so long as they are held by the Sponsor, Priveterra's officers or directors, or its or their respective permitted transferees (except as set forth in the warrant agreement), (iii) the Private Placement Warrants may be exercised by the Sponsor, Priveterra's officers and directors, or its or their respective permitted transferees on a cashless basis, (iv) if the private placement warrants are held by holders other than the Sponsor, Priveterra's officers and directors, or its or their permitted transferees, the Private Placement Warrants will be redeemable by the Issuer and exercisable by the holders on the same basis as the public warrants; and (v) the Private Placement Warrants (including shares of Class A common stock issuable upon exercise of the private placement warrants) are entitled to registration rights. F3 · derivative.exercise_date: As described in the Issuer's Registration Statement on Form S-1 (File No. 333-252310) filed with the Securities and Exchange Commission on January 21, 2021, the Private Placement Warrants are identical to the warrants sold in connection with the Issuer's IPO, except that (i) the Private Placement Warrants (including shares of Class A common stock issuable upon exercise of the private placement warrants) will not be transferable, assignable or salable until 30 days after the completion of the Initial Business Combination (except, among other limited exceptions, to Priveterra's officers and directors, the Sponsor, or any of its or their respective permitted transferees); F4 · derivative.exercise_date: (ii) the Private Placement Warrants will not be redeemable by the Issuer so long as they are held by the Sponsor, Priveterra's officers or directors, or its or their respective permitted transferees (except as set forth in the warrant agreement), (iii) the Private Placement Warrants may be exercised by the Sponsor, Priveterra's officers and directors, or its or their respective permitted transferees on a cashless basis, (iv) if the private placement warrants are held by holders other than the Sponsor, Priveterra's officers and directors, or its or their permitted transferees, the Private Placement Warrants will be redeemable by the Issuer and exercisable by the holders on the same basis as the public warrants; and (v) the Private Placement Warrants (including shares of Class A common stock issuable upon exercise of the private placement warrants) are entitled to registration rights. F3 · derivative.expiration_date: As described in the Issuer's Registration Statement on Form S-1 (File No. 333-252310) filed with the Securities and Exchange Commission on January 21, 2021, the Private Placement Warrants are identical to the warrants sold in connection with the Issuer's IPO, except that (i) the Private Placement Warrants (including shares of Class A common stock issuable upon exercise of the private placement warrants) will not be transferable, assignable or salable until 30 days after the completion of the Initial Business Combination (except, among other limited exceptions, to Priveterra's officers and directors, the Sponsor, or any of its or their respective permitted transferees); F4 · derivative.expiration_date: (ii) the Private Placement Warrants will not be redeemable by the Issuer so long as they are held by the Sponsor, Priveterra's officers or directors, or its or their respective permitted transferees (except as set forth in the warrant agreement), (iii) the Private Placement Warrants may be exercised by the Sponsor, Priveterra's officers and directors, or its or their respective permitted transferees on a cashless basis, (iv) if the private placement warrants are held by holders other than the Sponsor, Priveterra's officers and directors, or its or their permitted transferees, the Private Placement Warrants will be redeemable by the Issuer and exercisable by the holders on the same basis as the public warrants; and (v) the Private Placement Warrants (including shares of Class A common stock issuable upon exercise of the private placement warrants) are entitled to registration rights. Read SEC document |
| July 21, 2023 Filed Jul 26, 2023 21:06 UTC | AEON Biopharma, Inc. AEON · Entity 7859 | ConversionClass B Common Stock · Derivative | 6,900,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000950103-23-010810 · dp197251_4-psllc.xml · derivative · entry 3 Priveterra Sponsor, LLC · CIK 0001843128 · 10% owner Grodnensky Oleg · CIK 0001843167 · 10% owner PALMISANO ROBERT J · CIK 0001138646 · Director · 10% owner Malik Vikram · CIK 0001730123 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 6,900,000 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 Priveterra Acquisition Corp. ("Priveterra") Class B common stock were cancelled and, in exchange, the holder(s) thereof was entitled to receive Class A common stock of the Issuer on a one-for-one basis upon the consummation of the Issuer's initial business combination on July 21, 2023 pursuant to that certain Business Combination Agreement (the "BCA"), dated as of December 12, 2022, as amended April 27, 2023, by and among the Issuer, Priveterra Merger Sub, Inc. ("Merger Sub") and AEON Biopharma, Inc. ("Old AEON") (the "Initial Business Combination"). 2,070,000 of the shares of Class A common stock of the Issuer held by Priveterra Sponsor, LLC. (the "Sponsor") are fully vested. F2 · derivative.exercise_price: 1,380,000 of the shares of Class A common stock of the Issuer held by the Sponsor vest based on the achievement of certain pre-established share price targets and the remaining 3,450,000 shares of Class A common stock of the Issuer held by the Sponsor will vest based on the achievement of certain milestones, each as set forth in Amendment No.1 to the Sponsor Support Agreement, dated as of April 27, 2023. Simultaneously with the Issuer's initial public offering ("IPO"), the Sponsor acquired 5,213,333 warrants of the Issuer exercisable to purchase one share of Class A common stock of the Issuer at an exercise price of $11.50 per share (the "Private Placement Warrants") and Sponsor subsequently acquired 66,667 Private Placement Warrants on June 28, 2021 upon the conversion of an unsecured convertible promissory note issued by the Issuer to the Sponsor on February 15, 2021. F7 · shares: The reporting person disposed of all Class B common stock upon the consummation of the Issuer's Initial Business Combination, which were automatically exchanged on a one-for-one basis into Class A common stock of the Issuer. F1 · price: The Priveterra Acquisition Corp. ("Priveterra") Class B common stock were cancelled and, in exchange, the holder(s) thereof was entitled to receive Class A common stock of the Issuer on a one-for-one basis upon the consummation of the Issuer's initial business combination on July 21, 2023 pursuant to that certain Business Combination Agreement (the "BCA"), dated as of December 12, 2022, as amended April 27, 2023, by and among the Issuer, Priveterra Merger Sub, Inc. ("Merger Sub") and AEON Biopharma, Inc. ("Old AEON") (the "Initial Business Combination"). 2,070,000 of the shares of Class A common stock of the Issuer held by Priveterra Sponsor, LLC. (the "Sponsor") are fully vested. F2 · price: 1,380,000 of the shares of Class A common stock of the Issuer held by the Sponsor vest based on the achievement of certain pre-established share price targets and the remaining 3,450,000 shares of Class A common stock of the Issuer held by the Sponsor will vest based on the achievement of certain milestones, each as set forth in Amendment No.1 to the Sponsor Support Agreement, dated as of April 27, 2023. Simultaneously with the Issuer's initial public offering ("IPO"), the Sponsor acquired 5,213,333 warrants of the Issuer exercisable to purchase one share of Class A common stock of the Issuer at an exercise price of $11.50 per share (the "Private Placement Warrants") and Sponsor subsequently acquired 66,667 Private Placement Warrants on June 28, 2021 upon the conversion of an unsecured convertible promissory note issued by the Issuer to the Sponsor on February 15, 2021. F1 · derivative.exercise_date: The Priveterra Acquisition Corp. ("Priveterra") Class B common stock were cancelled and, in exchange, the holder(s) thereof was entitled to receive Class A common stock of the Issuer on a one-for-one basis upon the consummation of the Issuer's initial business combination on July 21, 2023 pursuant to that certain Business Combination Agreement (the "BCA"), dated as of December 12, 2022, as amended April 27, 2023, by and among the Issuer, Priveterra Merger Sub, Inc. ("Merger Sub") and AEON Biopharma, Inc. ("Old AEON") (the "Initial Business Combination"). 2,070,000 of the shares of Class A common stock of the Issuer held by Priveterra Sponsor, LLC. (the "Sponsor") are fully vested. F2 · derivative.exercise_date: 1,380,000 of the shares of Class A common stock of the Issuer held by the Sponsor vest based on the achievement of certain pre-established share price targets and the remaining 3,450,000 shares of Class A common stock of the Issuer held by the Sponsor will vest based on the achievement of certain milestones, each as set forth in Amendment No.1 to the Sponsor Support Agreement, dated as of April 27, 2023. Simultaneously with the Issuer's initial public offering ("IPO"), the Sponsor acquired 5,213,333 warrants of the Issuer exercisable to purchase one share of Class A common stock of the Issuer at an exercise price of $11.50 per share (the "Private Placement Warrants") and Sponsor subsequently acquired 66,667 Private Placement Warrants on June 28, 2021 upon the conversion of an unsecured convertible promissory note issued by the Issuer to the Sponsor on February 15, 2021. F1 · derivative.expiration_date: The Priveterra Acquisition Corp. ("Priveterra") Class B common stock were cancelled and, in exchange, the holder(s) thereof was entitled to receive Class A common stock of the Issuer on a one-for-one basis upon the consummation of the Issuer's initial business combination on July 21, 2023 pursuant to that certain Business Combination Agreement (the "BCA"), dated as of December 12, 2022, as amended April 27, 2023, by and among the Issuer, Priveterra Merger Sub, Inc. ("Merger Sub") and AEON Biopharma, Inc. ("Old AEON") (the "Initial Business Combination"). 2,070,000 of the shares of Class A common stock of the Issuer held by Priveterra Sponsor, LLC. (the "Sponsor") are fully vested. F2 · derivative.expiration_date: 1,380,000 of the shares of Class A common stock of the Issuer held by the Sponsor vest based on the achievement of certain pre-established share price targets and the remaining 3,450,000 shares of Class A common stock of the Issuer held by the Sponsor will vest based on the achievement of certain milestones, each as set forth in Amendment No.1 to the Sponsor Support Agreement, dated as of April 27, 2023. Simultaneously with the Issuer's initial public offering ("IPO"), the Sponsor acquired 5,213,333 warrants of the Issuer exercisable to purchase one share of Class A common stock of the Issuer at an exercise price of $11.50 per share (the "Private Placement Warrants") and Sponsor subsequently acquired 66,667 Private Placement Warrants on June 28, 2021 upon the conversion of an unsecured convertible promissory note issued by the Issuer to the Sponsor on February 15, 2021. F5 · balance_after: The Sponsor is the record holder of the securities reported herein. Messrs Grodnensky, Palmisano, and Malik are the managers of the Sponsor and share voting and investment discretion with respect to the securities held of record by the Sponsor. Read SEC document |
| July 21, 2023 Filed Jul 26, 2023 21:06 UTC | AEON Biopharma, Inc. AEON · Entity 7859 | ConversionClass A Common Stock | 89,163 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000950103-23-010810 · dp197251_4-psllc.xml · nonDerivative · entry 2 Priveterra Sponsor, LLC · CIK 0001843128 · 10% owner Grodnensky Oleg · CIK 0001843167 · 10% owner PALMISANO ROBERT J · CIK 0001138646 · Director · 10% owner Malik Vikram · CIK 0001730123 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · Held by Vikram Malik Disclosed balance after: 6,989,163 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 Priveterra Acquisition Corp. ("Priveterra") Class B common stock were cancelled and, in exchange, the holder(s) thereof was entitled to receive Class A common stock of the Issuer on a one-for-one basis upon the consummation of the Issuer's initial business combination on July 21, 2023 pursuant to that certain Business Combination Agreement (the "BCA"), dated as of December 12, 2022, as amended April 27, 2023, by and among the Issuer, Priveterra Merger Sub, Inc. ("Merger Sub") and AEON Biopharma, Inc. ("Old AEON") (the "Initial Business Combination"). 2,070,000 of the shares of Class A common stock of the Issuer held by Priveterra Sponsor, LLC. (the "Sponsor") are fully vested. F2 · price: 1,380,000 of the shares of Class A common stock of the Issuer held by the Sponsor vest based on the achievement of certain pre-established share price targets and the remaining 3,450,000 shares of Class A common stock of the Issuer held by the Sponsor will vest based on the achievement of certain milestones, each as set forth in Amendment No.1 to the Sponsor Support Agreement, dated as of April 27, 2023. Simultaneously with the Issuer's initial public offering ("IPO"), the Sponsor acquired 5,213,333 warrants of the Issuer exercisable to purchase one share of Class A common stock of the Issuer at an exercise price of $11.50 per share (the "Private Placement Warrants") and Sponsor subsequently acquired 66,667 Private Placement Warrants on June 28, 2021 upon the conversion of an unsecured convertible promissory note issued by the Issuer to the Sponsor on February 15, 2021. F6 · ownership.direct: These securities, which were acquired upon the closing of the Initial Business Combination pursuant to the terms of the BCA as a result of the cancellation of the shares of Old AEON ("Old AEON Common Stock") held by Mr. Malik and Sabina Taneja and the automatic conversion of such shares into 2.328 (the "Exchange Ratio") shares of Class A common stock of the Issuer, are held directly by Mr. Malik, a manager of the Sponsor, and Ms. Taneja. The Sponsor disclaims beneficial ownership of these securities, except to the extent of its pecuniary interest therein. Read SEC document |
| July 21, 2023 Filed Jul 26, 2023 21:06 UTC | AEON Biopharma, Inc. AEON · Entity 7859 | ConversionClass A Common Stock | 6,900,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000950103-23-010810 · dp197251_4-psllc.xml · nonDerivative · entry 1 Priveterra Sponsor, LLC · CIK 0001843128 · 10% owner Grodnensky Oleg · CIK 0001843167 · 10% owner PALMISANO ROBERT J · CIK 0001138646 · Director · 10% owner Malik Vikram · CIK 0001730123 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 6,900,000 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. F1 · price: The Priveterra Acquisition Corp. ("Priveterra") Class B common stock were cancelled and, in exchange, the holder(s) thereof was entitled to receive Class A common stock of the Issuer on a one-for-one basis upon the consummation of the Issuer's initial business combination on July 21, 2023 pursuant to that certain Business Combination Agreement (the "BCA"), dated as of December 12, 2022, as amended April 27, 2023, by and among the Issuer, Priveterra Merger Sub, Inc. ("Merger Sub") and AEON Biopharma, Inc. ("Old AEON") (the "Initial Business Combination"). 2,070,000 of the shares of Class A common stock of the Issuer held by Priveterra Sponsor, LLC. (the "Sponsor") are fully vested. F2 · price: 1,380,000 of the shares of Class A common stock of the Issuer held by the Sponsor vest based on the achievement of certain pre-established share price targets and the remaining 3,450,000 shares of Class A common stock of the Issuer held by the Sponsor will vest based on the achievement of certain milestones, each as set forth in Amendment No.1 to the Sponsor Support Agreement, dated as of April 27, 2023. Simultaneously with the Issuer's initial public offering ("IPO"), the Sponsor acquired 5,213,333 warrants of the Issuer exercisable to purchase one share of Class A common stock of the Issuer at an exercise price of $11.50 per share (the "Private Placement Warrants") and Sponsor subsequently acquired 66,667 Private Placement Warrants on June 28, 2021 upon the conversion of an unsecured convertible promissory note issued by the Issuer to the Sponsor on February 15, 2021. F3 · ownership.direct: As described in the Issuer's Registration Statement on Form S-1 (File No. 333-252310) filed with the Securities and Exchange Commission on January 21, 2021, the Private Placement Warrants are identical to the warrants sold in connection with the Issuer's IPO, except that (i) the Private Placement Warrants (including shares of Class A common stock issuable upon exercise of the private placement warrants) will not be transferable, assignable or salable until 30 days after the completion of the Initial Business Combination (except, among other limited exceptions, to Priveterra's officers and directors, the Sponsor, or any of its or their respective permitted transferees); Read SEC document |
| January 27, 2023 Filed Feb 1, 2023 01:42 UTC | Evolus, Inc. EOLS · Entity 5341 | GrantStock Option (Right to Buy) · Derivative | 11,789 | $0.00 Strike: $10.25 | $0.00 |
DisclosureSEC source: 0001570562-23-000024 · wf-form4_167521570855640.xml · derivative · entry 3 Malik Vikram · CIK 0001730123 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,789 Underlying: Common Stock · 11,789 shares Expires 2033-01-27 F3 · derivative.exercise_date: The shares subject to the option will vest over a period of twelve months, with 1/12th of the shares subject to the option vesting monthly on the anniversary of January 27, 2023, provided the reporting person remains in continuous service on each vesting date, subject to accelerated vesting in certain events, including certain terminations of the reporting person or upon certain changes of control of the issuer. Read SEC document |
| January 27, 2023 Filed Feb 1, 2023 01:42 UTC | Evolus, Inc. EOLS · Entity 5341 | GrantCommon Stock | 8,293 | $0.00 | $0.00 |
DisclosureSEC source: 0001570562-23-000024 · wf-form4_167521570855640.xml · nonDerivative · entry 1 Malik Vikram · CIK 0001730123 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 77,585 F1 · shares: Represents shares issuable on settlement of restricted stock units ("RSUs") granted to the reporting person. Each RSU represents a contingent right to receive one share of the Issuer's common stock. The RSUs will vest in full on the one year anniversary of January 27, 2023, provided the reporting person remains in continuous service before the vesting date, subject to accelerated vesting in certain events, including upon certain changes of control of the Issuer. Read SEC document |
| January 24, 2022 Filed Jan 27, 2022 02:02 UTC | Evolus, Inc. EOLS · Entity 5341 | GrantStock Option (Right to Buy) · Derivative | 22,727 | $0.00 Strike: $5.46 | $0.00 |
DisclosureSEC source: 0001570562-22-000051 · wf-form4_164324891686588.xml · derivative · entry 2 Malik Vikram · CIK 0001730123 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,727 Underlying: Common Stock · 22,727 shares Expires 2032-01-24 F2 · derivative.exercise_date: The shares subject to the option will vest as to 1/12 of the underlying shares monthly from the vesting commencement date of January 24, 2022, provided the reporting person remains in continuous service on each vesting date, subject to accelerated vesting in certain events, including certain terminations of the reporting person or upon certain changes of control of the issuer. Read SEC document |
| January 24, 2022 Filed Jan 27, 2022 02:02 UTC | Evolus, Inc. EOLS · Entity 5341 | GrantCommon Stock | 15,568 | $0.00 | $0.00 |
DisclosureSEC source: 0001570562-22-000051 · wf-form4_164324891686588.xml · nonDerivative · entry 1 Malik Vikram · CIK 0001730123 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,292 F1 · shares: Represents shares issuable on settlement of restricted stock units ("RSUs") granted to the reporting person. Each RSU represents a contingent right to receive one share of the Issuer's common stock. The RSUs will vest in full on the one year anniversary of January 24, 2022, provided the reporting person remains in continuous service before the vesting date, subject to accelerated vesting in certain events, including upon certain changes of control of the Issuer Read SEC document |
| August 23, 2021 Filed Aug 25, 2021 22:37 UTC | Evolus, Inc. EOLS · Entity 5341 | SaleCommon Stock | 26,077 | $11.00 | $286,721.83 |
DisclosureSEC source: 0001570562-21-000167 · wf-form4_162993106421148.xml · nonDerivative · entry 1 Malik Vikram · CIK 0001730123 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,143,701 F1 · price: The shares were sold by Strathspey Crown Holdings Group, LLC ("SCH") in multiple trades at prices ranging from $10.82 to $11.21. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F2 · ownership.nature: The reported securities are directly owned by SCH and may be deemed beneficially owned by the Reporting Person as a Managing Partner of SCH. The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| August 20, 2021 Filed Aug 21, 2021 00:19 UTC | Evolus, Inc. EOLS · Entity 5341 | SaleCommon Stock | 49,878 | $10.61 | $529,315.31 |
DisclosureSEC source: 0001570562-21-000165 · wf-form4_162950516202272.xml · nonDerivative · entry 2 Malik Vikram · CIK 0001730123 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,169,778 F3 · price: The shares were sold by SCH in multiple trades at prices ranging from $10.34 to $10.97. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F2 · ownership.nature: The reported securities are directly owned by SCH and may be deemed beneficially owned by the Reporting Person as a Managing Partner of SCH. The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| August 19, 2021 Filed Aug 21, 2021 00:19 UTC | Evolus, Inc. EOLS · Entity 5341 | SaleCommon Stock | 11,962 | $10.50 | $125,555.54 |
DisclosureSEC source: 0001570562-21-000165 · wf-form4_162950516202272.xml · nonDerivative · entry 1 Malik Vikram · CIK 0001730123 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,219,656 F1 · price: The shares were sold by Strathspey Crown Holdings Group, LLC ("SCH") in multiple trades at prices ranging from $10.47 to $10.55. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F2 · ownership.nature: The reported securities are directly owned by SCH and may be deemed beneficially owned by the Reporting Person as a Managing Partner of SCH. The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| August 18, 2021 Filed Aug 19, 2021 23:01 UTC | Evolus, Inc. EOLS · Entity 5341 | SaleCommon Stock | 25,000 | $10.44 | $261,012.50 |
DisclosureSEC source: 0001570562-21-000163 · wf-form4_162941403051387.xml · nonDerivative · entry 2 Malik Vikram · CIK 0001730123 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,231,618 F3 · price: The shares were sold by SCH in multiple trades at prices ranging from $9.92 to $10.79. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F2 · ownership.nature: The reported securities are directly owned by SCH and may be deemed beneficially owned by the Reporting Person as a Managing Partner of SCH. The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| August 17, 2021 Filed Aug 19, 2021 23:01 UTC | Evolus, Inc. EOLS · Entity 5341 | SaleCommon Stock | 42,083 | $10.06 | $423,548.56 |
DisclosureSEC source: 0001570562-21-000163 · wf-form4_162941403051387.xml · nonDerivative · entry 1 Malik Vikram · CIK 0001730123 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,256,618 F1 · price: The shares were sold by Strathspey Crown Holdings Group, LLC ("SCH") in multiple trades at prices ranging from $9.90 to $10.40. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F2 · ownership.nature: The reported securities are directly owned by SCH and may be deemed beneficially owned by the Reporting Person as a Managing Partner of SCH. The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| March 26, 2021 Filed Mar 26, 2021 23:05 UTC | Evolus, Inc. EOLS · Entity 5341 | GrantCommon Stock | 18,011 | $0.00 | $0.00 |
DisclosureSEC source: 0001570562-21-000108 · wf-form4_161679989764970.xml · nonDerivative · entry 1 Malik Vikram · CIK 0001730123 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,724 F1 · shares: Represents shares issuable on settlement of restricted stock units ("RSUs") granted to the reporting person. Each RSU represents a contingent right to receive one share of the Issuer's common stock. The RSUs will vest over a period of four years, with 1/4th of the RSU vesting annually on the anniversary of March 26, 2021, provided the reporting person remains in continuous service on each vesting date, subject to accelerated vesting in certain events, including certain terminations of the reporting person or upon certain changes of control of the issuer. Read SEC document |
| February 05, 2021 Filed Feb 9, 2021 22:13 UTC | Evolus, Inc. EOLS · Entity 5341 | GrantCommon Stock | 19,313 | $0.00 | $0.00 |
DisclosureSEC source: 0001570562-21-000039 · wf-form4_161290881141578.xml · nonDerivative · entry 1 Malik Vikram · CIK 0001730123 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,713 F1 · shares: Represents shares issuable on settlement of restricted stock units ("RSUs") granted to the reporting person. Each RSU represents a contingent right to receive one share of the Issuer's common stock. The RSUs will vest in full on the one year anniversary of February 5, 2021, provided the reporting person remains in continuous service before the vesting date, subject to accelerated vesting in certain events, including upon certain changes of control of the Issuer. Read SEC document |
| January 23, 2020 Filed Jan 25, 2020 02:07 UTC | Evolus, Inc. EOLS · Entity 5341 | GrantStock Option (Right to Buy) · Derivative | 23,458 | $0.00 Strike: $10.19 | $0.00 |
DisclosureSEC source: 0001570562-20-000036 · wf-form4_157991801048284.xml · derivative · entry 1 Malik Vikram · CIK 0001730123 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,458 Underlying: Common Stock · 23,458 shares Expires 2030-01-23 F1 · derivative.exercise_date: The shares subject to the option will vest as to 1/12 of the underlying shares monthly from the vesting commencement date of January 23, 2020, provided the reporting person remains in continuous service on each vesting date, subject to accelerated vesting in certain events, including certain terminations of the reporting person or upon certain changes of control of the issuer. Read SEC document |
| June 03, 2019 Filed Jun 4, 2019 23:52 UTC | Evolus, Inc. EOLS · Entity 5341 | PurchaseCommon Stock | 1,298,701 | $19.25 | $24,999,994.25 |
DisclosureSEC source: 0001570562-19-000095 · wf-form4_155969235978393.xml · nonDerivative · entry 1 Malik Vikram · CIK 0001730123 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,298,701 F1 · shares: The acquisition of the shares of common stock referenced in this Form 4 was conducted in a private transaction between ALPHAEON Corporation ("ALPHAEON") and Strathspey Crown Holdings Group, LLC ("SCH"). SCH is the majority shareholder of ALPHAEON. The shares of common stock received by SCH are deemed "restricted securities" under Rule 144 promulgated under the Securities Act of 1933, as amended. F2 · ownership.nature: The reported securities are directly owned by SCH and may be deemed beneficially owned by the Reporting Person as a Managing Partner of SCH. The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose Read SEC document |
| January 23, 2019 Filed Jan 26, 2019 01:17 UTC | Evolus, Inc. EOLS · Entity 5341 | GrantStock Option (Right to Buy) · Derivative | 14,500 | $0.00 Strike: $16.19 | $0.00 |
DisclosureSEC source: 0001570562-19-000017 · wf-form4_154846540438935.xml · derivative · entry 1 Malik Vikram · CIK 0001730123 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,500 Underlying: Common Stock · 14,500 shares Expires 2029-01-23 F1 · derivative.exercise_date: The shares subject to the option will vest as to 1/12 of the underlying shares monthly from the vesting commencement date of January 23, 2019, provided the reporting person remains in continuous service on each vesting date, subject to accelerated vesting in certain events, including certain terminations of the reporting person or upon certain changes of control of the issuer. Read SEC document |
| December 17, 2018 Filed Dec 18, 2018 02:50 UTC | Evolus, Inc. EOLS · Entity 5341 | PurchaseCommon Stock | 7,800 | $13.04 | $101,688.60 |
DisclosureSEC source: 0001570562-18-000129 · wf-form4_154510144090151.xml · nonDerivative · entry 1 Malik Vikram · CIK 0001730123 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,400 F1 · price: The shares were purchased in multiple trades at prices ranging from $12.92 to $13.07. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| June 14, 2018 Filed Jun 15, 2018 20:27 UTC | Evolus, Inc. EOLS · Entity 5341 | PurchaseCommon Stock | 8,600 | $28.88 | $248,353.38 |
DisclosureSEC source: 0001570562-18-000057 · wf-form4_152909443160111.xml · nonDerivative · entry 1 Malik Vikram · CIK 0001730123 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,600 F1 · price: The shares were purchased in multiple trades at prices ranging from $28.83 to $28.8993. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| April 24, 2018 Filed Apr 26, 2018 17:37 UTC | Evolus, Inc. EOLS · Entity 5341 | GrantStock Option (Right to Buy) · Derivative | 9,086 | $0.00 Strike: $8.01 | $0.00 |
DisclosureSEC source: 0001570562-18-000024 · wf-form4_152476423933800.xml · derivative · entry 1 Malik Vikram · CIK 0001730123 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,086 Underlying: Common Stock · 9,086 shares Expires 2028-04-24 F1 · derivative.exercise_date: The shares subject to the option will vest over a period of two years, with 1/2 of the shares subject to the option vesting annually on the anniversary of January 6, 2018. 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.