Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ACHIEVE LIFE SCIENCES, INC.ACHV · Entity 5072 | Chief Financial Officer | January 28, 2025 | January 30, 2026 |
| AYTU BIOPHARMA, INCAYTU · Entity 7560 | Chief Financial Officer | August 11, 2023 | August 15, 2023 |
| VIVUS INCVVUS · Entity 151460 | Chief Financial Officer & CAO | January 29, 2020 | January 31, 2020 |
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.
ACHIEVE LIFE SCIENCES, INC.
Report date January 28, 2025 · Filed January 30, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $4.36 · Expires 2036-01-28 | Direct | 180,000 |
Reported balance
After 2026-01-28 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-01-28 · Grant · Acquired 180,000 · Balance 180,000 F1: The option will vest as to 1/4 of the total award on the first anniversary of January 28, 2026, and thereafter in substantially equal monthly installments over 36 months, subject to the Reporting Person's provision of service to the Issuer on each vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: The option will vest as to 1/4 of the total award on the first anniversary of January 28, 2026, and thereafter in substantially equal monthly installments over 36 months, subject to the Reporting Person's provision of service to the Issuer on each vesting date.
AYTU BIOPHARMA, INC
Report date August 11, 2023 · Filed August 15, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Employee Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.73 · Expires 2033-08-12 | Direct | 13,000 |
Reported balance
After 2023-08-11 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2023-08-11 · Grant · Acquired 13,000 · Balance 13,000 F1: The options vest as follows: 1/3 on August 11, 2024, with the remaining options vesting in 24 equal monthly installments beginning September 11, 2024. |
Filing footnotes · ownership attribution and instrument terms
F1: The options vest as follows: 1/3 on August 11, 2024, with the remaining options vesting in 24 equal monthly installments beginning September 11, 2024.
VIVUS INC
Report date January 29, 2020 · Filed January 31, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Employee Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.21 | Direct | 32,000 |
Reported balance
After 2020-01-29 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2020-01-29 · Grant · Acquired 32,000 · Balance 32,000 F1: (i) One-half of the total number of shares subject to the stock option will vest and become exercisable over four years, such that one-fourth of such shares will vest and become exercisable on January 29, 2021 and an additional one forty-eighth of such shares will vest and become exercisable monthly thereafter over a period of three years following the first anniversary of the date of grant, subject to the reporting person continuing to be a Service Provider (as defined in the Issuer's 2018 Equity Incentive Plan) on the relevant vesting dates; and (ii) one-half of the total number of shares subject to the stock option will vest and become exercisable upon the achievement of both: (a) satisfaction of a performance target involving the Issuer's enterprise value and (b) the passage of at least two years from the date of grant, subject to the reporting person continuing to be a Service Provider upon the achievement of the later of (a) and (b). F2: The option expires on the earlier of (a) January 29, 2027 and (b) the twelve (12) month anniversary of the date the reporting person ceases to be a Service Provider (as defined in the Issuer's 2018 Equity Incentive Plan). |
Filing footnotes · ownership attribution and instrument terms
F1: (i) One-half of the total number of shares subject to the stock option will vest and become exercisable over four years, such that one-fourth of such shares will vest and become exercisable on January 29, 2021 and an additional one forty-eighth of such shares will vest and become exercisable monthly thereafter over a period of three years following the first anniversary of the date of grant, subject to the reporting person continuing to be a Service Provider (as defined in the Issuer's 2018 Equity Incentive Plan) on the relevant vesting dates; and (ii) one-half of the total number of shares subject to the stock option will vest and become exercisable upon the achievement of both: (a) satisfaction of a performance target involving the Issuer's enterprise value and (b) the passage of at least two years from the date of grant, subject to the reporting person continuing to be a Service Provider upon the achievement of the later of (a) and (b).
F2: The option expires on the earlier of (a) January 29, 2027 and (b) the twelve (12) month anniversary of the date the reporting person ceases to be a Service Provider (as defined in the Issuer's 2018 Equity Incentive Plan).
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 |
|---|---|---|---|---|---|---|
| January 28, 2026 Filed Jan 30, 2026 21:09 UTC | ACHIEVE LIFE SCIENCES, INC. ACHV · Entity 5072 | GrantStock Option (right to buy) · Derivative | 180,000 | $0.00 Strike: $4.36 | $0.00 |
DisclosureSEC source: 0001193125-26-031801 · ownership.xml · derivative · entry 1 Oki Mark K · CIK 0001491847 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 180,000 Underlying: Common Stock · 180,000 shares Expires 2036-01-28 F1 · derivative.exercise_date: The option will vest as to 1/4 of the total award on the first anniversary of January 28, 2026, and thereafter in substantially equal monthly installments over 36 months, subject to the Reporting Person's provision of service to the Issuer on each vesting date. Read SEC document |
| September 18, 2025 Filed Sep 22, 2025 20:31 UTC | ACHIEVE LIFE SCIENCES, INC. ACHV · Entity 5072 | Exercise / conversionPerformance Restricted Stock Unit (PRSU) · Derivative | 168,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001193125-25-211404 · ownership.xml · derivative · entry 3 Oki Mark K · CIK 0001491847 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 168,000 shares Expires 2028-12-06 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_price: Each PRSU represents a contingent right to receive one share of the issuer's common stock at settlement. F5 · derivative.exercise_date: Pursuant to the terms of the award agreement governing the PRSU, the total number of shares underlying the PRSU vest on the achievement of one of certain milestones. Read SEC document |
| September 18, 2025 Filed Sep 22, 2025 20:31 UTC | ACHIEVE LIFE SCIENCES, INC. ACHV · Entity 5072 | SaleCommon Stock | 50,060 | $2.92 | $146,175.20 |
DisclosureSEC source: 0001193125-25-211404 · ownership.xml · nonDerivative · entry 2 Oki Mark K · CIK 0001491847 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 127,940 F2 · shares: Represents shares of common stock that have been sold by the Reporting Person to satisfy income tax withholding and remittance obligations in connection with the net settlement of the PRSUs. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.83 to $3.02 per share, inclusive. The reporting person hereby undertakes to provide to the Issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| September 18, 2025 Filed Sep 22, 2025 20:31 UTC | ACHIEVE LIFE SCIENCES, INC. ACHV · Entity 5072 | Exercise / conversionCommon Stock | 168,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001193125-25-211404 · ownership.xml · nonDerivative · entry 1 Oki Mark K · CIK 0001491847 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 178,000 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 · shares: Represents shares of common stock acquired upon settlement of the performance restricted stock units ("PRSUs") listed in Table II. Read SEC document |
| September 04, 2025 Filed Sep 8, 2025 21:10 UTC | ACHIEVE LIFE SCIENCES, INC. ACHV · Entity 5072 | GrantPerformance Restricted Stock Unit · Derivative | 168,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000950170-25-113606 · ownership.xml · derivative · entry 1 Oki Mark K · CIK 0001491847 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 168,000 shares Expires 2028-12-06 F1 · security: Represents performance restricted stock units ("PRSUs") previously reported on December 9, 2024 that were earned by the Reporting Person upon the achievement of certain performance criteria as certified by the Compensation Committee of the Issuer's Board of Directors. F2 · derivative.exercise_price: Each PRSU represents a contingent right to receive one share of the issuer's common stock at settlement. F3 · derivative.exercise_date: Pursuant to the terms of the award agreement governing the PRSU, the total number of shares underlying the PRSU vest on the achievement of one of certain milestones. Read SEC document |
| March 17, 2025 Filed Mar 19, 2025 20:38 UTC | ACHIEVE LIFE SCIENCES, INC. ACHV · Entity 5072 | PurchaseCommon Stock | 10,000 | $2.89 | $28,887.00 |
DisclosureSEC source: 0000950170-25-042074 · ownership.xml · nonDerivative · entry 1 Oki Mark K · CIK 0001491847 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 10,000 F1 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.85 to $2.9387 per share, inclusive. The Rreporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| December 06, 2024 Filed Dec 9, 2024 21:39 UTC | ACHIEVE LIFE SCIENCES, INC. ACHV · Entity 5072 | GrantPerformance Restricted Stock Unit (PRSU) · Derivative | 168,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000950170-24-134600 · ownership.xml · derivative · entry 2 Oki Mark K · CIK 0001491847 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 168,000 Underlying: Common Stock · 168,000 shares Expires 2028-12-06 F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock at settlement. F3 · derivative.exercise_date: Pursuant to the terms of the award agreement governing the PRSU, the total number of shares underlying the PRSU vest on the achievement of one of certain milestones being met. The PRSUs will lapse in full if achievement of at least one of the milestones is not met. Read SEC document |
| December 06, 2024 Filed Dec 9, 2024 21:39 UTC | ACHIEVE LIFE SCIENCES, INC. ACHV · Entity 5072 | GrantCommon Stock Options (right to buy) · Derivative | 72,000 | $0.00 Strike: $4.52 | $0.00 |
DisclosureSEC source: 0000950170-24-134600 · ownership.xml · derivative · entry 1 Oki Mark K · CIK 0001491847 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 72,000 Underlying: Common Stock · 72,000 shares Expires 2034-12-06 F1 · derivative.exercise_date: The options vest one-third on the first anniversay of December 5, 2024 and thereafter in monthly installments over 24 months. Read SEC document |
| August 11, 2023 Filed Aug 15, 2023 19:28 UTC | AYTU BIOPHARMA, INC AYTU · Entity 7560 | GrantEmployee Stock Option (Right to Buy) · Derivative | 13,000 | $0.00 Strike: $1.73 | $0.00 |
DisclosureSEC source: 0000912282-23-000296 · form4.xml · derivative · entry 1 Oki Mark K · CIK 0001491847 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 13,000 Underlying: Common Shares · 13,000 shares Expires 2033-08-12 F1 · derivative.exercise_date: The options vest as follows: 1/3 on August 11, 2024, with the remaining options vesting in 24 equal monthly installments beginning September 11, 2024. Read SEC document |
| November 18, 2022 Filed Nov 21, 2022 09:30 UTC | AYTU BIOPHARMA, INC AYTU · Entity 7560 | GrantCommon Shares | 90,000 | $0.23 | $20,700.00 |
DisclosureSEC source: 0001654954-22-015598 · section16.xml · nonDerivative · entry 1 Oki Mark K · CIK 0001491847 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 190,000 Read SEC document |
| November 18, 2022 Filed Nov 28, 2022 16:30 UTC Amendment | AYTU BIOPHARMA, INC AYTU · Entity 7560 | PurchaseCommon Shares | 90,000 | $0.23 | $20,700.00 |
DisclosureSEC source: 0001567619-22-020920 · doc1.xml · nonDerivative · entry 1 Oki Mark K · CIK 0001491847 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 190,000 Read SEC document |
| January 17, 2022 Filed Jan 19, 2022 11:42 UTC | AYTU BIOPHARMA, INC AYTU · Entity 7560 | GrantCommon Shares | 100,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001567619-22-001304 · doc1.xml · nonDerivative · entry 1 Oki Mark K · CIK 0001491847 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 F1 · shares: Restricted share grant. One-third of the restricted shares shall vest on January 17, 2023; the remaining restricted shares shall vest quarterly thereafter, at 1/12th of the original grant, with full vesting on January 17, 2025. Read SEC document |
| January 29, 2020 Filed Jan 31, 2020 17:25 UTC | VIVUS INC VVUS · Entity 151460 | GrantEmployee Stock Option (right to buy) · Derivative | 32,000 | $0.00 Strike: $2.21 | $0.00 |
DisclosureSEC source: 0001123292-20-000198 · edgar.xml · derivative · entry 1 Oki Mark K · CIK 0001491847 · Chief Financial Officer & CAO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,000 Underlying: Common Stock · 32,000 shares Expires not disclosed F1 · derivative.exercise_date: (i) One-half of the total number of shares subject to the stock option will vest and become exercisable over four years, such that one-fourth of such shares will vest and become exercisable on January 29, 2021 and an additional one forty-eighth of such shares will vest and become exercisable monthly thereafter over a period of three years following the first anniversary of the date of grant, subject to the reporting person continuing to be a Service Provider (as defined in the Issuer's 2018 Equity Incentive Plan) on the relevant vesting dates; and (ii) one-half of the total number of shares subject to the stock option will vest and become exercisable upon the achievement of both: (a) satisfaction of a performance target involving the Issuer's enterprise value and (b) the passage of at least two years from the date of grant, subject to the reporting person continuing to be a Service Provider upon the achievement of the later of (a) and (b). F2 · derivative.expiration_date: The option expires on the earlier of (a) January 29, 2027 and (b) the twelve (12) month anniversary of the date the reporting person ceases to be a Service Provider (as defined in the Issuer's 2018 Equity Incentive Plan). Read SEC document |
| November 14, 2019 Filed Nov 18, 2019 16:51 UTC | VIVUS INC VVUS · Entity 151460 | GrantCommon Stock | 700 | $2.38 | $1,666.00 |
DisclosureSEC source: 0001123292-19-001282 · edgar.xml · nonDerivative · entry 1 Oki Mark K · CIK 0001491847 · SVP, CFO, CAO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,100 F1 · kind: The shares were acquired under the VIVUS, Inc. 1994 Employee Stock Purchase Plan on November 14, 2019. F2 · price: The price reported in Column 4 has been rounded to the nearest cent. Read SEC document |
| May 14, 2019 Filed May 15, 2019 16:59 UTC | VIVUS INC VVUS · Entity 151460 | GrantCommon Stock | 700 | $2.84 | $1,988.00 |
DisclosureSEC source: 0001123292-19-000774 · edgar.xml · nonDerivative · entry 1 Oki Mark K · CIK 0001491847 · SVP, CFO, CAO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,400 F1 · kind: The shares were acquired under the VIVUS, Inc. 1994 Employee Stock Purchase Plan on May 14, 2019. F2 · price: The price reported in Column 4 has been rounded to the nearest cent. Read SEC document |
| January 23, 2019 Filed Jan 25, 2019 20:07 UTC | VIVUS INC VVUS · Entity 151460 | GrantEmployee Stock Option (right to buy) · Derivative | 32,000 | $0.00 Strike: $4.05 | $0.00 |
DisclosureSEC source: 0001123292-19-000203 · edgar.xml · derivative · entry 1 Oki Mark K · CIK 0001491847 · Chief Financial Officer & CAO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,000 Underlying: Common Stock · 32,000 shares Expires not disclosed F1 · derivative.exercise_date: One-fourth (1/4th) of the total number of shares underlying the option vest on January 23, 2020, and one forty-eighth (1/48th) of the total number of shares underlying the option vest on the last day of each month thereafter, subject to the reporting person continuing to be a Service Provider (as defined in the Issuer's 2018 Equity Incentive Plan) on the relevant vesting dates. F2 · derivative.expiration_date: The option expires on the earlier of (a) January 23, 2026 and (b) the twelve (12) month anniversary of the date the reporting person ceases to be a Service Provider (as defined in the Issuer's 2018 Equity Incentive Plan). Read SEC document |
| November 14, 2018 Filed Nov 16, 2018 16:14 UTC | VIVUS INC VVUS · Entity 151460 | GrantCommon Stock | 700 | $2.71 | $1,897.00 |
DisclosureSEC source: 0001123292-18-001066 · edgar.xml · nonDerivative · entry 1 Oki Mark K · CIK 0001491847 · Chief Financial Officer & CAO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,700 F1 · kind: The shares were acquired under the VIVUS, Inc. Employee Stock Purchase Plan on November 14, 2018. Read SEC document |
| November 06, 2018 Filed Nov 7, 2018 16:10 UTC | VIVUS INC VVUS · Entity 151460 | PurchaseCommon Stock | 10,000 | $4.07 | $40,700.00 |
DisclosureSEC source: 0001123292-18-001056 · edgar.xml · nonDerivative · entry 1 Oki Mark K · CIK 0001491847 · Chief Financial Officer & CAO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 F1 · price: This is the weighted average purchase price. Shares were purchased in multiple transactions at prices ranging from $4.068 to $4.090. 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 purchased at each separate price within the range set forth in footnote (1) to this Form 4. Read SEC document |
| April 30, 2018 Filed May 2, 2018 19:51 UTC | VIVUS INC VVUS · Entity 151460 | GrantEmployee Stock Option (right to buy) · Derivative | 200,000 | $0.00 Strike: $0.37 | $0.00 |
DisclosureSEC source: 0001123292-18-000678 · edgar.xml · derivative · entry 1 Oki Mark K · CIK 0001491847 · Chief Financial Officer & CAO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 200,000 Underlying: Common Stock · 200,000 shares Expires not disclosed F1 · derivative.exercise_date: The total number of shares underlying the option will vest subject to satisfaction of a performance target involving the Issuer's market capitalization on or prior to April 30, 2021 and the reporting person continuing to be a Service Provider (as defined in the Issuer's 2010 Equity Incentive Plan) upon satisfaction of such target. F2 · derivative.expiration_date: The option expires on the earlier of (a) April 30, 2025 and (b) the twelve (12) month anniversary of the date the reporting person ceases to be a Service Provider (as defined in the Issuer's 2010 Equity Incentive Plan). Read SEC document |
| February 02, 2018 Filed Feb 6, 2018 16:30 UTC | VIVUS INC VVUS · Entity 151460 | GrantEmployee Stock Option (right to buy) · Derivative | 350,000 | $0.00 Strike: $0.40 | $0.00 |
DisclosureSEC source: 0001123292-18-000266 · edgar.xml · derivative · entry 1 Oki Mark K · CIK 0001491847 · Chief Financial Officer & CAO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 350,000 Underlying: Common Stock · 350,000 shares Expires not disclosed F1 · derivative.exercise_date: One fourth (1/4th) of the total number of shares underlying the option vest on February 2, 2019, and one forty-eighth (1/48th) of the total number of shares underlying the option vest on the last day of each month thereafter, subject to the reporting person continuing to be a Service Provider (as defined in the Issuer's 2010 Equity Incentive Plan) on the relevant vesting dates. F2 · derivative.expiration_date: The option expires on the earlier of (a) February 2, 2025 and (b) the twelve (12) month anniversary of the date the reporting person ceases to be a Service Provider (as defined in the Issuer's 2010 Equity Incentive Plan). Read SEC document |
| January 27, 2017 Filed Jan 31, 2017 18:44 UTC | VIVUS INC VVUS · Entity 151460 | GrantEmployee Stock Option (right to buy) · Derivative | 385,000 | $0.00 Strike: $1.12 | $0.00 |
DisclosureSEC source: 0001123292-17-000301 · edgar.xml · derivative · entry 1 Oki Mark K · CIK 0001491847 · Chief Financial Officer & CAO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 385,000 Underlying: Common Stock · 385,000 shares Expires 2024-01-27 F1 · derivative.exercise_date: Twenty-five percent (25%) of the total number of shares underlying the option will vest and become exercisable on January 27, 2018, and one forty-eighth (1/48th) of the total number of shares underlying the option will vest on the 27th of each month thereafter, subject to the reporting person continuing to be a Service Provider (as defined in the Issuer's 2010 Equity Incentive Plan) on the relevant vesting dates. 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.