Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| EyePoint, Inc.EYPT · Entity 5702 | Director | February 28, 2020 | March 03, 2020 |
| LISATA THERAPEUTICS, INC.LSTA · Entity 7814 | Director · President & CEO | January 09, 2026 | January 13, 2026 |
| PALISADE BIO, INC.SNCA · Entity 5803 | Director | April 01, 2021 | April 26, 2021 |
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.
EyePoint, Inc.
Report date February 28, 2020 · Filed March 03, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Restricted Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 19,000 |
Reported balance
After 2020-02-28 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2020-02-28 · Grant · Acquired 19,000 · Balance 19,000 F1: Will fully vest on the one-year anniversary of the grant date. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.29 · Expires 2030-02-28 | Direct | 33,500 |
Reported balance
After 2020-02-28 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2020-02-28 · Grant · Acquired 33,500 · Balance 33,500 |
Filing footnotes · ownership attribution and instrument terms
F1: Will fully vest on the one-year anniversary of the grant date.
LISATA THERAPEUTICS, INC.
Report date January 09, 2026 · Filed January 13, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 311,890 |
Last balance in matching sequence
After 2026-01-09 transaction · row 5
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
5 source rowsRow 1 · 2026-01-09 · Grant · Acquired 81,000 · Balance 352,986 F1: Represents 81,000 restricted stock awards granted under the Issuer's 2018 Equity Incentive Compensation Plan. The restricted stock awards vest in four equal installments, with one-fourth of the shares vesting on the date of grant and an additional one-fourth vesting on each of the first, second and third annual anniversaries of the grant date. F2: Includes 124,750 unvested restricted stock. Row 2 · 2026-01-09 · Tax withholding · Disposed 10,503 · Balance 342,483 F3: Shares withheld as payment of a tax liability on vesting of restricted stock. F2: Includes 124,750 unvested restricted stock. Row 3 · 2026-01-09 · Tax withholding · Disposed 10,515 · Balance 331,968 F3: Shares withheld as payment of a tax liability on vesting of restricted stock. F2: Includes 124,750 unvested restricted stock. Row 4 · 2026-01-09 · Tax withholding · Disposed 12,224 · Balance 319,744 F3: Shares withheld as payment of a tax liability on vesting of restricted stock. F2: Includes 124,750 unvested restricted stock. Row 5 · 2026-01-09 · Tax withholding · Disposed 7,854 · Balance 311,890 F3: Shares withheld as payment of a tax liability on vesting of restricted stock. F2: Includes 124,750 unvested restricted stock. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.97 · Expires 2036-01-09 | Direct | 40,000 |
Reported balance
After 2026-01-09 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2026-01-09 · Grant · Acquired 40,000 · Balance 40,000 F4: One-fourth of the shares underlying the stock options vest immediately on the grant date, with an additional one-fourth vesting on each of the first, second and third anniversaries of the grant date. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents 81,000 restricted stock awards granted under the Issuer's 2018 Equity Incentive Compensation Plan. The restricted stock awards vest in four equal installments, with one-fourth of the shares vesting on the date of grant and an additional one-fourth vesting on each of the first, second and third annual anniversaries of the grant date.
F2: Includes 124,750 unvested restricted stock.
F3: Shares withheld as payment of a tax liability on vesting of restricted stock.
F4: One-fourth of the shares underlying the stock options vest immediately on the grant date, with an additional one-fourth vesting on each of the first, second and third anniversaries of the grant date.
PALISADE BIO, INC.
Report date April 01, 2021 · Filed April 26, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 6,000 |
Reported balance
After 2021-04-01 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2021-04-01 · Grant · Acquired 6,000 · Balance 6,000 F1: Represents partial compensation for services as a director of the Issuer for the board year commencing on April 1, 2021 and ending March 31, 2022. Provided the Reporting Person is a service provider to the Issuer at the time of vesting, the RSU's will vest in equal quarterly amounts on 6/30/21, 9/30/21, 12/31/21, and 3/31/22. F2: Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents partial compensation for services as a director of the Issuer for the board year commencing on April 1, 2021 and ending March 31, 2022. Provided the Reporting Person is a service provider to the Issuer at the time of vesting, the RSU's will vest in equal quarterly amounts on 6/30/21, 9/30/21, 12/31/21, and 3/31/22.
F2: Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.
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 08, 2020 Filed Jan 9, 2020 21:04 UTC | LISATA THERAPEUTICS, INC. CLBS · Entity 7814 | Tax withholdingCommon Stock | 4,522 | $2.83 | $12,797.26 |
DisclosureSEC source: 0001334549-20-000003 · wf-form4_157860387597878.xml · nonDerivative · entry 1 Mazzo David J · CIK 0001334549 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 153,010 F1 · balance_after: Includes 43,575 unvested restricted stock. Read SEC document |
| October 09, 2019 Filed Oct 11, 2019 22:13 UTC | EyePoint, Inc. EYPT · Entity 5702 | Exercise / conversionStock Option (Right to Buy) · Derivative | 33,333 | $0.00 Strike: $1.95 | $0.00 |
DisclosureSEC source: 0001562180-19-005150 · primarydocument.xml · derivative · entry 2 Mazzo David J · CIK 0001334549 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 33,333 shares Expires 2028-06-21 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| October 09, 2019 Filed Oct 11, 2019 22:13 UTC | EyePoint, Inc. EYPT · Entity 5702 | Exercise / conversionCommon Stock | 33,333 | $1.95 | $64,999.35 |
DisclosureSEC source: 0001562180-19-005150 · primarydocument.xml · nonDerivative · entry 1 Mazzo David J · CIK 0001334549 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 200,083 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| September 06, 2019 Filed Sep 10, 2019 12:46 UTC | EyePoint, Inc. EYPT · Entity 5702 | Exercise / conversionDeferred Stock Unit · Derivative | 417 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001562180-19-004701 · primarydocument.xml · derivative · entry 2 Mazzo David J · CIK 0001334549 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 417 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. F2 · derivative.exercise_price: On September 6, 2018, the reporting person was granted 417 DSUs. The DSUs vested in full on September 6, 2019 and will be settled solely in shares of the Company's common stock upon the earliest to occur of: (i) the reporting person's termination of service on the Company's Board of Directors and (ii) the occurrence of a "change in control" (as defined in the applicable award agreement) that constitutes a "change in the ownership or effective control of" the Company or "a change in the ownership of a substantial portion of the assets of" the Company, in each case, as determined under Section 409A of the Internal Revenue Code of 1986, as amended, and the regulations issued thereunder. F2 · derivative.exercise_date: On September 6, 2018, the reporting person was granted 417 DSUs. The DSUs vested in full on September 6, 2019 and will be settled solely in shares of the Company's common stock upon the earliest to occur of: (i) the reporting person's termination of service on the Company's Board of Directors and (ii) the occurrence of a "change in control" (as defined in the applicable award agreement) that constitutes a "change in the ownership or effective control of" the Company or "a change in the ownership of a substantial portion of the assets of" the Company, in each case, as determined under Section 409A of the Internal Revenue Code of 1986, as amended, and the regulations issued thereunder. F2 · derivative.expiration_date: On September 6, 2018, the reporting person was granted 417 DSUs. The DSUs vested in full on September 6, 2019 and will be settled solely in shares of the Company's common stock upon the earliest to occur of: (i) the reporting person's termination of service on the Company's Board of Directors and (ii) the occurrence of a "change in control" (as defined in the applicable award agreement) that constitutes a "change in the ownership or effective control of" the Company or "a change in the ownership of a substantial portion of the assets of" the Company, in each case, as determined under Section 409A of the Internal Revenue Code of 1986, as amended, and the regulations issued thereunder. Read SEC document |
| September 06, 2019 Filed Sep 10, 2019 12:46 UTC | EyePoint, Inc. EYPT · Entity 5702 | Exercise / conversionCommon Stock | 417 | $0.00 | $0.00 |
DisclosureSEC source: 0001562180-19-004701 · primarydocument.xml · nonDerivative · entry 1 Mazzo David J · CIK 0001334549 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 166,750 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 · kind: Represents vesting of deferred stock units ("DSUs") previously awarded to the reporting person, with each deferred stock unit representing the right to receive one share of the common stock of EyePoint Pharmaceuticals, Inc. (the "Company"). Read SEC document |
| July 01, 2019 Filed Jul 3, 2019 21:34 UTC | PALISADE BIO, INC. CUR · Entity 5803 | GrantCommon Stock Purchase Option · Derivative | 187,510 | $0.00 Strike: $0.30 | $0.00 |
DisclosureSEC source: 0001171843-19-004416 · ownership.xml · derivative · entry 1 Mazzo David J · CIK 0001334549 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 187,510 Underlying: Common Stock · 187,510 shares Expires 2029-07-01 F1 · security: Represents 50% of compensatory Annual Grant for director services equal to $50,000. The options vest quarterly on 9/30/19, 12/31/19, 3/31/20, and 6/30/20. F1 · derivative.exercise_date: Represents 50% of compensatory Annual Grant for director services equal to $50,000. The options vest quarterly on 9/30/19, 12/31/19, 3/31/20, and 6/30/20. Read SEC document |
| July 01, 2019 Filed Oct 11, 2019 23:27 UTC Amendment | PALISADE BIO, INC. CUR · Entity 5803 | GrantCommon Stock Purchase Option · Derivative | 10,106 | $0.00 Strike: $6.00 | $0.00 |
DisclosureSEC source: 0001171843-19-006482 · ownership.xml · derivative · entry 1 Mazzo David J · CIK 0001334549 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,106 Underlying: Common Stock · 10,106 shares Expires 2029-07-01 F1 · security: Represents 50% of compensatory Annual Grant for director services equal to $50,000. The options vest quarterly on 9/30/19, 12/31/19, 3/31/20, and 6/30/20. F3 · security: This amendment is being filed to correct a scrivener's error with regard to the option amount previously reported. F2 · derivative.exercise_price: All exercise prices and share amounts reported in this Form 4/A reflect a 1-for-20 reverse split that occurred on July 17, 2019. F2 · shares: All exercise prices and share amounts reported in this Form 4/A reflect a 1-for-20 reverse split that occurred on July 17, 2019. F3 · shares: This amendment is being filed to correct a scrivener's error with regard to the option amount previously reported. F1 · derivative.exercise_date: Represents 50% of compensatory Annual Grant for director services equal to $50,000. The options vest quarterly on 9/30/19, 12/31/19, 3/31/20, and 6/30/20. Read SEC document |
| June 25, 2019 Filed Jun 27, 2019 20:52 UTC | EyePoint, Inc. EYPT · Entity 5702 | GrantStock Option (Right to Buy) · Derivative | 40,000 | $0.00 Strike: $2.65 | $0.00 |
DisclosureSEC source: 0001562180-19-003668 · primarydocument.xml · derivative · entry 1 Mazzo David J · CIK 0001334549 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Stock · 40,000 shares Expires 2029-02-21 Read SEC document |
| June 21, 2019 Filed Jun 24, 2019 20:30 UTC | EyePoint, Inc. EYPT · Entity 5702 | Exercise / conversionDeferred Stock Units · Derivative | 8,333 | $0.00 | $0.00 |
DisclosureSEC source: 0001562180-19-003629 · primarydocument.xml · derivative · entry 2 Mazzo David J · CIK 0001334549 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 8,333 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. F2 · derivative.exercise_price: On June 21, 2018, the reporting person was granted 8,333 DSUs. The DSUs vested in full on June 21, 2019 and will be settled solely in shares of the Company's common stock upon the earliest to occur of: (i) the reporting person's termination of service on the Company's Board of Directors and (ii) the occurrence of a "change in control" (as defined in the applicable award agreement) that constitutes a "change in the ownership or effective control of" the Company or "a change in the ownership of a substantial portion of the assets of" the Company, in each case, as determined under Section 409A of the Internal Revenue Code of 1986, as amended, and the regulations issued thereunder. F2 · derivative.exercise_date: On June 21, 2018, the reporting person was granted 8,333 DSUs. The DSUs vested in full on June 21, 2019 and will be settled solely in shares of the Company's common stock upon the earliest to occur of: (i) the reporting person's termination of service on the Company's Board of Directors and (ii) the occurrence of a "change in control" (as defined in the applicable award agreement) that constitutes a "change in the ownership or effective control of" the Company or "a change in the ownership of a substantial portion of the assets of" the Company, in each case, as determined under Section 409A of the Internal Revenue Code of 1986, as amended, and the regulations issued thereunder. F2 · derivative.expiration_date: On June 21, 2018, the reporting person was granted 8,333 DSUs. The DSUs vested in full on June 21, 2019 and will be settled solely in shares of the Company's common stock upon the earliest to occur of: (i) the reporting person's termination of service on the Company's Board of Directors and (ii) the occurrence of a "change in control" (as defined in the applicable award agreement) that constitutes a "change in the ownership or effective control of" the Company or "a change in the ownership of a substantial portion of the assets of" the Company, in each case, as determined under Section 409A of the Internal Revenue Code of 1986, as amended, and the regulations issued thereunder. Read SEC document |
| June 21, 2019 Filed Jun 24, 2019 20:30 UTC | EyePoint, Inc. EYPT · Entity 5702 | Exercise / conversionCommon Stock | 8,333 | $0.00 | $0.00 |
DisclosureSEC source: 0001562180-19-003629 · primarydocument.xml · nonDerivative · entry 1 Mazzo David J · CIK 0001334549 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 166,333 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 · kind: Represents vesting of deferred stock units ("DSUs") previously awarded to the reporting person, with each deferred stock unit representing the right to receive one share of the common stock of EyePoint Pharmaceuticals, Inc. (the "Company"). Read SEC document |
| March 29, 2019 Filed Apr 1, 2019 12:21 UTC | EyePoint, Inc. EYPT · Entity 5702 | Exercise / conversionStock Option (Right to Buy) · Derivative | 20,000 | $0.00 Strike: $1.77 | $0.00 |
DisclosureSEC source: 0001562180-19-002054 · primarydocument.xml · derivative · entry 2 Mazzo David J · CIK 0001334549 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 20,000 shares Expires 2027-06-27 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| March 29, 2019 Filed Apr 1, 2019 12:21 UTC | EyePoint, Inc. EYPT · Entity 5702 | Exercise / conversionCommon Stock | 20,000 | $1.77 | $35,400.00 |
DisclosureSEC source: 0001562180-19-002054 · primarydocument.xml · nonDerivative · entry 1 Mazzo David J · CIK 0001334549 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 158,000 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| January 14, 2019 Filed Jan 16, 2019 21:19 UTC | LISATA THERAPEUTICS, INC. CLBS · Entity 7814 | GrantStock Options (Right to Buy) · Derivative | 71,000 | $0.00 Strike: $4.95 | $0.00 |
DisclosureSEC source: 0001334549-19-000011 · wf-form4_154767356597582.xml · derivative · entry 3 Mazzo David J · CIK 0001334549 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 71,000 Underlying: Common Stock · 71,000 shares Expires 2029-01-14 F3 · derivative.exercise_date: One-fourth of the shares underlying the stock options vest immediately on the grant date, with an additional one-fourth vesting on each of the first, second and third annual anniversaries of the grant date. Read SEC document |
| January 14, 2019 Filed Jan 16, 2019 21:19 UTC | LISATA THERAPEUTICS, INC. CLBS · Entity 7814 | Tax withholdingCommon Stock | 6,301 | $0.00 | $0.00 |
DisclosureSEC source: 0001334549-19-000011 · wf-form4_154767356597582.xml · nonDerivative · entry 2 Mazzo David J · CIK 0001334549 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 151,405 F2 · balance_after: Includes 51,900 unvested restricted stock awards. Read SEC document |
| January 14, 2019 Filed Jan 16, 2019 21:19 UTC | LISATA THERAPEUTICS, INC. CLBS · Entity 7814 | GrantCommon Stock | 47,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001334549-19-000011 · wf-form4_154767356597582.xml · nonDerivative · entry 1 Mazzo David J · CIK 0001334549 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 157,706 F1 · shares: Represents 47,000 restricted stock awards granted under the Issuer's 2018 Equity Incentive Compensation Plan. The restricted stock awards vest in four equal installments, with one-fourth of the shares vesting on the date of grant and an additional one-fourth vesting on each of the first, second and third annual anniversaries of the grant date. Read SEC document |
| January 08, 2019 Filed Jan 10, 2019 17:39 UTC | LISATA THERAPEUTICS, INC. CLBS · Entity 7814 | Tax withholdingCommon Stock | 4,478 | $4.64 | $20,777.92 |
DisclosureSEC source: 0001334549-19-000008 · wf-form4_154714197464567.xml · nonDerivative · entry 1 Mazzo David J · CIK 0001334549 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 110,706 F1 · balance_after: Includes 16,650 shares of unvested restricted stock. Read SEC document |
| September 06, 2018 Filed Sep 10, 2018 23:06 UTC | EyePoint, Inc. EYPT · Entity 5702 | GrantDeferred Stock Units · Derivative | 417 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-024157 · doc4.xml · derivative · entry 2 Mazzo David J · CIK 0001334549 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 417 Underlying: Common Stock · 417 shares Expires not disclosed F1 · derivative.exercise_price: Each deferred stock unit represents the right to receive one share of the common stock of EyePoint Pharmaceuticals, Inc. (the "Company"). F2 · derivative.expiration_date: Subsequent to the vesting of the deferred stock units, the deferred stock units will be settled in shares of the Company's common stock upon the earliest to occur of: (i) the reporting person's termination of service on the Company's Board of Directors and (ii) the occurrence of a "change in control" (as defined in the applicable award agreement) that constitutes a "change in the ownership or effective control of" the Company or "a change in the ownership of a substantial portion of the assets of" the Company, in each case, as determined under Section 409A of the Internal Revenue Code of 1986, as amended, and the regulations issued thereunder. Read SEC document |
| September 06, 2018 Filed Sep 10, 2018 23:06 UTC | EyePoint, Inc. EYPT · Entity 5702 | GrantEmployee Stock Option (right to buy) · Derivative | 1,667 | $0.00 Strike: $2.32 | $0.00 |
DisclosureSEC source: 0000899243-18-024157 · doc4.xml · derivative · entry 1 Mazzo David J · CIK 0001334549 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,667 Underlying: Common Stock · 1,667 shares Expires 2028-09-06 Read SEC document |
| June 27, 2018 Filed Jun 29, 2018 20:01 UTC | EyePoint, Inc. EYPT · Entity 5702 | Exercise / conversionDeferred Stock Units · Derivative | 17,500 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-018712 · doc4.xml · derivative · entry 2 Mazzo David J · CIK 0001334549 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 17,500 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. F2 · derivative.exercise_price: On December 15, 2017, the reporting person was granted 17,500 DSUs. The DSUs vested in full on June 27, 2018 and will be settled solely in shares of the Company's common stock upon the earliest to occur of: (i) the reporting person's termination of service on the Company's Board of Directors and (ii) the occurrence of a "change in control" (as defined in the applicable award agreement) that constitutes a "change in the ownership or effective control of" the Company or "a change in the ownership of a substantial portion of the assets of" the Company, in each case, as determined under Section 409A of the Internal Revenue Code of 1986, as amended, and the regulations issued thereunder. F2 · derivative.exercise_date: On December 15, 2017, the reporting person was granted 17,500 DSUs. The DSUs vested in full on June 27, 2018 and will be settled solely in shares of the Company's common stock upon the earliest to occur of: (i) the reporting person's termination of service on the Company's Board of Directors and (ii) the occurrence of a "change in control" (as defined in the applicable award agreement) that constitutes a "change in the ownership or effective control of" the Company or "a change in the ownership of a substantial portion of the assets of" the Company, in each case, as determined under Section 409A of the Internal Revenue Code of 1986, as amended, and the regulations issued thereunder. F2 · derivative.expiration_date: On December 15, 2017, the reporting person was granted 17,500 DSUs. The DSUs vested in full on June 27, 2018 and will be settled solely in shares of the Company's common stock upon the earliest to occur of: (i) the reporting person's termination of service on the Company's Board of Directors and (ii) the occurrence of a "change in control" (as defined in the applicable award agreement) that constitutes a "change in the ownership or effective control of" the Company or "a change in the ownership of a substantial portion of the assets of" the Company, in each case, as determined under Section 409A of the Internal Revenue Code of 1986, as amended, and the regulations issued thereunder. Read SEC document |
| June 27, 2018 Filed Jun 29, 2018 20:01 UTC | EyePoint, Inc. EYPT · Entity 5702 | Exercise / conversionCommon Stock | 17,500 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-018712 · doc4.xml · nonDerivative · entry 1 Mazzo David J · CIK 0001334549 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 138,000 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 · kind: Represents vesting of deferred stock units ("DSUs") previously awarded to the reporting person, with each deferred stock unit representing the right to receive one share of the common stock of EyePoint Pharmaceuticals, Inc. (the "Company"). Read SEC document |
| June 21, 2018 Filed Jun 26, 2018 18:09 UTC | EyePoint, Inc. EYPT · Entity 5702 | GrantDeferred Stock Units · Derivative | 8,333 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-018093 · doc4.xml · derivative · entry 2 Mazzo David J · CIK 0001334549 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,333 Underlying: Common Stock · 8,333 shares Expires not disclosed F1 · derivative.exercise_price: Each deferred stock unit represents the right to receive one share of the common stock of EyePoint Pharmaceuticals, Inc. (the "Company"). F2 · derivative.expiration_date: Subsequent to the vesting of the deferred stock units, the deferred stock units will be settled in shares of the Company's common stock upon the earliest to occur of: (i) the reporting person's termination of service on the Company's Board of Directors and (ii) the occurrence of a "change in control" (as defined in the applicable award agreement) that constitutes a "change in the ownership or effective control of" the Company or "a change in the ownership of a substantial portion of the assets of" the Company, in each case, as determined under Section 409A of the Internal Revenue Code of 1986, as amended, and the regulations issued thereunder. Read SEC document |
| June 21, 2018 Filed Jun 26, 2018 18:09 UTC | EyePoint, Inc. EYPT · Entity 5702 | GrantEmployee Stock Option (right to buy) · Derivative | 33,333 | $0.00 Strike: $1.95 | $0.00 |
DisclosureSEC source: 0000899243-18-018093 · doc4.xml · derivative · entry 1 Mazzo David J · CIK 0001334549 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,333 Underlying: Common Stock · 33,333 shares Expires 2028-06-21 Read SEC document |
| June 20, 2018 Filed Jun 21, 2018 20:22 UTC | LISATA THERAPEUTICS, INC. CLBS · Entity 7814 | Tax withholdingCommon Stock | 16,091 | $8.64 | $139,026.24 |
DisclosureSEC source: 0000320017-18-000074 · wf-form4_152961250303775.xml · nonDerivative · entry 2 Mazzo David J · CIK 0001334549 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 109,453 F2 · balance_after: Includes 24,975 shares of unvested restricted stock. Read SEC document |
| June 20, 2018 Filed Jun 21, 2018 20:22 UTC | LISATA THERAPEUTICS, INC. CLBS · Entity 7814 | GrantCommon Stock | 33,300 | $8.64 | $287,712.00 |
DisclosureSEC source: 0000320017-18-000074 · wf-form4_152961250303775.xml · nonDerivative · entry 1 Mazzo David J · CIK 0001334549 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 125,544 F1 · balance_after: Reflects 33,300 in performance rights, the criteria for which was satisfied on April 6, 2018 and which vested in full on June 20, 2018, when the shareholders voted to approve the new 2018 Equity Incentive Compensation Plan. Read SEC document |
| April 20, 2018 Filed Apr 24, 2018 20:00 UTC | EyePoint, Inc. EYPT · Entity 5702 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 120,000 | $0.00 Strike: $1.13 | $0.00 |
DisclosureSEC source: 0000899243-18-010649 · doc4.xml · derivative · entry 2 Mazzo David J · CIK 0001334549 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 120,000 shares Expires 2018-11-18 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| April 20, 2018 Filed Apr 24, 2018 20:00 UTC | EyePoint, Inc. EYPT · Entity 5702 | Exercise / conversionCommon Stock | 120,000 | $1.13 | $135,600.00 |
DisclosureSEC source: 0000899243-18-010649 · doc4.xml · nonDerivative · entry 1 Mazzo David J · CIK 0001334549 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 120,500 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| April 06, 2018 Filed Apr 10, 2018 22:59 UTC | LISATA THERAPEUTICS, INC. CLBS · Entity 7814 | GrantPerformance Rights · Derivative | 33,300 | $0.00 | $0.00 |
DisclosureSEC source: 0001144204-18-020002 · tv490823_4.xml · derivative · entry 1 Mazzo David J · CIK 0001334549 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,300 Underlying: Common Stock · 33,300 shares Expires not disclosed F1 · derivative.exercise_price: Each performance right represents a contingent right to receive one share of common stock of the Issuer. F2 · derivative.exercise_date: The performance criteria was satisfied on April 6, 2018 and the performance right shall vest in full on the date of stockholder approval of a new or amended equity plan provided that such approval is obtained on or prior to August 30, 2018 and if not obtained by such date this performance right shall terminate (the "Vesting Date"). F2 · derivative.expiration_date: The performance criteria was satisfied on April 6, 2018 and the performance right shall vest in full on the date of stockholder approval of a new or amended equity plan provided that such approval is obtained on or prior to August 30, 2018 and if not obtained by such date this performance right shall terminate (the "Vesting Date"). Read SEC document |
| January 08, 2018 Filed Jan 10, 2018 21:07 UTC | LISATA THERAPEUTICS, INC. CLBS · Entity 7814 | GrantStock Option · Derivative | 50,000 | $0.00 Strike: $3.79 | $0.00 |
DisclosureSEC source: 0001144204-18-001704 · tv483053_4.xml · derivative · entry 3 Mazzo David J · CIK 0001334549 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2028-01-08 F3 · derivative.exercise_date: One-third of the shares underlying the stock options vest immediately on the grant date, with an additional one-third vesting on each of the first and second anniversaries of the grant date. Read SEC document |
| January 08, 2018 Filed Jan 10, 2018 21:07 UTC | LISATA THERAPEUTICS, INC. CLBS · Entity 7814 | Tax withholdingCommon Stock | 4,462 | $0.00 | $0.00 |
DisclosureSEC source: 0001144204-18-001704 · tv483053_4.xml · nonDerivative · entry 2 Mazzo David J · CIK 0001334549 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 92,244 F2 · balance_after: Includes 67,269 shares of unvested restricted stock. Read SEC document |
| January 08, 2018 Filed Jan 10, 2018 21:07 UTC | LISATA THERAPEUTICS, INC. CLBS · Entity 7814 | GrantCommon Stock | 33,300 | $0.00 | $0.00 |
DisclosureSEC source: 0001144204-18-001704 · tv483053_4.xml · nonDerivative · entry 1 Mazzo David J · CIK 0001334549 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 96,706 F1 · shares: Represents 33,300 shares of restricted stock granted under the Issuer's 2015 Equity Compensation Plan. The restricted stock vests in three equal installments, with one-third of the shares vesting on the date of grant and an additional one-third vesting on each of the first and second anniversaries of the grant date. F2 · balance_after: Includes 67,269 shares of unvested restricted stock. Read SEC document |
| December 15, 2017 Filed Dec 19, 2017 21:08 UTC | EyePoint, Inc. PSDV · Entity 5702 | GrantDeferred Stock Units · Derivative | 17,500 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-029159 · doc4.xml · derivative · entry 2 Mazzo David J · CIK 0001334549 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,500 Underlying: Common Stock · 17,500 shares Expires not disclosed F1 · derivative.exercise_price: Each deferred stock unit represents the right to receive one share of the common stock of pSivida Corp. (the "Company"). F2 · derivative.expiration_date: Subsequent to the vesting of the deferred stock units, the deferred stock units will be settled in shares of the Company's common stock upon the earliest to occur of: (i) the reporting person's termination of service on the Company's Board of Directors and (ii) the occurrence of a "change in control" (as defined in the applicable award agreement) that constitutes a "change in the ownership or effective control of" the Company or "a change in the ownership of a substantial portion of the assets of" the Company, in each case, as determined under Section 409A of the Internal Revenue Code of 1986, as amended, and the regulations issued thereunder. Read SEC document |
| December 15, 2017 Filed Dec 19, 2017 21:08 UTC | EyePoint, Inc. PSDV · Entity 5702 | GrantEmployee Stock Option (right to buy) · Derivative | 20,000 | $0.00 Strike: $1.77 | $0.00 |
DisclosureSEC source: 0000899243-17-029159 · doc4.xml · derivative · entry 1 Mazzo David J · CIK 0001334549 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2027-06-27 Read SEC document |
| May 18, 2017 Filed May 22, 2017 20:30 UTC | LISATA THERAPEUTICS, INC. CLBS · Entity 7814 | Tax withholdingCommon Stock | 17,778 | $5.13 | $91,201.14 |
DisclosureSEC source: 0001144204-17-028886 · v467616_4.xml · nonDerivative · entry 1 Mazzo David J · CIK 0001334549 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,551 Read SEC document |
| April 25, 2017 Filed Apr 27, 2017 20:19 UTC | LISATA THERAPEUTICS, INC. CLBS · Entity 7814 | Tax withholdingCommon Stock | 690 | $4.74 | $3,270.60 |
DisclosureSEC source: 0001144204-17-022656 · v465291_form4.xml · nonDerivative · entry 1 Mazzo David J · CIK 0001334549 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 74,329 F1 · balance_after: Includes 36,785 shares of unvested restricted stock. Read SEC document |
| January 25, 2017 Filed Jan 27, 2017 22:06 UTC | LISATA THERAPEUTICS, INC. CLBS · Entity 7814 | Tax withholdingCommon Stock | 761 | $3.87 | $2,945.07 |
DisclosureSEC source: 0001144204-17-004362 · v457630_4.xml · nonDerivative · entry 1 Mazzo David J · CIK 0001334549 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,019 F1 · balance_after: Includes 38,613 shares of unvested restricted stock. Read SEC document |
| January 09, 2017 Filed Jan 11, 2017 22:50 UTC | LISATA THERAPEUTICS, INC. CLBS · Entity 7814 | GrantStock Option · Derivative | 50,000 | $0.00 Strike: $3.54 | $0.00 |
DisclosureSEC source: 0001144204-17-001862 · v456764_4.xml · derivative · entry 3 Mazzo David J · CIK 0001334549 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Stock · 50,000 shares Expires 2027-01-09 F3 · security: 25% of the shares underlying the stock options vest immediately on the grant date and the remaining 75% of the shares underlying the stock options will vest annually over the following three years. Read SEC document |
| January 09, 2017 Filed Jan 11, 2017 22:50 UTC | LISATA THERAPEUTICS, INC. CLBS · Entity 7814 | Tax withholdingCommon Stock | 4,758 | $3.54 | $16,843.32 |
DisclosureSEC source: 0001144204-17-001862 · v456764_4.xml · nonDerivative · entry 2 Mazzo David J · CIK 0001334549 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,780 F2 · balance_after: Includes 39,943 shares of unvested restricted stock. Read SEC document |
| January 09, 2017 Filed Jan 11, 2017 22:50 UTC | LISATA THERAPEUTICS, INC. CLBS · Entity 7814 | GrantCommon Stock | 33,300 | $0.00 | $0.00 |
DisclosureSEC source: 0001144204-17-001862 · v456764_4.xml · nonDerivative · entry 1 Mazzo David J · CIK 0001334549 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,538 F1 · shares: Represents 33,300 shares of restricted stock granted under the Issuer's 2015 Equity Compensation Plan. 25% of the shares of restricted stock vest immediately on the grant date and the remaining 75% of the shares of restricted stock will vest annually over the following three years. F2 · balance_after: Includes 39,943 shares of unvested restricted stock. Read SEC document |
| December 12, 2016 Filed Dec 14, 2016 17:57 UTC | EyePoint, Inc. PSDV · Entity 5702 | GrantEmployee Stock Option (right to buy) · Derivative | 30,000 | $0.00 Strike: $3.49 | $0.00 |
DisclosureSEC source: 0000899243-16-035511 · doc4.xml · derivative · entry 1 Mazzo David J · CIK 0001334549 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 Underlying: Common Stock · 30,000 shares Expires 2026-07-21 Read SEC document |
| October 25, 2016 Filed Nov 10, 2016 21:06 UTC | LISATA THERAPEUTICS, INC. CLBS · Entity 7814 | Tax withholdingCommon Stock | 457 | $4.12 | $1,882.84 |
DisclosureSEC source: 0001144204-16-133276 · v452729_4.xml · nonDerivative · entry 1 Mazzo David J · CIK 0001334549 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,238 F1 · balance_after: Includes 15,468 shares of unvested restricted stock. Read SEC document |
| September 29, 2016 Filed Sep 30, 2016 20:31 UTC | LISATA THERAPEUTICS, INC. CLBS · Entity 7814 | GrantStock Option · Derivative | 50,919 | $0.00 Strike: $4.77 | $0.00 |
DisclosureSEC source: 0001144204-16-126313 · v449792_4.xml · derivative · entry 1 Mazzo David J · CIK 0001334549 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,919 Underlying: Common Stock · 50,919 shares Expires 2026-09-29 F1 · security: These stock options were granted upon the Company's Compensation Committee approval on September 29, 2016, in consideration of the unpaid portion of the reporting person's discretionary 2015 target bonus. 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.