Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CERO THERAPEUTICS HOLDINGS, INC.CERO · Entity 8622 | Director | January 07, 2026 | January 09, 2026 |
| Ocera Therapeutics, Inc.OCRX · Entity 171193 | CFO and Treasurer | December 11, 2017 | December 11, 2017 |
| eFFECTOR Therapeutics, Inc.EFTR · Entity 89916 | Chief Financial Officer | May 15, 2024 | May 17, 2024 |
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.
CERO THERAPEUTICS HOLDINGS, INC.
Report date January 07, 2026 · Filed January 09, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.06 · Expires 2036-01-06 | Direct | 690,900 |
Reported balance
After 2026-01-07 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-01-07 · Grant · Acquired 690,900 · Balance 690,900 |
Ocera Therapeutics, Inc.
Report date December 11, 2017 · Filed December 11, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2017-12-11 transaction · row 1
Sequence does not reconcile; account continuity is unresolved.
1 source rowRow 1 · 2017-12-11 · Disposition to issuer · Disposed 13,000 · Balance 0 F1: Pursuant to an Agreement and Plan of Merger, dated November 1, 2017 (the "Merger Agreement"), by and between Ocera Therapeutics, Inc., a Delaware corporation (the "Issuer"), MAK LLC, a Delaware limited liability company ("Parent"), MEH Acquisition Co., a Delaware corporation and a direct wholly-owned subsidiary of Parent ("Purchaser"), and for limited purposes, Mallinckrodt plc, an Irish public limited company and the ultimate parent entity of Parent and Purchaser ("Mallinckrodt"), Purchaser was merged with and into Issuer on December 11, 2017, with the Issuer surviving as a wholly-owned subsidiary of Parent (the "Merger"). F2: (Continued from Footnote 1) Pursuant to the terms of the Merger Agreement, all shares of common stock, $0.00001 par value per share (the "Shares"), of the Issuer outstanding immediately prior to the effective time of the Merger (the "Effective Time") , were canceled and converted automatically and without any required action on the part of the Reporting Person into the right to receive (i) $1.52 per Share in cash, without interest, plus (ii) one non-transferable contingent value right per Share (each, a "CVR"), which represents the contractual right under a contingent value rights agreement, by and among Parent, Continental Stock Transfer & Trust Company, and for limited purposes, Mallinckrodt (the "CVR Agreement"), entered into on December 7, 2017 to receive one or more payments in cash currently estimated to be up to $2.58 per Share, contingent upon the achievement of certain milestones, in each case, less any required withholding taxes. |
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2017-12-11 transaction · row 2
Sequence does not reconcile; account continuity is unresolved.
1 source rowRow 2 · 2017-12-11 · Disposition to issuer · Disposed 150,000 · Balance 0 F1: Pursuant to an Agreement and Plan of Merger, dated November 1, 2017 (the "Merger Agreement"), by and between Ocera Therapeutics, Inc., a Delaware corporation (the "Issuer"), MAK LLC, a Delaware limited liability company ("Parent"), MEH Acquisition Co., a Delaware corporation and a direct wholly-owned subsidiary of Parent ("Purchaser"), and for limited purposes, Mallinckrodt plc, an Irish public limited company and the ultimate parent entity of Parent and Purchaser ("Mallinckrodt"), Purchaser was merged with and into Issuer on December 11, 2017, with the Issuer surviving as a wholly-owned subsidiary of Parent (the "Merger"). F2: (Continued from Footnote 1) Pursuant to the terms of the Merger Agreement, all shares of common stock, $0.00001 par value per share (the "Shares"), of the Issuer outstanding immediately prior to the effective time of the Merger (the "Effective Time") , were canceled and converted automatically and without any required action on the part of the Reporting Person into the right to receive (i) $1.52 per Share in cash, without interest, plus (ii) one non-transferable contingent value right per Share (each, a "CVR"), which represents the contractual right under a contingent value rights agreement, by and among Parent, Continental Stock Transfer & Trust Company, and for limited purposes, Mallinckrodt (the "CVR Agreement"), entered into on December 7, 2017 to receive one or more payments in cash currently estimated to be up to $2.58 per Share, contingent upon the achievement of certain milestones, in each case, less any required withholding taxes. F3: At the Effective Time of the Merger, each restricted stock unit outstanding, automatically and without any required action on the part of the Reporting Person, became fully vested and canceled in exchange for a right to receive, for each share of common stock underlying the restricted stock unit, (i) an amount in cash, equal to $1.52, without interest plus (ii) one CVR, less any required withholding taxes. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.98 · Expires 2026-01-05 | Direct | 0 |
Reported balance
After 2017-12-11 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2017-12-11 · Disposition to issuer · Disposed 123,300 · Balance 0 F4: Pursuant to the terms of the Merger Agreement, each option to purchase a share of the Issuer's common stock outstanding and unexercised immediately prior to the Effective Time, whether or not vested and which had a per-share exercise price of less than the $1.52 (each, an "In the Money Option") was canceled and converted into the right of the holder of such In the Money Company Stock Option to receive, for each Share underlying such In the Money Company Stock Option, (i) an amount in cash, without interest and subject to deduction for any required withholding taxes, equal to the excess, if any, of $1.52 over the applicable exercise price for such Share, plus (ii) one CVR. F5: (Continued from Footnote 4) All other options (each, an "Out of the Money Option") that were outstanding and unexercised and whether or not vested, were canceled and converted into the right to receive one or more cash payments, if any, at each Milestone Payment Date (as defined in the CVR Agreement) equal to (i) the amount by which the Per Share Value Paid (as defined in the Merger Agreement) exceeds the exercise price payable per Share subject to such Out of the Money Option, less (ii) the amount of all payments previously paid with respect to such Out of the Money Option. Any Out of the Money Option with an exercise price per Share equal to or greater than $4.10 was cancelled without any consideration payable therefore. F6: This Out of the Money Option, which provided for vesting in 48 equal monthly installments beginning on February 6, 2016, was cancelled in connection with the Merger in exchange for the right to receive one or more cash payments, without interest and subject to deduction for any required withholding taxes, equal to (i) the amount by which the Per Share Value Paid (as defined in the Merger Agreement) exceeds $2.98, less (ii) the amount of all payments previously paid with respect to such Out of the Money Option. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $7.50 · Expires 2024-07-01 | Direct | 0 |
Reported balance
After 2017-12-11 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2017-12-11 · Disposition to issuer · Disposed 55,000 · Balance 0 F4: Pursuant to the terms of the Merger Agreement, each option to purchase a share of the Issuer's common stock outstanding and unexercised immediately prior to the Effective Time, whether or not vested and which had a per-share exercise price of less than the $1.52 (each, an "In the Money Option") was canceled and converted into the right of the holder of such In the Money Company Stock Option to receive, for each Share underlying such In the Money Company Stock Option, (i) an amount in cash, without interest and subject to deduction for any required withholding taxes, equal to the excess, if any, of $1.52 over the applicable exercise price for such Share, plus (ii) one CVR. F5: (Continued from Footnote 4) All other options (each, an "Out of the Money Option") that were outstanding and unexercised and whether or not vested, were canceled and converted into the right to receive one or more cash payments, if any, at each Milestone Payment Date (as defined in the CVR Agreement) equal to (i) the amount by which the Per Share Value Paid (as defined in the Merger Agreement) exceeds the exercise price payable per Share subject to such Out of the Money Option, less (ii) the amount of all payments previously paid with respect to such Out of the Money Option. Any Out of the Money Option with an exercise price per Share equal to or greater than $4.10 was cancelled without any consideration payable therefore. F7: This Out of the Money Option, which provided for vesting with respect to 25% of such options on June 20, 2015, with the remaining 75% of such options vesting in equal monthly installments over the next succeeding three year period, was cancelled in connection with the Merger for no consideration. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.76 · Expires 2025-06-17 | Direct | 0 |
Reported balance
After 2017-12-11 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2017-12-11 · Disposition to issuer · Disposed 75,000 · Balance 0 F4: Pursuant to the terms of the Merger Agreement, each option to purchase a share of the Issuer's common stock outstanding and unexercised immediately prior to the Effective Time, whether or not vested and which had a per-share exercise price of less than the $1.52 (each, an "In the Money Option") was canceled and converted into the right of the holder of such In the Money Company Stock Option to receive, for each Share underlying such In the Money Company Stock Option, (i) an amount in cash, without interest and subject to deduction for any required withholding taxes, equal to the excess, if any, of $1.52 over the applicable exercise price for such Share, plus (ii) one CVR. F5: (Continued from Footnote 4) All other options (each, an "Out of the Money Option") that were outstanding and unexercised and whether or not vested, were canceled and converted into the right to receive one or more cash payments, if any, at each Milestone Payment Date (as defined in the CVR Agreement) equal to (i) the amount by which the Per Share Value Paid (as defined in the Merger Agreement) exceeds the exercise price payable per Share subject to such Out of the Money Option, less (ii) the amount of all payments previously paid with respect to such Out of the Money Option. Any Out of the Money Option with an exercise price per Share equal to or greater than $4.10 was cancelled without any consideration payable therefore. F8: This Out of the Money Option, which provided for vesting with respect to 25% of such options on June 18, 2016, with the remaining 75% of such options vesting in equal monthly installments over the next succeeding three year period, was cancelled in connection with the Merger in exchange for the right to receive one or more cash payments, without interest and subject to deduction for any required withholding taxes, equal to (i) the amount by which the Per Share Value Paid (as defined in the Merger Agreement) exceeds $3.76, less (ii) the amount of all payments previously paid with respect to such Out of the Money Option. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.15 · Expires 2026-12-14 | Direct | 0 |
Reported balance
After 2017-12-11 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2017-12-11 · Disposition to issuer · Disposed 102,300 · Balance 0 F4: Pursuant to the terms of the Merger Agreement, each option to purchase a share of the Issuer's common stock outstanding and unexercised immediately prior to the Effective Time, whether or not vested and which had a per-share exercise price of less than the $1.52 (each, an "In the Money Option") was canceled and converted into the right of the holder of such In the Money Company Stock Option to receive, for each Share underlying such In the Money Company Stock Option, (i) an amount in cash, without interest and subject to deduction for any required withholding taxes, equal to the excess, if any, of $1.52 over the applicable exercise price for such Share, plus (ii) one CVR. F5: (Continued from Footnote 4) All other options (each, an "Out of the Money Option") that were outstanding and unexercised and whether or not vested, were canceled and converted into the right to receive one or more cash payments, if any, at each Milestone Payment Date (as defined in the CVR Agreement) equal to (i) the amount by which the Per Share Value Paid (as defined in the Merger Agreement) exceeds the exercise price payable per Share subject to such Out of the Money Option, less (ii) the amount of all payments previously paid with respect to such Out of the Money Option. Any Out of the Money Option with an exercise price per Share equal to or greater than $4.10 was cancelled without any consideration payable therefore. F9: This Out of the Money Option, which provided vesting in 48 equal monthly installments beginning on January15, 2017, was cancelled in connection with the Merger in exchange for the right to receive one or more cash payments, without interest and subject to deduction for any required withholding taxes, equal to (i) the amount by which the Per Share Value Paid (as defined in the Merger Agreement) exceeds $2.15, less (ii) the amount of all payments previously paid with respect to such Out of the Money Option. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $7.50 · Expires 2024-12-02 | Direct | 0 |
Reported balance
After 2017-12-11 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2017-12-11 · Disposition to issuer · Disposed 70,000 · Balance 0 F4: Pursuant to the terms of the Merger Agreement, each option to purchase a share of the Issuer's common stock outstanding and unexercised immediately prior to the Effective Time, whether or not vested and which had a per-share exercise price of less than the $1.52 (each, an "In the Money Option") was canceled and converted into the right of the holder of such In the Money Company Stock Option to receive, for each Share underlying such In the Money Company Stock Option, (i) an amount in cash, without interest and subject to deduction for any required withholding taxes, equal to the excess, if any, of $1.52 over the applicable exercise price for such Share, plus (ii) one CVR. F5: (Continued from Footnote 4) All other options (each, an "Out of the Money Option") that were outstanding and unexercised and whether or not vested, were canceled and converted into the right to receive one or more cash payments, if any, at each Milestone Payment Date (as defined in the CVR Agreement) equal to (i) the amount by which the Per Share Value Paid (as defined in the Merger Agreement) exceeds the exercise price payable per Share subject to such Out of the Money Option, less (ii) the amount of all payments previously paid with respect to such Out of the Money Option. Any Out of the Money Option with an exercise price per Share equal to or greater than $4.10 was cancelled without any consideration payable therefore. F10: This Out of the Money Option, which provided for vesting with respect to 25% of such options on December 2, 2015, with the remaining 75% of such options vesting in equal monthly installments over the next succeeding three year period, was cancelled in connection with the Merger for no consideration. |
Filing footnotes · ownership attribution and instrument terms
F1: Pursuant to an Agreement and Plan of Merger, dated November 1, 2017 (the "Merger Agreement"), by and between Ocera Therapeutics, Inc., a Delaware corporation (the "Issuer"), MAK LLC, a Delaware limited liability company ("Parent"), MEH Acquisition Co., a Delaware corporation and a direct wholly-owned subsidiary of Parent ("Purchaser"), and for limited purposes, Mallinckrodt plc, an Irish public limited company and the ultimate parent entity of Parent and Purchaser ("Mallinckrodt"), Purchaser was merged with and into Issuer on December 11, 2017, with the Issuer surviving as a wholly-owned subsidiary of Parent (the "Merger").
F2: (Continued from Footnote 1) Pursuant to the terms of the Merger Agreement, all shares of common stock, $0.00001 par value per share (the "Shares"), of the Issuer outstanding immediately prior to the effective time of the Merger (the "Effective Time") , were canceled and converted automatically and without any required action on the part of the Reporting Person into the right to receive (i) $1.52 per Share in cash, without interest, plus (ii) one non-transferable contingent value right per Share (each, a "CVR"), which represents the contractual right under a contingent value rights agreement, by and among Parent, Continental Stock Transfer & Trust Company, and for limited purposes, Mallinckrodt (the "CVR Agreement"), entered into on December 7, 2017 to receive one or more payments in cash currently estimated to be up to $2.58 per Share, contingent upon the achievement of certain milestones, in each case, less any required withholding taxes.
F3: At the Effective Time of the Merger, each restricted stock unit outstanding, automatically and without any required action on the part of the Reporting Person, became fully vested and canceled in exchange for a right to receive, for each share of common stock underlying the restricted stock unit, (i) an amount in cash, equal to $1.52, without interest plus (ii) one CVR, less any required withholding taxes.
F4: Pursuant to the terms of the Merger Agreement, each option to purchase a share of the Issuer's common stock outstanding and unexercised immediately prior to the Effective Time, whether or not vested and which had a per-share exercise price of less than the $1.52 (each, an "In the Money Option") was canceled and converted into the right of the holder of such In the Money Company Stock Option to receive, for each Share underlying such In the Money Company Stock Option, (i) an amount in cash, without interest and subject to deduction for any required withholding taxes, equal to the excess, if any, of $1.52 over the applicable exercise price for such Share, plus (ii) one CVR.
F5: (Continued from Footnote 4) All other options (each, an "Out of the Money Option") that were outstanding and unexercised and whether or not vested, were canceled and converted into the right to receive one or more cash payments, if any, at each Milestone Payment Date (as defined in the CVR Agreement) equal to (i) the amount by which the Per Share Value Paid (as defined in the Merger Agreement) exceeds the exercise price payable per Share subject to such Out of the Money Option, less (ii) the amount of all payments previously paid with respect to such Out of the Money Option. Any Out of the Money Option with an exercise price per Share equal to or greater than $4.10 was cancelled without any consideration payable therefore.
F6: This Out of the Money Option, which provided for vesting in 48 equal monthly installments beginning on February 6, 2016, was cancelled in connection with the Merger in exchange for the right to receive one or more cash payments, without interest and subject to deduction for any required withholding taxes, equal to (i) the amount by which the Per Share Value Paid (as defined in the Merger Agreement) exceeds $2.98, less (ii) the amount of all payments previously paid with respect to such Out of the Money Option.
F7: This Out of the Money Option, which provided for vesting with respect to 25% of such options on June 20, 2015, with the remaining 75% of such options vesting in equal monthly installments over the next succeeding three year period, was cancelled in connection with the Merger for no consideration.
F8: This Out of the Money Option, which provided for vesting with respect to 25% of such options on June 18, 2016, with the remaining 75% of such options vesting in equal monthly installments over the next succeeding three year period, was cancelled in connection with the Merger in exchange for the right to receive one or more cash payments, without interest and subject to deduction for any required withholding taxes, equal to (i) the amount by which the Per Share Value Paid (as defined in the Merger Agreement) exceeds $3.76, less (ii) the amount of all payments previously paid with respect to such Out of the Money Option.
F9: This Out of the Money Option, which provided vesting in 48 equal monthly installments beginning on January15, 2017, was cancelled in connection with the Merger in exchange for the right to receive one or more cash payments, without interest and subject to deduction for any required withholding taxes, equal to (i) the amount by which the Per Share Value Paid (as defined in the Merger Agreement) exceeds $2.15, less (ii) the amount of all payments previously paid with respect to such Out of the Money Option.
F10: This Out of the Money Option, which provided for vesting with respect to 25% of such options on December 2, 2015, with the remaining 75% of such options vesting in equal monthly installments over the next succeeding three year period, was cancelled in connection with the Merger for no consideration.
eFFECTOR Therapeutics, Inc.
Report date May 15, 2024 · Filed May 17, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 3,117 |
Reported balance
After 2024-05-15 transaction · row 1
1 source rowRow 1 · 2024-05-15 · Grant · Acquired 1,387 · Balance 3,117 F1: These shares were acquired under the eFFECTOR Therapeutics, Inc. 2021 Employee Stock Purchase Plan. |
Filing footnotes · ownership attribution and instrument terms
F1: These shares were acquired under the eFFECTOR Therapeutics, Inc. 2021 Employee Stock Purchase 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 07, 2026 Filed Jan 9, 2026 16:30 UTC | CERO THERAPEUTICS HOLDINGS, INC. CERO · Entity 8622 | GrantStock Option (Right to Buy) · Derivative | 690,900 | $0.00 Strike: $0.06 | $0.00 |
DisclosureSEC source: 0001213900-26-002950 · ownership.xml · derivative · entry 1 Byrnes Michael · CIK 0001619893 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 690,900 Underlying: Common Stock · 690,900 shares Expires 2036-01-06 Read SEC document |
| May 30, 2025 Filed Jun 2, 2025 17:08 UTC | CERO THERAPEUTICS HOLDINGS, INC. CERO · Entity 8622 | GrantStock Option (Right to Buy) · Derivative | 9,326 | $0.00 Strike: $0.45 | $0.00 |
DisclosureSEC source: 0001213900-25-050128 · ownership.xml · derivative · entry 1 Byrnes Michael · CIK 0001619893 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 9,326 Underlying: Common Stock · 9,326 shares Expires 2035-05-29 F1 · shares: Represents the 1/3 time-based portion of an award of options to purchase 27,979 shares, vesting in equal monthly installments on the 4th of each month from July 4, 2025 through March 4, 2026, with the remaining portion subject to performance conditions. F1 · derivative.exercise_date: Represents the 1/3 time-based portion of an award of options to purchase 27,979 shares, vesting in equal monthly installments on the 4th of each month from July 4, 2025 through March 4, 2026, with the remaining portion subject to performance conditions. Read SEC document |
| March 04, 2025 Filed Mar 6, 2025 16:16 UTC | CERO THERAPEUTICS HOLDINGS, INC. CERO · Entity 8622 | GrantStock Option (Right to Buy) · Derivative | 17,923 | $0.00 Strike: $1.43 | $0.00 |
DisclosureSEC source: 0001213900-25-021188 · ownership.xml · derivative · entry 1 Byrnes Michael · CIK 0001619893 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 17,923 Underlying: Common Stock · 17,923 shares Expires 2035-03-03 F1 · shares: Represents the 50% time-based portion of an award of options to purchase 35,846 shares, vesting on the twelve month anniversary of the grant date, with the remaining portion subject to performance conditions. F1 · derivative.exercise_date: Represents the 50% time-based portion of an award of options to purchase 35,846 shares, vesting on the twelve month anniversary of the grant date, with the remaining portion subject to performance conditions. Read SEC document |
| February 24, 2025 Filed Feb 26, 2025 17:57 UTC | CERO THERAPEUTICS HOLDINGS, INC. CERO · Entity 8622 | GrantStock Option (Right to Buy) · Derivative | 127,500 | $0.00 Strike: $0.10 | $0.00 |
DisclosureSEC source: 0001213900-25-017510 · ownership.xml · derivative · entry 1 Byrnes Michael · CIK 0001619893 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 255,000 Underlying: Common Stock · 127,500 shares Expires 2034-09-30 F1 · derivative.exercise_date: On October 1, 2024, the Reporting Person was granted an option to purchase 255,000 shares of Common Stock, which vest in two equal installments subject to the satisfaction of certain performance criteria. On February 24, 2025, the Issuer's Board of Directors confirmed that the performance criteria had been met with regards to the second installment, resulting in the vesting of 127,500 shares. Read SEC document |
| December 02, 2024 Filed Dec 4, 2024 21:11 UTC | CERO THERAPEUTICS HOLDINGS, INC. CERO · Entity 8622 | GrantStock Option (Right to Buy) · Derivative | 127,500 | $0.00 Strike: $0.10 | $0.00 |
DisclosureSEC source: 0001213900-24-105727 · ownership.xml · derivative · entry 1 Byrnes Michael · CIK 0001619893 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 127,500 Underlying: Common Stock · 127,500 shares Expires 2034-09-30 F1 · derivative.exercise_date: On October 1, 2024, the Reporting Person was granted an option to purchase 255,000 shares of Common Stock, which vest in two equal installments subject to the satisfaction of certain performance criteria. On December 2, 2024, the Issuer's Board of Directors confirmed that the performance criteria had been met with regards to one installment, resulting in the vesting of 127,500 shares. Read SEC document |
| May 15, 2024 Filed May 17, 2024 16:00 UTC | eFFECTOR Therapeutics, Inc. EFTR · Entity 89916 | GrantCommon Stock | 1,387 | $1.68 | $2,334.32 |
DisclosureSEC source: 0000950170-24-061597 · ownership.xml · nonDerivative · entry 1 Byrnes Michael · CIK 0001619893 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 3,117 F1 · shares: These shares were acquired under the eFFECTOR Therapeutics, Inc. 2021 Employee Stock Purchase Plan. Read SEC document |
| March 25, 2024 Filed Mar 27, 2024 21:24 UTC | CERO THERAPEUTICS HOLDINGS, INC. CERO · Entity 8622 | GrantStock Option (Right to Buy) · Derivative | 112,500 | $0.00 Strike: $1.77 | $0.00 |
DisclosureSEC source: 0001213900-24-026815 · ownership.xml · derivative · entry 1 Byrnes Michael · CIK 0001619893 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 112,500 Underlying: Common Stock · 112,500 shares Expires 2034-03-24 F1 · derivative.exercise_date: The shares underlying this option vest in thirty-six (36) monthly installments following the grant date, subject to the Reporting Person's continued service on each such vesting date. Read SEC document |
| February 19, 2024 Filed Feb 21, 2024 17:02 UTC | eFFECTOR Therapeutics, Inc. EFTR · Entity 89916 | GrantStock Option (Right to Buy) · Derivative | 40,000 | $0.00 Strike: $11.32 | $0.00 |
DisclosureSEC source: 0001209191-24-003680 · doc4.xml · derivative · entry 1 Byrnes Michael · CIK 0001619893 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Stock · 40,000 shares Expires 2034-02-18 F1 · derivative.exercise_date: 1/48th of the total number of shares subject to the options shall vest on each monthly anniversary of February 19, 2024 (the "Vesting Commencement Date"), subject to the Reporting Person's continuous service to the Issuer on each such vesting date, so that the options shall be fully vested on the fourth anniversary of the Vesting Commencement Date. Read SEC document |
| November 15, 2023 Filed Nov 16, 2023 17:26 UTC | eFFECTOR Therapeutics, Inc. EFTR · Entity 89916 | GrantCommon Stock | 4,524 | $0.50 | $2,249.79 |
DisclosureSEC source: 0001209191-23-055554 · doc4.xml · nonDerivative · entry 1 Byrnes Michael · CIK 0001619893 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 43,271 F1 · shares: These shares were acquired under the eFFECTOR Therapeutics, Inc. 2021 Employee Stock Purchase Plan. Read SEC document |
| May 15, 2023 Filed May 16, 2023 08:01 UTC | eFFECTOR Therapeutics, Inc. EFTR · Entity 89916 | GrantCommon Stock | 4,863 | $0.46 | $2,232.12 |
DisclosureSEC source: 0001209191-23-029643 · doc4.xml · nonDerivative · entry 1 Byrnes Michael · CIK 0001619893 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 38,747 F1 · shares: These shares were acquired under the eFFECTOR Therapeutics, Inc. 2021 Employee Stock Purchase Plan. Read SEC document |
| January 17, 2023 Filed Jan 19, 2023 17:02 UTC | eFFECTOR Therapeutics, Inc. EFTR · Entity 89916 | GrantStock Option (Right to Buy) · Derivative | 500,000 | $0.00 Strike: $0.47 | $0.00 |
DisclosureSEC source: 0001209191-23-004044 · doc4.xml · derivative · entry 1 Byrnes Michael · CIK 0001619893 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 500,000 Underlying: Common Stock · 500,000 shares Expires 2033-01-16 F1 · derivative.exercise_date: 1/48th of the total number of shares subject to the options shall vest on each monthly anniversary of January 17, 2023 (the "Vesting Commencement Date"), subject to the Reporting Person's continuous service to the Issuer on each such vesting date, so that the options shall be fully vested on the fourth anniversary of the Vesting Commencement Date. Read SEC document |
| November 15, 2022 Filed Nov 16, 2022 18:30 UTC | eFFECTOR Therapeutics, Inc. EFTR · Entity 89916 | GrantCommon Stock | 4,651 | $0.47 | $2,178.53 |
DisclosureSEC source: 0001209191-22-057381 · doc4.xml · nonDerivative · entry 1 Byrnes Michael · CIK 0001619893 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,884 F1 · shares: These shares were acquired under the eFFECTOR Therapeutics, Inc. 2021 Employee Stock Purchase Plan. Read SEC document |
| June 20, 2022 Filed Jun 22, 2022 16:17 UTC | eFFECTOR Therapeutics, Inc. EFTR · Entity 89916 | GrantStock Option (Right to Buy) · Derivative | 235,541 | $0.00 Strike: $1.49 | $0.00 |
DisclosureSEC source: 0001209191-22-038677 · doc4.xml · derivative · entry 1 Byrnes Michael · CIK 0001619893 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 235,541 Underlying: Common Stock · 235,541 shares Expires 2032-06-19 F1 · derivative.exercise_date: The stock option vests 50% on June 20, 2023, and in 12 monthly installments thereafter, subject to the Reporting Person's continued service through the applicable vesting date. Read SEC document |
| June 07, 2022 Filed Jun 7, 2022 17:30 UTC | eFFECTOR Therapeutics, Inc. EFTR · Entity 89916 | PurchaseCommon Stock | 25,000 | $1.33 | $33,262.50 |
DisclosureSEC source: 0001209191-22-034881 · doc4.xml · nonDerivative · entry 1 Byrnes Michael · CIK 0001619893 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,233 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.275 to $1.360. The reporting person undertakes to provide the Company, any security holder of the Company, 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 this footnote. Read SEC document |
| May 13, 2022 Filed May 17, 2022 20:46 UTC | eFFECTOR Therapeutics, Inc. EFTR · Entity 89916 | GrantCommon Stock | 4,233 | $1.53 | $6,476.49 |
DisclosureSEC source: 0001209191-22-029892 · doc4.xml · nonDerivative · entry 1 Byrnes Michael · CIK 0001619893 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,233 F1 · kind: These shares were acquired under the eFFECTOR Therapeutics, Inc. 2021 Employee Stock Purchase Plan. Read SEC document |
| January 20, 2022 Filed Jan 24, 2022 20:11 UTC | eFFECTOR Therapeutics, Inc. EFTR · Entity 89916 | GrantStock Option (Right to Buy) · Derivative | 235,541 | $0.00 Strike: $6.65 | $0.00 |
DisclosureSEC source: 0001209191-22-004687 · doc4.xml · derivative · entry 1 Byrnes Michael · CIK 0001619893 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 235,541 Underlying: Common Stock · 235,541 shares Expires 2032-01-19 F1 · derivative.exercise_date: 1/48th of the total number of shares subject to the options shall vest on each monthly anniversary of January 20, 2022 (the "Vesting Commencement Date"), subject to the Reporting Person's continuous service to the Issuer on each such vesting date, so that the options shall be fully vested on the fourth anniversary of the Vesting Commencement Date. Read SEC document |
| August 25, 2021 Filed Aug 27, 2021 18:01 UTC | eFFECTOR Therapeutics, Inc. EFTR · Entity 89916 | GrantEarn-out Right · Derivative | 49,790 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-053691 · doc4.xml · derivative · entry 2 Byrnes Michael · CIK 0001619893 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,790 Underlying: Common Stock · 49,790 shares Expires not disclosed F3 · derivative.exercise_price: Each earn-out right represents a contingent right to receive one share of the Issuer's common stock. Pursuant to an "Earn-Out" provision in the Merger Agreement, the earn-out rights vest upon the Issuer's common stock achieving a price per share which equals or exceeds $20.00 over at least 20 trading days out of a 30 consecutive trading day period prior to August 26, 2023. F3 · shares: Each earn-out right represents a contingent right to receive one share of the Issuer's common stock. Pursuant to an "Earn-Out" provision in the Merger Agreement, the earn-out rights vest upon the Issuer's common stock achieving a price per share which equals or exceeds $20.00 over at least 20 trading days out of a 30 consecutive trading day period prior to August 26, 2023. F3 · price: Each earn-out right represents a contingent right to receive one share of the Issuer's common stock. Pursuant to an "Earn-Out" provision in the Merger Agreement, the earn-out rights vest upon the Issuer's common stock achieving a price per share which equals or exceeds $20.00 over at least 20 trading days out of a 30 consecutive trading day period prior to August 26, 2023. F3 · derivative.exercise_date: Each earn-out right represents a contingent right to receive one share of the Issuer's common stock. Pursuant to an "Earn-Out" provision in the Merger Agreement, the earn-out rights vest upon the Issuer's common stock achieving a price per share which equals or exceeds $20.00 over at least 20 trading days out of a 30 consecutive trading day period prior to August 26, 2023. F3 · derivative.expiration_date: Each earn-out right represents a contingent right to receive one share of the Issuer's common stock. Pursuant to an "Earn-Out" provision in the Merger Agreement, the earn-out rights vest upon the Issuer's common stock achieving a price per share which equals or exceeds $20.00 over at least 20 trading days out of a 30 consecutive trading day period prior to August 26, 2023. Read SEC document |
| August 25, 2021 Filed Aug 27, 2021 18:01 UTC | eFFECTOR Therapeutics, Inc. EFTR · Entity 89916 | GrantStock Option (Right to Buy) · Derivative | 337,997 | $0.00 Strike: $2.39 | $0.00 |
DisclosureSEC source: 0001209191-21-053691 · doc4.xml · derivative · entry 1 Byrnes Michael · CIK 0001619893 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 337,997 Underlying: Common Stock · 337,997 shares Expires 2030-12-09 F1 · shares: On August 25, 2021, pursuant to that certain Agreement and Plan of Merger, dated as of May 26, 2021 (the "Merger Agreement"), by and among the Issuer (f/k/a Locust Walk Acquisition Corp.), Locust Walk Merger Sub, Inc. ("Merger Sub"), and eFFECTOR Therapeutics, Inc. ("Old eFFECTOR"), Merger Sub merged with and into Old eFFECTOR with Old eFFECTOR surviving as a wholly owned subsidiary of the Issuer (the "Merger"). Upon consummation of the Merger (the "Effective Time"), each outstanding option to purchase shares of old eFFECTOR common stock (each an "old eFFECTOR Option") was automatically cancelled and converted into an option to purchase a number of shares of common stock of the Issuer equal to (i) the number of shares of old eFFECTOR common stock subject to the applicable old eFFECTOR Option multiplied by (ii) approximately 0.09657, rounded down to the nearest whole share. F2 · derivative.exercise_date: The stock option vests 25% on December 7, 2021, and in 36 monthly installments thereafter, subject to the Reporting Person's continued service through the applicable vesting date. Read SEC document |
| December 11, 2017 Filed Dec 11, 2017 15:23 UTC | Ocera Therapeutics, Inc. OCRX · Entity 171193 | Disposition to issuerStock Option (Right to Buy) · Derivative | 70,000 | Not disclosed Strike: $7.50 | Not disclosed |
DisclosureSEC source: 0000899243-17-028418 · doc4.xml · derivative · entry 7 Byrnes Michael · CIK 0001619893 · CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 70,000 shares Expires 2024-12-02 F4 · price: Pursuant to the terms of the Merger Agreement, each option to purchase a share of the Issuer's common stock outstanding and unexercised immediately prior to the Effective Time, whether or not vested and which had a per-share exercise price of less than the $1.52 (each, an "In the Money Option") was canceled and converted into the right of the holder of such In the Money Company Stock Option to receive, for each Share underlying such In the Money Company Stock Option, (i) an amount in cash, without interest and subject to deduction for any required withholding taxes, equal to the excess, if any, of $1.52 over the applicable exercise price for such Share, plus (ii) one CVR. F5 · price: (Continued from Footnote 4) All other options (each, an "Out of the Money Option") that were outstanding and unexercised and whether or not vested, were canceled and converted into the right to receive one or more cash payments, if any, at each Milestone Payment Date (as defined in the CVR Agreement) equal to (i) the amount by which the Per Share Value Paid (as defined in the Merger Agreement) exceeds the exercise price payable per Share subject to such Out of the Money Option, less (ii) the amount of all payments previously paid with respect to such Out of the Money Option. Any Out of the Money Option with an exercise price per Share equal to or greater than $4.10 was cancelled without any consideration payable therefore. F10 · price: This Out of the Money Option, which provided for vesting with respect to 25% of such options on December 2, 2015, with the remaining 75% of such options vesting in equal monthly installments over the next succeeding three year period, was cancelled in connection with the Merger for no consideration. F4 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, each option to purchase a share of the Issuer's common stock outstanding and unexercised immediately prior to the Effective Time, whether or not vested and which had a per-share exercise price of less than the $1.52 (each, an "In the Money Option") was canceled and converted into the right of the holder of such In the Money Company Stock Option to receive, for each Share underlying such In the Money Company Stock Option, (i) an amount in cash, without interest and subject to deduction for any required withholding taxes, equal to the excess, if any, of $1.52 over the applicable exercise price for such Share, plus (ii) one CVR. F5 · derivative.exercise_date: (Continued from Footnote 4) All other options (each, an "Out of the Money Option") that were outstanding and unexercised and whether or not vested, were canceled and converted into the right to receive one or more cash payments, if any, at each Milestone Payment Date (as defined in the CVR Agreement) equal to (i) the amount by which the Per Share Value Paid (as defined in the Merger Agreement) exceeds the exercise price payable per Share subject to such Out of the Money Option, less (ii) the amount of all payments previously paid with respect to such Out of the Money Option. Any Out of the Money Option with an exercise price per Share equal to or greater than $4.10 was cancelled without any consideration payable therefore. F10 · derivative.exercise_date: This Out of the Money Option, which provided for vesting with respect to 25% of such options on December 2, 2015, with the remaining 75% of such options vesting in equal monthly installments over the next succeeding three year period, was cancelled in connection with the Merger for no consideration. Read SEC document |
| December 11, 2017 Filed Dec 11, 2017 15:23 UTC | Ocera Therapeutics, Inc. OCRX · Entity 171193 | Disposition to issuerStock Option (Right to Buy) · Derivative | 102,300 | Not disclosed Strike: $2.15 | Not disclosed |
DisclosureSEC source: 0000899243-17-028418 · doc4.xml · derivative · entry 6 Byrnes Michael · CIK 0001619893 · CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 102,300 shares Expires 2026-12-14 F4 · price: Pursuant to the terms of the Merger Agreement, each option to purchase a share of the Issuer's common stock outstanding and unexercised immediately prior to the Effective Time, whether or not vested and which had a per-share exercise price of less than the $1.52 (each, an "In the Money Option") was canceled and converted into the right of the holder of such In the Money Company Stock Option to receive, for each Share underlying such In the Money Company Stock Option, (i) an amount in cash, without interest and subject to deduction for any required withholding taxes, equal to the excess, if any, of $1.52 over the applicable exercise price for such Share, plus (ii) one CVR. F5 · price: (Continued from Footnote 4) All other options (each, an "Out of the Money Option") that were outstanding and unexercised and whether or not vested, were canceled and converted into the right to receive one or more cash payments, if any, at each Milestone Payment Date (as defined in the CVR Agreement) equal to (i) the amount by which the Per Share Value Paid (as defined in the Merger Agreement) exceeds the exercise price payable per Share subject to such Out of the Money Option, less (ii) the amount of all payments previously paid with respect to such Out of the Money Option. Any Out of the Money Option with an exercise price per Share equal to or greater than $4.10 was cancelled without any consideration payable therefore. F9 · price: This Out of the Money Option, which provided vesting in 48 equal monthly installments beginning on January15, 2017, was cancelled in connection with the Merger in exchange for the right to receive one or more cash payments, without interest and subject to deduction for any required withholding taxes, equal to (i) the amount by which the Per Share Value Paid (as defined in the Merger Agreement) exceeds $2.15, less (ii) the amount of all payments previously paid with respect to such Out of the Money Option. F4 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, each option to purchase a share of the Issuer's common stock outstanding and unexercised immediately prior to the Effective Time, whether or not vested and which had a per-share exercise price of less than the $1.52 (each, an "In the Money Option") was canceled and converted into the right of the holder of such In the Money Company Stock Option to receive, for each Share underlying such In the Money Company Stock Option, (i) an amount in cash, without interest and subject to deduction for any required withholding taxes, equal to the excess, if any, of $1.52 over the applicable exercise price for such Share, plus (ii) one CVR. F5 · derivative.exercise_date: (Continued from Footnote 4) All other options (each, an "Out of the Money Option") that were outstanding and unexercised and whether or not vested, were canceled and converted into the right to receive one or more cash payments, if any, at each Milestone Payment Date (as defined in the CVR Agreement) equal to (i) the amount by which the Per Share Value Paid (as defined in the Merger Agreement) exceeds the exercise price payable per Share subject to such Out of the Money Option, less (ii) the amount of all payments previously paid with respect to such Out of the Money Option. Any Out of the Money Option with an exercise price per Share equal to or greater than $4.10 was cancelled without any consideration payable therefore. F9 · derivative.exercise_date: This Out of the Money Option, which provided vesting in 48 equal monthly installments beginning on January15, 2017, was cancelled in connection with the Merger in exchange for the right to receive one or more cash payments, without interest and subject to deduction for any required withholding taxes, equal to (i) the amount by which the Per Share Value Paid (as defined in the Merger Agreement) exceeds $2.15, less (ii) the amount of all payments previously paid with respect to such Out of the Money Option. Read SEC document |
| December 11, 2017 Filed Dec 11, 2017 15:23 UTC | Ocera Therapeutics, Inc. OCRX · Entity 171193 | Disposition to issuerStock Option (Right to Buy) · Derivative | 75,000 | Not disclosed Strike: $3.76 | Not disclosed |
DisclosureSEC source: 0000899243-17-028418 · doc4.xml · derivative · entry 5 Byrnes Michael · CIK 0001619893 · CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 75,000 shares Expires 2025-06-17 F4 · price: Pursuant to the terms of the Merger Agreement, each option to purchase a share of the Issuer's common stock outstanding and unexercised immediately prior to the Effective Time, whether or not vested and which had a per-share exercise price of less than the $1.52 (each, an "In the Money Option") was canceled and converted into the right of the holder of such In the Money Company Stock Option to receive, for each Share underlying such In the Money Company Stock Option, (i) an amount in cash, without interest and subject to deduction for any required withholding taxes, equal to the excess, if any, of $1.52 over the applicable exercise price for such Share, plus (ii) one CVR. F5 · price: (Continued from Footnote 4) All other options (each, an "Out of the Money Option") that were outstanding and unexercised and whether or not vested, were canceled and converted into the right to receive one or more cash payments, if any, at each Milestone Payment Date (as defined in the CVR Agreement) equal to (i) the amount by which the Per Share Value Paid (as defined in the Merger Agreement) exceeds the exercise price payable per Share subject to such Out of the Money Option, less (ii) the amount of all payments previously paid with respect to such Out of the Money Option. Any Out of the Money Option with an exercise price per Share equal to or greater than $4.10 was cancelled without any consideration payable therefore. F8 · price: This Out of the Money Option, which provided for vesting with respect to 25% of such options on June 18, 2016, with the remaining 75% of such options vesting in equal monthly installments over the next succeeding three year period, was cancelled in connection with the Merger in exchange for the right to receive one or more cash payments, without interest and subject to deduction for any required withholding taxes, equal to (i) the amount by which the Per Share Value Paid (as defined in the Merger Agreement) exceeds $3.76, less (ii) the amount of all payments previously paid with respect to such Out of the Money Option. F4 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, each option to purchase a share of the Issuer's common stock outstanding and unexercised immediately prior to the Effective Time, whether or not vested and which had a per-share exercise price of less than the $1.52 (each, an "In the Money Option") was canceled and converted into the right of the holder of such In the Money Company Stock Option to receive, for each Share underlying such In the Money Company Stock Option, (i) an amount in cash, without interest and subject to deduction for any required withholding taxes, equal to the excess, if any, of $1.52 over the applicable exercise price for such Share, plus (ii) one CVR. F5 · derivative.exercise_date: (Continued from Footnote 4) All other options (each, an "Out of the Money Option") that were outstanding and unexercised and whether or not vested, were canceled and converted into the right to receive one or more cash payments, if any, at each Milestone Payment Date (as defined in the CVR Agreement) equal to (i) the amount by which the Per Share Value Paid (as defined in the Merger Agreement) exceeds the exercise price payable per Share subject to such Out of the Money Option, less (ii) the amount of all payments previously paid with respect to such Out of the Money Option. Any Out of the Money Option with an exercise price per Share equal to or greater than $4.10 was cancelled without any consideration payable therefore. F8 · derivative.exercise_date: This Out of the Money Option, which provided for vesting with respect to 25% of such options on June 18, 2016, with the remaining 75% of such options vesting in equal monthly installments over the next succeeding three year period, was cancelled in connection with the Merger in exchange for the right to receive one or more cash payments, without interest and subject to deduction for any required withholding taxes, equal to (i) the amount by which the Per Share Value Paid (as defined in the Merger Agreement) exceeds $3.76, less (ii) the amount of all payments previously paid with respect to such Out of the Money Option. Read SEC document |
| December 11, 2017 Filed Dec 11, 2017 15:23 UTC | Ocera Therapeutics, Inc. OCRX · Entity 171193 | Disposition to issuerStock Option (Right to Buy) · Derivative | 55,000 | Not disclosed Strike: $7.50 | Not disclosed |
DisclosureSEC source: 0000899243-17-028418 · doc4.xml · derivative · entry 4 Byrnes Michael · CIK 0001619893 · CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 55,000 shares Expires 2024-07-01 F4 · price: Pursuant to the terms of the Merger Agreement, each option to purchase a share of the Issuer's common stock outstanding and unexercised immediately prior to the Effective Time, whether or not vested and which had a per-share exercise price of less than the $1.52 (each, an "In the Money Option") was canceled and converted into the right of the holder of such In the Money Company Stock Option to receive, for each Share underlying such In the Money Company Stock Option, (i) an amount in cash, without interest and subject to deduction for any required withholding taxes, equal to the excess, if any, of $1.52 over the applicable exercise price for such Share, plus (ii) one CVR. F5 · price: (Continued from Footnote 4) All other options (each, an "Out of the Money Option") that were outstanding and unexercised and whether or not vested, were canceled and converted into the right to receive one or more cash payments, if any, at each Milestone Payment Date (as defined in the CVR Agreement) equal to (i) the amount by which the Per Share Value Paid (as defined in the Merger Agreement) exceeds the exercise price payable per Share subject to such Out of the Money Option, less (ii) the amount of all payments previously paid with respect to such Out of the Money Option. Any Out of the Money Option with an exercise price per Share equal to or greater than $4.10 was cancelled without any consideration payable therefore. F7 · price: This Out of the Money Option, which provided for vesting with respect to 25% of such options on June 20, 2015, with the remaining 75% of such options vesting in equal monthly installments over the next succeeding three year period, was cancelled in connection with the Merger for no consideration. F4 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, each option to purchase a share of the Issuer's common stock outstanding and unexercised immediately prior to the Effective Time, whether or not vested and which had a per-share exercise price of less than the $1.52 (each, an "In the Money Option") was canceled and converted into the right of the holder of such In the Money Company Stock Option to receive, for each Share underlying such In the Money Company Stock Option, (i) an amount in cash, without interest and subject to deduction for any required withholding taxes, equal to the excess, if any, of $1.52 over the applicable exercise price for such Share, plus (ii) one CVR. F5 · derivative.exercise_date: (Continued from Footnote 4) All other options (each, an "Out of the Money Option") that were outstanding and unexercised and whether or not vested, were canceled and converted into the right to receive one or more cash payments, if any, at each Milestone Payment Date (as defined in the CVR Agreement) equal to (i) the amount by which the Per Share Value Paid (as defined in the Merger Agreement) exceeds the exercise price payable per Share subject to such Out of the Money Option, less (ii) the amount of all payments previously paid with respect to such Out of the Money Option. Any Out of the Money Option with an exercise price per Share equal to or greater than $4.10 was cancelled without any consideration payable therefore. F7 · derivative.exercise_date: This Out of the Money Option, which provided for vesting with respect to 25% of such options on June 20, 2015, with the remaining 75% of such options vesting in equal monthly installments over the next succeeding three year period, was cancelled in connection with the Merger for no consideration. Read SEC document |
| December 11, 2017 Filed Dec 11, 2017 15:23 UTC | Ocera Therapeutics, Inc. OCRX · Entity 171193 | Disposition to issuerStock Option (Right to Buy) · Derivative | 123,300 | Not disclosed Strike: $2.98 | Not disclosed |
DisclosureSEC source: 0000899243-17-028418 · doc4.xml · derivative · entry 3 Byrnes Michael · CIK 0001619893 · CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 123,300 shares Expires 2026-01-05 F4 · price: Pursuant to the terms of the Merger Agreement, each option to purchase a share of the Issuer's common stock outstanding and unexercised immediately prior to the Effective Time, whether or not vested and which had a per-share exercise price of less than the $1.52 (each, an "In the Money Option") was canceled and converted into the right of the holder of such In the Money Company Stock Option to receive, for each Share underlying such In the Money Company Stock Option, (i) an amount in cash, without interest and subject to deduction for any required withholding taxes, equal to the excess, if any, of $1.52 over the applicable exercise price for such Share, plus (ii) one CVR. F5 · price: (Continued from Footnote 4) All other options (each, an "Out of the Money Option") that were outstanding and unexercised and whether or not vested, were canceled and converted into the right to receive one or more cash payments, if any, at each Milestone Payment Date (as defined in the CVR Agreement) equal to (i) the amount by which the Per Share Value Paid (as defined in the Merger Agreement) exceeds the exercise price payable per Share subject to such Out of the Money Option, less (ii) the amount of all payments previously paid with respect to such Out of the Money Option. Any Out of the Money Option with an exercise price per Share equal to or greater than $4.10 was cancelled without any consideration payable therefore. F6 · price: This Out of the Money Option, which provided for vesting in 48 equal monthly installments beginning on February 6, 2016, was cancelled in connection with the Merger in exchange for the right to receive one or more cash payments, without interest and subject to deduction for any required withholding taxes, equal to (i) the amount by which the Per Share Value Paid (as defined in the Merger Agreement) exceeds $2.98, less (ii) the amount of all payments previously paid with respect to such Out of the Money Option. F4 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, each option to purchase a share of the Issuer's common stock outstanding and unexercised immediately prior to the Effective Time, whether or not vested and which had a per-share exercise price of less than the $1.52 (each, an "In the Money Option") was canceled and converted into the right of the holder of such In the Money Company Stock Option to receive, for each Share underlying such In the Money Company Stock Option, (i) an amount in cash, without interest and subject to deduction for any required withholding taxes, equal to the excess, if any, of $1.52 over the applicable exercise price for such Share, plus (ii) one CVR. F5 · derivative.exercise_date: (Continued from Footnote 4) All other options (each, an "Out of the Money Option") that were outstanding and unexercised and whether or not vested, were canceled and converted into the right to receive one or more cash payments, if any, at each Milestone Payment Date (as defined in the CVR Agreement) equal to (i) the amount by which the Per Share Value Paid (as defined in the Merger Agreement) exceeds the exercise price payable per Share subject to such Out of the Money Option, less (ii) the amount of all payments previously paid with respect to such Out of the Money Option. Any Out of the Money Option with an exercise price per Share equal to or greater than $4.10 was cancelled without any consideration payable therefore. F6 · derivative.exercise_date: This Out of the Money Option, which provided for vesting in 48 equal monthly installments beginning on February 6, 2016, was cancelled in connection with the Merger in exchange for the right to receive one or more cash payments, without interest and subject to deduction for any required withholding taxes, equal to (i) the amount by which the Per Share Value Paid (as defined in the Merger Agreement) exceeds $2.98, less (ii) the amount of all payments previously paid with respect to such Out of the Money Option. Read SEC document |
| December 11, 2017 Filed Dec 11, 2017 15:23 UTC | Ocera Therapeutics, Inc. OCRX · Entity 171193 | Disposition to issuerCommon Stock | 150,000 | $1.52 | $228,000.00 |
DisclosureSEC source: 0000899243-17-028418 · doc4.xml · nonDerivative · entry 2 Byrnes Michael · CIK 0001619893 · CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · price: Pursuant to an Agreement and Plan of Merger, dated November 1, 2017 (the "Merger Agreement"), by and between Ocera Therapeutics, Inc., a Delaware corporation (the "Issuer"), MAK LLC, a Delaware limited liability company ("Parent"), MEH Acquisition Co., a Delaware corporation and a direct wholly-owned subsidiary of Parent ("Purchaser"), and for limited purposes, Mallinckrodt plc, an Irish public limited company and the ultimate parent entity of Parent and Purchaser ("Mallinckrodt"), Purchaser was merged with and into Issuer on December 11, 2017, with the Issuer surviving as a wholly-owned subsidiary of Parent (the "Merger"). F2 · price: (Continued from Footnote 1) Pursuant to the terms of the Merger Agreement, all shares of common stock, $0.00001 par value per share (the "Shares"), of the Issuer outstanding immediately prior to the effective time of the Merger (the "Effective Time") , were canceled and converted automatically and without any required action on the part of the Reporting Person into the right to receive (i) $1.52 per Share in cash, without interest, plus (ii) one non-transferable contingent value right per Share (each, a "CVR"), which represents the contractual right under a contingent value rights agreement, by and among Parent, Continental Stock Transfer & Trust Company, and for limited purposes, Mallinckrodt (the "CVR Agreement"), entered into on December 7, 2017 to receive one or more payments in cash currently estimated to be up to $2.58 per Share, contingent upon the achievement of certain milestones, in each case, less any required withholding taxes. F3 · price: At the Effective Time of the Merger, each restricted stock unit outstanding, automatically and without any required action on the part of the Reporting Person, became fully vested and canceled in exchange for a right to receive, for each share of common stock underlying the restricted stock unit, (i) an amount in cash, equal to $1.52, without interest plus (ii) one CVR, less any required withholding taxes. Read SEC document |
| December 11, 2017 Filed Dec 11, 2017 15:23 UTC | Ocera Therapeutics, Inc. OCRX · Entity 171193 | Disposition to issuerCommon Stock | 13,000 | $1.52 | $19,760.00 |
DisclosureSEC source: 0000899243-17-028418 · doc4.xml · nonDerivative · entry 1 Byrnes Michael · CIK 0001619893 · CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · price: Pursuant to an Agreement and Plan of Merger, dated November 1, 2017 (the "Merger Agreement"), by and between Ocera Therapeutics, Inc., a Delaware corporation (the "Issuer"), MAK LLC, a Delaware limited liability company ("Parent"), MEH Acquisition Co., a Delaware corporation and a direct wholly-owned subsidiary of Parent ("Purchaser"), and for limited purposes, Mallinckrodt plc, an Irish public limited company and the ultimate parent entity of Parent and Purchaser ("Mallinckrodt"), Purchaser was merged with and into Issuer on December 11, 2017, with the Issuer surviving as a wholly-owned subsidiary of Parent (the "Merger"). F2 · price: (Continued from Footnote 1) Pursuant to the terms of the Merger Agreement, all shares of common stock, $0.00001 par value per share (the "Shares"), of the Issuer outstanding immediately prior to the effective time of the Merger (the "Effective Time") , were canceled and converted automatically and without any required action on the part of the Reporting Person into the right to receive (i) $1.52 per Share in cash, without interest, plus (ii) one non-transferable contingent value right per Share (each, a "CVR"), which represents the contractual right under a contingent value rights agreement, by and among Parent, Continental Stock Transfer & Trust Company, and for limited purposes, Mallinckrodt (the "CVR Agreement"), entered into on December 7, 2017 to receive one or more payments in cash currently estimated to be up to $2.58 per Share, contingent upon the achievement of certain milestones, in each case, less any required withholding taxes. Read SEC document |
| March 29, 2017 Filed Mar 30, 2017 17:16 UTC | Ocera Therapeutics, Inc. OCRX · Entity 171193 | GrantCommon Stock | 150,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001274644-17-000023 · wf-form4_149090857141894.xml · nonDerivative · entry 1 Byrnes Michael · CIK 0001619893 · CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 163,000 F1 · shares: These shares represent Restricted Stock Units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock. 50% of the RSUs shall vest on December 31, 2017, if the recipient is employed by or providing services to the Issuer on such date, and the remaining 50% of the RSUs shall vest on December 31, 2018, if the recipient is employed by or providing services to the Issuer on such date. Read SEC document |
| March 28, 2017 Filed Mar 28, 2017 16:06 UTC | Ocera Therapeutics, Inc. OCRX · Entity 171193 | PurchaseCommon Stock | 3,000 | $1.28 | $3,854.40 |
DisclosureSEC source: 0001274644-17-000016 · wf-form4_149073158027908.xml · nonDerivative · entry 1 Byrnes Michael · CIK 0001619893 · CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,000 Read SEC document |
| December 15, 2016 Filed Dec 16, 2016 16:40 UTC | Ocera Therapeutics, Inc. OCRX · Entity 171193 | GrantStock Option (Right to Buy) · Derivative | 102,300 | $0.00 Strike: $2.15 | $0.00 |
DisclosureSEC source: 0001274644-16-000162 · wf-form4_148192438943982.xml · derivative · entry 1 Byrnes Michael · CIK 0001619893 · CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 102,300 Underlying: Common Stock · 102,300 shares Expires 2026-12-14 F1 · security: Option to purchase Common Stock granted by the Issuer pursuant to the Issuer's Fourth Amended and Restated 2011 Stock Option and Incentive Plan (the "Plan"), qualified under Rule 16b-3(d). F2 · derivative.exercise_date: The option shall vest and become exercisable in 48 equal monthly installments beginning on January 15, 2017, subject to the Reporting Person's continued service to the Issuer through each such date. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.