Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ALX ONCOLOGY HOLDINGS INCALXO · Entity 6040 | CHIEF FINANCIAL OFFICER | August 14, 2024 | August 16, 2024 |
| PDL BIOPHARMA, INC.PDLI · Entity 143144 | Vice President, CFO | March 28, 2019 | April 16, 2019 |
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.
ALX ONCOLOGY HOLDINGS INC
Report date August 14, 2024 · Filed August 16, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 121,516 |
Reported balance
After 2024-08-14 transaction · row 1
1 source rowRow 1 · 2024-08-14 · Tax withholding · Disposed 761 · Balance 121,516 F1: The shares were withheld to satisfy the reporting person's tax liability in connection with the vesting of restricted stock units, or RSUs. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares were withheld to satisfy the reporting person's tax liability in connection with the vesting of restricted stock units, or RSUs.
PDL BIOPHARMA, INC.
Report date March 28, 2019 · Filed April 16, 2019 · Amendment
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.72 · Expires 2029-03-28 | Direct | 641,025 |
Reported balance
After 2019-03-28 transaction · row 1
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 1 · 2019-03-28 · Grant · Acquired 641,025 · Balance 641,025 F1: The number of shares included in the original April 1, 2019 Form 4 filing was incorrect and the Company is filing this amendment to correct the number of shares in the award grant. F2: The stock options will vest as follows: (a) 25% of the shares subject to the option shall vest on the one year anniversary of January 1, 2019 and (b) 75% of the shares subject to the option shall vest on a monthly basis pro rata over the thirty-six (36) months following the one year anniversary of January 1, 2019, provided that the recipient's continuous service has not terminated prior to the applicable vesting date, subject to earlier vesting upon a change in control and certain qualifying terminations of employment provided in the severance agreement between the issuer and the recipient. |
Filing footnotes · ownership attribution and instrument terms
F1: The number of shares included in the original April 1, 2019 Form 4 filing was incorrect and the Company is filing this amendment to correct the number of shares in the award grant.
F2: The stock options will vest as follows: (a) 25% of the shares subject to the option shall vest on the one year anniversary of January 1, 2019 and (b) 75% of the shares subject to the option shall vest on a monthly basis pro rata over the thirty-six (36) months following the one year anniversary of January 1, 2019, provided that the recipient's continuous service has not terminated prior to the applicable vesting date, subject to earlier vesting upon a change in control and certain qualifying terminations of employment provided in the severance agreement between the issuer and the recipient.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
DURECT CORP
Report date September 11, 2025 · Filed September 12, 2025
Section 16 reporting ended · disclosed 2025-09-12. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2025-09-11 transaction · row 1
1 source rowRow 1 · 2025-09-11 · Other · Disposed 12,500 · Balance 0 F1: In connection with the terms of an Agreement and Plan of Merger, dated as of July 28, 2025 (as amended, the "Merger Agreement"), by and among the Issuer, Bausch Health Americas, Inc. ("Parent"), BHC Lyon Merger Sub, Inc., a direct wholly owned subsidiary of Parent ("Purchaser"), and solely for the purposes of Section 6.10 of the Merger Agreement, Bausch Health Companies Inc. ("BHC"), Purchaser completed a tender offer for shares of the Issuer's Common Stock. F2: (Continued from footnote 1) Tendering stockholders received a consideration of $1.75 per share, net to the seller of such shares in cash, without interest thereon and less any applicable withholding taxes (the "Cash Amount"), plus one non-tradeable contingent value right per share, representing the contractual right to receive the pro rata portion, in cash, of two milestone payments of up to $350,000,000 in the aggregate, minus any amount actually paid to option holders under a retention plan in respect of the applicable milestone, in each case, without interest thereon and less any applicable withholding taxes, upon achievement of the specified milestones. After completion of the tender offer, Purchaser merged with and into the Issuer (the "Merger"), effective as of September 11, 2025 (the "Effective Time"), with the Issuer continuing as the surviving entity and a wholly owned subsidiary of Parent. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $9.80 · Expires 2031-12-13 | Direct | 0 |
Reported balance
After 2025-09-11 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2025-09-11 · Disposition to issuer · Disposed 7,000 · Balance 0 F3: Pursuant to the terms of the Merger Agreement, prior to the expiration of the tender offer, the vesting or payment of each option to purchase shares outstanding under the Issuer's 2000 Stock Plan, as amended (the "Issuer Stock Plan") (each, an "Issuer Option"), that had a per share exercise price that was less than the Cash Amount was accelerated. With respect to the shares received upon exercise of such accelerated Issuer Options prior to the Effective Time, all such shares were treated identically with all other shares in connection with the tender offer and the Merger. F4: (Continued from footnote 3) At the Effective Time, each Issuer Option that had a per share exercise price that was equal to or greater than the Cash Amount, and that was unexercised immediately prior to the Effective Time, was canceled in connection with the Merger. Following the cancellation of each such Issuer Option, each former holder of such Issuer Option is eligible to receive a cash retention bonus subject to the achievement of certain net sales milestones, pursuant to a retention plan approved by the compensation committee of the Issuer's Board of Directors. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.46 · Expires 2032-06-15 | Direct | 0 |
Reported balance
After 2025-09-11 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2025-09-11 · Disposition to issuer · Disposed 5,500 · Balance 0 F3: Pursuant to the terms of the Merger Agreement, prior to the expiration of the tender offer, the vesting or payment of each option to purchase shares outstanding under the Issuer's 2000 Stock Plan, as amended (the "Issuer Stock Plan") (each, an "Issuer Option"), that had a per share exercise price that was less than the Cash Amount was accelerated. With respect to the shares received upon exercise of such accelerated Issuer Options prior to the Effective Time, all such shares were treated identically with all other shares in connection with the tender offer and the Merger. F4: (Continued from footnote 3) At the Effective Time, each Issuer Option that had a per share exercise price that was equal to or greater than the Cash Amount, and that was unexercised immediately prior to the Effective Time, was canceled in connection with the Merger. Following the cancellation of each such Issuer Option, each former holder of such Issuer Option is eligible to receive a cash retention bonus subject to the achievement of certain net sales milestones, pursuant to a retention plan approved by the compensation committee of the Issuer's Board of Directors. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.29 · Expires 2033-06-21 | Direct | 0 |
Reported balance
After 2025-09-11 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2025-09-11 · Disposition to issuer · Disposed 5,500 · Balance 0 F3: Pursuant to the terms of the Merger Agreement, prior to the expiration of the tender offer, the vesting or payment of each option to purchase shares outstanding under the Issuer's 2000 Stock Plan, as amended (the "Issuer Stock Plan") (each, an "Issuer Option"), that had a per share exercise price that was less than the Cash Amount was accelerated. With respect to the shares received upon exercise of such accelerated Issuer Options prior to the Effective Time, all such shares were treated identically with all other shares in connection with the tender offer and the Merger. F4: (Continued from footnote 3) At the Effective Time, each Issuer Option that had a per share exercise price that was equal to or greater than the Cash Amount, and that was unexercised immediately prior to the Effective Time, was canceled in connection with the Merger. Following the cancellation of each such Issuer Option, each former holder of such Issuer Option is eligible to receive a cash retention bonus subject to the achievement of certain net sales milestones, pursuant to a retention plan approved by the compensation committee of the Issuer's Board of Directors. |
Filing footnotes · ownership attribution and instrument terms
F1: In connection with the terms of an Agreement and Plan of Merger, dated as of July 28, 2025 (as amended, the "Merger Agreement"), by and among the Issuer, Bausch Health Americas, Inc. ("Parent"), BHC Lyon Merger Sub, Inc., a direct wholly owned subsidiary of Parent ("Purchaser"), and solely for the purposes of Section 6.10 of the Merger Agreement, Bausch Health Companies Inc. ("BHC"), Purchaser completed a tender offer for shares of the Issuer's Common Stock.
F2: (Continued from footnote 1) Tendering stockholders received a consideration of $1.75 per share, net to the seller of such shares in cash, without interest thereon and less any applicable withholding taxes (the "Cash Amount"), plus one non-tradeable contingent value right per share, representing the contractual right to receive the pro rata portion, in cash, of two milestone payments of up to $350,000,000 in the aggregate, minus any amount actually paid to option holders under a retention plan in respect of the applicable milestone, in each case, without interest thereon and less any applicable withholding taxes, upon achievement of the specified milestones. After completion of the tender offer, Purchaser merged with and into the Issuer (the "Merger"), effective as of September 11, 2025 (the "Effective Time"), with the Issuer continuing as the surviving entity and a wholly owned subsidiary of Parent.
F3: Pursuant to the terms of the Merger Agreement, prior to the expiration of the tender offer, the vesting or payment of each option to purchase shares outstanding under the Issuer's 2000 Stock Plan, as amended (the "Issuer Stock Plan") (each, an "Issuer Option"), that had a per share exercise price that was less than the Cash Amount was accelerated. With respect to the shares received upon exercise of such accelerated Issuer Options prior to the Effective Time, all such shares were treated identically with all other shares in connection with the tender offer and the Merger.
F4: (Continued from footnote 3) At the Effective Time, each Issuer Option that had a per share exercise price that was equal to or greater than the Cash Amount, and that was unexercised immediately prior to the Effective Time, was canceled in connection with the Merger. Following the cancellation of each such Issuer Option, each former holder of such Issuer Option is eligible to receive a cash retention bonus subject to the achievement of certain net sales milestones, pursuant to a retention plan approved by the compensation committee of the Issuer's Board of Directors.
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 |
|---|---|---|---|---|---|---|
| August 23, 2021 Filed Aug 24, 2021 22:17 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | SaleCommon Stock | 19,448 | $75.09 | $1,460,278.36 |
DisclosureSEC source: 0001209191-21-053218 · doc4.xml · nonDerivative · entry 6 GARCIA PETER S · CIK 0001188956 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,725 F1 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 14, 2021. F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $74.31 to $75.305, inclusive. Read SEC document |
| August 23, 2021 Filed Aug 24, 2021 22:17 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | SaleCommon Stock | 4,008 | $73.57 | $294,871.37 |
DisclosureSEC source: 0001209191-21-053218 · doc4.xml · nonDerivative · entry 5 GARCIA PETER S · CIK 0001188956 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,173 F1 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 14, 2021. F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $73.30 to $74.295, inclusive. Read SEC document |
| August 23, 2021 Filed Aug 24, 2021 22:17 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | SaleCommon Stock | 18,060 | $72.66 | $1,312,252.24 |
DisclosureSEC source: 0001209191-21-053218 · doc4.xml · nonDerivative · entry 4 GARCIA PETER S · CIK 0001188956 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,181 F1 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 14, 2021. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $72.275 to $73.265, inclusive. Read SEC document |
| August 23, 2021 Filed Aug 24, 2021 22:17 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | SaleCommon Stock | 3,497 | $72.03 | $251,906.05 |
DisclosureSEC source: 0001209191-21-053218 · doc4.xml · nonDerivative · entry 3 GARCIA PETER S · CIK 0001188956 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,241 F1 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 14, 2021. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $71.27 to $72.265, inclusive. Read SEC document |
| August 23, 2021 Filed Aug 24, 2021 22:17 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | SaleCommon Stock | 1,593 | $70.86 | $112,872.17 |
DisclosureSEC source: 0001209191-21-053218 · doc4.xml · nonDerivative · entry 2 GARCIA PETER S · CIK 0001188956 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 67,738 F1 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 14, 2021. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $70.27 to $71.26, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (2) through (9) to this Form 4. Read SEC document |
| August 23, 2021 Filed Aug 24, 2021 22:17 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | Exercise / conversionCommon Stock | 60,000 | $4.08 | $244,800.00 |
DisclosureSEC source: 0001209191-21-053218 · doc4.xml · nonDerivative · entry 1 GARCIA PETER S · CIK 0001188956 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,331 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 |
| August 17, 2021 Filed Aug 18, 2021 23:11 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 10,000 | $0.00 Strike: $4.08 | $0.00 |
DisclosureSEC source: 0001209191-21-052397 · doc4.xml · derivative · entry 7 GARCIA PETER S · CIK 0001188956 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 136,289 Underlying: Common Stock · 10,000 shares Expires 2030-03-09 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. F7 · derivative.exercise_date: The option is subject to an early exercise provision and is immediately exercisable. One-fourth of the shares subject to the option vested on January 2, 2021 and 1/36th of the remaining shares vest monthly thereafter. Read SEC document |
| August 17, 2021 Filed Aug 18, 2021 23:11 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | SaleCommon Stock | 40 | $68.62 | $2,744.80 |
DisclosureSEC source: 0001209191-21-052397 · doc4.xml · nonDerivative · entry 6 GARCIA PETER S · CIK 0001188956 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,331 F2 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 14, 2021. Read SEC document |
| August 17, 2021 Filed Aug 18, 2021 23:11 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | SaleCommon Stock | 2,400 | $68.34 | $164,005.20 |
DisclosureSEC source: 0001209191-21-052397 · doc4.xml · nonDerivative · entry 5 GARCIA PETER S · CIK 0001188956 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,371 F2 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 14, 2021. F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $67.615 to $68.61, inclusive. Read SEC document |
| August 17, 2021 Filed Aug 18, 2021 23:11 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | SaleCommon Stock | 505 | $67.13 | $33,898.98 |
DisclosureSEC source: 0001209191-21-052397 · doc4.xml · nonDerivative · entry 4 GARCIA PETER S · CIK 0001188956 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,771 F2 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 14, 2021. F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $66.605 to $67.60, inclusive. Read SEC document |
| August 17, 2021 Filed Aug 18, 2021 23:11 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | SaleCommon Stock | 2,368 | $65.83 | $155,892.31 |
DisclosureSEC source: 0001209191-21-052397 · doc4.xml · nonDerivative · entry 3 GARCIA PETER S · CIK 0001188956 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,276 F2 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 14, 2021. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $65.58 to $66.55, inclusive. Read SEC document |
| August 17, 2021 Filed Aug 18, 2021 23:11 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | SaleCommon Stock | 4,687 | $65.24 | $305,757.38 |
DisclosureSEC source: 0001209191-21-052397 · doc4.xml · nonDerivative · entry 2 GARCIA PETER S · CIK 0001188956 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,644 F2 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 14, 2021. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $64.58 to $65.575, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (3) through (6) to this Form 4. Read SEC document |
| August 17, 2021 Filed Aug 18, 2021 23:11 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | Exercise / conversionCommon Stock | 10,000 | $4.08 | $40,800.00 |
DisclosureSEC source: 0001209191-21-052397 · doc4.xml · nonDerivative · entry 1 GARCIA PETER S · CIK 0001188956 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,331 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · balance_after: Includes 203 shares acquired under the Issuer's employee stock purchase plan on June 30, 2021. Read SEC document |
| July 30, 2021 Filed Aug 3, 2021 21:12 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | GrantEmployee Stock Option (right to buy) · Derivative | 100,000 | $0.00 Strike: $58.56 | $0.00 |
DisclosureSEC source: 0001209191-21-049398 · doc4.xml · derivative · entry 1 GARCIA PETER S · CIK 0001188956 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock · 100,000 shares Expires 2031-07-29 F1 · derivative.exercise_date: Shares subject to the option vest in 48 equal monthly installments beginning on August 30, 2021. Read SEC document |
| January 28, 2021 Filed Jan 29, 2021 21:15 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 6,128 | $0.00 Strike: $4.08 | $0.00 |
DisclosureSEC source: 0000899243-21-003728 · doc4.xml · derivative · entry 2 GARCIA PETER S · CIK 0001188956 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 146,289 Underlying: Common Stock · 6,128 shares Expires 2030-03-09 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_date: The option is subject to an early exercise provision and is immediately exercisable. One-fourth of the shares subject to the option vested on January 2, 2021 and 1/36th of the remaining shares vest monthly thereafter. Read SEC document |
| January 28, 2021 Filed Jan 29, 2021 21:15 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | Exercise / conversionCommon Stock | 6,128 | $4.08 | $25,002.24 |
DisclosureSEC source: 0000899243-21-003728 · doc4.xml · nonDerivative · entry 1 GARCIA PETER S · CIK 0001188956 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,128 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| July 21, 2020 Filed Jul 21, 2020 23:57 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | PurchaseCommon Stock | 3,000 | $19.00 | $57,000.00 |
DisclosureSEC source: 0000899243-20-019908 · doc4.xml · nonDerivative · entry 1 GARCIA PETER S · CIK 0001188956 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,000 Read SEC document |
| July 16, 2020 Filed Jul 17, 2020 23:02 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | GrantEmployee Stock Option (right to buy) · Derivative | 88,137 | $0.00 Strike: $19.00 | $0.00 |
DisclosureSEC source: 0000899243-20-019575 · doc4.xml · derivative · entry 1 GARCIA PETER S · CIK 0001188956 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 88,137 Underlying: Common Stock · 88,137 shares Expires 2030-07-16 F1 · derivative.exercise_date: Shares subject to the option vest in 48 equal monthly installments beginning on August 16, 2020. Read SEC document |
| March 28, 2019 Filed Apr 1, 2019 21:12 UTC | PDL BIOPHARMA, INC. PDLI · Entity 143144 | GrantStock Option (right to buy) · Derivative | 628,930 | $0.00 Strike: $3.72 | $0.00 |
DisclosureSEC source: 0000882104-19-000025 · wf-form4_155415312035896.xml · derivative · entry 1 GARCIA PETER S · CIK 0001188956 · Vice President, CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 628,930 Underlying: Common stock · 628,930 shares Expires 2029-03-28 F1 · derivative.exercise_date: The stock options will vest as follows: (a) 25% of the shares subject to the option shall vest on the one year anniversary of January 1, 2019 and (b) 75% of the shares subject to the option shall vest on a monthly basis pro rata over the thirty-six (36) months following the one year anniversary of January 1, 2019, provided that the recipient's continuous service has not terminated prior to the applicable vesting date, subject to earlier vesting upon a change in control and certain qualifying terminations of employment provided in the severance agreement between the issuer and the recipient. Read SEC document |
| March 28, 2019 Filed Apr 16, 2019 21:16 UTC Amendment | PDL BIOPHARMA, INC. PDLI · Entity 143144 | GrantStock Option (right to buy) · Derivative | 641,025 | $0.00 Strike: $3.72 | $0.00 |
DisclosureSEC source: 0000882104-19-000039 · wf-form4a_155544938547289.xml · derivative · entry 1 GARCIA PETER S · CIK 0001188956 · Vice President, CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 641,025 Underlying: Common stock · 641,025 shares Expires 2029-03-28 F1 · shares: The number of shares included in the original April 1, 2019 Form 4 filing was incorrect and the Company is filing this amendment to correct the number of shares in the award grant. F2 · derivative.exercise_date: The stock options will vest as follows: (a) 25% of the shares subject to the option shall vest on the one year anniversary of January 1, 2019 and (b) 75% of the shares subject to the option shall vest on a monthly basis pro rata over the thirty-six (36) months following the one year anniversary of January 1, 2019, provided that the recipient's continuous service has not terminated prior to the applicable vesting date, subject to earlier vesting upon a change in control and certain qualifying terminations of employment provided in the severance agreement between the issuer and the recipient. Read SEC document |
| December 27, 2018 Filed Dec 28, 2018 23:30 UTC | PDL BIOPHARMA, INC. PDLI · Entity 143144 | Disposition to issuerCommon stock | 226,442 | $0.00 | $0.00 |
DisclosureSEC source: 0000882104-18-000130 · wf-form4_154603979367450.xml · nonDerivative · entry 2 GARCIA PETER S · CIK 0001188956 · Vice President, CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 225,029 F1 · shares: Disposition of common stock due to performance criteria not being achieved under equity incentive plans. Read SEC document |
| December 27, 2018 Filed Dec 28, 2018 23:30 UTC | PDL BIOPHARMA, INC. PDLI · Entity 143144 | Tax withholdingCommon stock | 3,553 | $3.02 | $10,730.06 |
DisclosureSEC source: 0000882104-18-000130 · wf-form4_154603979367450.xml · nonDerivative · entry 1 GARCIA PETER S · CIK 0001188956 · Vice President, CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 451,471 Read SEC document |
| September 25, 2018 Filed Sep 27, 2018 20:40 UTC | PDL BIOPHARMA, INC. PDLI · Entity 143144 | GrantStock Option (right to buy) · Derivative | 339,678 | $0.00 Strike: $2.52 | $0.00 |
DisclosureSEC source: 0000882104-18-000103 · wf-form4_153808082735831.xml · derivative · entry 1 GARCIA PETER S · CIK 0001188956 · Vice President, CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 339,678 Underlying: Common stock · 339,678 shares Expires 2028-09-25 F1 · derivative.exercise_date: The stock options will vest on a monthly basis pro rata over the 48 months following January 1, 2018, provided that the recipient's continuous service has not terminated prior to the applicable vesting date, subject to earlier vesting upon a change in control and certain qualifying terminations of employment provided in the severance agreement between the issuer and the recipient. Read SEC document |
| June 08, 2018 Filed Jun 12, 2018 20:31 UTC | PDL BIOPHARMA, INC. PDLI · Entity 143144 | GrantStock Option (right to buy) · Derivative | 694,900 | $0.00 Strike: $2.94 | $0.00 |
DisclosureSEC source: 0000882104-18-000070 · wf-form4_152883545770159.xml · derivative · entry 1 GARCIA PETER S · CIK 0001188956 · Vice President, CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 694,900 Underlying: Common stock · 694,900 shares Expires 2027-08-28 F1 · date: The stock options were approved by the compensation committee of the issuer's board of directors effective August 29, 2017, subject to stockholder approval of an amendment to the issuer's equity plan pursuant to which the stock option was granted. The issuer's stockholders approved the amendment on June 8, 2018. F2 · derivative.exercise_date: The stock options will vest as follows: (a) 25% of the shares subject to the option shall vest on August 28, 2018; (b) 25% of the shares subject to the option shall vest on a monthly basis pro rata over the thirty-six (36) months following August 28, 2018; (c) 25% of the shares subject to the option shall vest upon the price of the Company's Common Stock closing above $3.91 for twenty (20) consecutive trading days; and (d) 25% of the shares subject to the option shall vest upon the price of the Company's Common Stock closing above $4.41 for twenty (20) consecutive trading days, provided that the recipient's continuous service has not terminated prior to the applicable vesting date, subject to earlier vesting upon a change in control and certain qualifying terminations of employement provided in the severance agreement between the issuer and the recipient. Read SEC document |
| December 15, 2017 Filed Dec 20, 2017 01:04 UTC | PDL BIOPHARMA, INC. PDLI · Entity 143144 | Disposition to issuerCommon stock | 17,818 | $0.00 | $0.00 |
DisclosureSEC source: 0000882104-17-000127 · wf-form4_151373185271780.xml · nonDerivative · entry 1 GARCIA PETER S · CIK 0001188956 · Vice President, CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 455,024 F1 · shares: Disposition of common stock due to performance criteria not being achieved under equity incentive plans. Read SEC document |
| March 24, 2017 Filed Mar 27, 2017 21:51 UTC | PDL BIOPHARMA, INC. PDLI · Entity 143144 | PurchaseCommon stock | 5,000 | $1.98 | $9,890.00 |
DisclosureSEC source: 0000882104-17-000033 · wf-form4_149065144943990.xml · nonDerivative · entry 5 GARCIA PETER S · CIK 0001188956 · Vice President, CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 472,842 Read SEC document |
| March 24, 2017 Filed Mar 27, 2017 21:51 UTC | PDL BIOPHARMA, INC. PDLI · Entity 143144 | PurchaseCommon stock | 5,000 | $1.98 | $9,884.00 |
DisclosureSEC source: 0000882104-17-000033 · wf-form4_149065144943990.xml · nonDerivative · entry 4 GARCIA PETER S · CIK 0001188956 · Vice President, CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 467,842 Read SEC document |
| March 24, 2017 Filed Mar 27, 2017 21:51 UTC | PDL BIOPHARMA, INC. PDLI · Entity 143144 | PurchaseCommon stock | 10,000 | $1.98 | $19,757.00 |
DisclosureSEC source: 0000882104-17-000033 · wf-form4_149065144943990.xml · nonDerivative · entry 3 GARCIA PETER S · CIK 0001188956 · Vice President, CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 462,842 Read SEC document |
| March 24, 2017 Filed Mar 27, 2017 21:51 UTC | PDL BIOPHARMA, INC. PDLI · Entity 143144 | PurchaseCommon stock | 350 | $1.98 | $691.25 |
DisclosureSEC source: 0000882104-17-000033 · wf-form4_149065144943990.xml · nonDerivative · entry 2 GARCIA PETER S · CIK 0001188956 · Vice President, CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 452,842 Read SEC document |
| March 24, 2017 Filed Mar 27, 2017 21:51 UTC | PDL BIOPHARMA, INC. PDLI · Entity 143144 | PurchaseCommon stock | 4,650 | $1.97 | $9,179.10 |
DisclosureSEC source: 0000882104-17-000033 · wf-form4_149065144943990.xml · nonDerivative · entry 1 GARCIA PETER S · CIK 0001188956 · Vice President, CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 452,492 Read SEC document |
| March 04, 2017 Filed Mar 8, 2017 01:19 UTC | PDL BIOPHARMA, INC. PDLI · Entity 143144 | GrantCommon stock | 212,669 | $2.04 | $433,844.76 |
DisclosureSEC source: 0000882104-17-000023 · wf-form4_148893594300931.xml · nonDerivative · entry 1 GARCIA PETER S · CIK 0001188956 · Vice President, CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 447,842 F1 · shares: The restricted stock will vest, provided that the officer remains employed by the Company and certain performance goals are achieved, based upon the following schedule: 50% on December 2018; 16.66% on December 2019; 16.66% on December 2020; and 16.66% on December 2021. Read SEC document |
| December 13, 2016 Filed Dec 15, 2016 21:17 UTC | PDL BIOPHARMA, INC. PDLI · Entity 143144 | Disposition to issuerCommon stock | 1,919 | $0.00 | $0.00 |
DisclosureSEC source: 0000882104-16-000251 · wf-form4_148183663161418.xml · nonDerivative · entry 1 GARCIA PETER S · CIK 0001188956 · Vice President, CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 235,173 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.