person · Reporting owner

SAXE JON S

Disclosed activity across 3 companies

Tapewire entity: 75534
SEC CIK: 0001114914

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
DURECT CORPDRRX · Entity 75335	Director	June 17, 2020	June 18, 2020
Vistagen Therapeutics, Inc.VTGN · Entity 7955	Director	September 09, 2025	September 11, 2025

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.

DURECT CORP

Report date June 17, 2020 · Filed June 18, 2020

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Non-Qualified Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.33 · Expires 2030-06-17	Direct	55,000	Reported balance After 2020-06-17 transaction · row 1 Instrument identity requires review; Table II rows are not merged. 1 source row Row 1 · 2020-06-17 · Grant · Acquired 55,000 · Balance 55,000 F1: 100% of the total shares of this Grant Dated June 17, 2020 shall vest on the day before the first year anniversary of the Grant Date.

Filing footnotes · ownership attribution and instrument terms

F1: 100% of the total shares of this Grant Dated June 17, 2020 shall vest on the day before the first year anniversary of the Grant Date.

Vistagen Therapeutics, Inc.

Report date September 09, 2025 · Filed September 11, 2025

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Non-Qualified Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.61 · Expires 2035-09-09	Direct	17,600	Reported balance After 2025-09-09 transaction · row 1 Instrument identity requires review; Table II rows are not merged. 1 source row Row 1 · 2025-09-09 · Grant · Acquired 17,600 · Balance 17,600 F1: Represents stock options granted pursuant to the Issuer's Amended and Restated 2019 Omnibus Equity Incentive Plan, as amended, which vest in twelve equal monthly installments, beginning on the date of the grant.

Filing footnotes · ownership attribution and instrument terms

F1: Represents stock options granted pursuant to the Issuer's Amended and Restated 2019 Omnibus Equity Incentive Plan, as amended, which vest in twelve equal monthly installments, beginning on the date of the grant.

Past disclosures · reporting ended (1)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

SCICLONE PHARMACEUTICALS INC

Report date October 13, 2017 · Filed October 16, 2017

Section 16 reporting ended · disclosed 2017-10-16. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosure context
Common StockSEC Table I · non-derivative	Direct	Reported balance After 2017-10-13 transaction · row 1 1 source row Row 1 · 2017-10-13 · Disposition to issuer · Disposed 135,000 · Balance 0
Non-Qualified Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.75 · Expires 2018-06-10	Direct	Reported balance After 2017-10-13 transaction · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · 2017-10-13 · Disposition to issuer · Disposed 30,000 · Balance 0 F2: The option was canceled immediately prior to the merger of Issuer and Silver Delaware Investment Limited (the "Merger") in exchange for a cash payment per share from the Issuer in an amount equal to the excess of $11.18 per share over the exercise price. F1: Under its terms the option became exercisable in installments at the rate of one-twelfth of the shares subject to the option at the end of each one-month period from the date of grant (June 10, 2008), and became immediately exercisable and vested in full as of June 9, 2009.
Non-Qualified Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.23 · Expires 2019-06-09	Direct	Reported balance After 2017-10-13 transaction · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · 2017-10-13 · Disposition to issuer · Disposed 30,000 · Balance 0 F2: The option was canceled immediately prior to the merger of Issuer and Silver Delaware Investment Limited (the "Merger") in exchange for a cash payment per share from the Issuer in an amount equal to the excess of $11.18 per share over the exercise price. F3: Under its terms the option became exercisable in installments at the rate of one-twelfth of the shares subject to the option at the end of each one-month period from the date of grant (June 9, 2009), and became immediately exercisable and vested in full as of June 9, 2010.
Non-Qualified Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.01 · Expires 2020-06-10	Direct	Reported balance After 2017-10-13 transaction · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · 2017-10-13 · Disposition to issuer · Disposed 30,000 · Balance 0 F2: The option was canceled immediately prior to the merger of Issuer and Silver Delaware Investment Limited (the "Merger") in exchange for a cash payment per share from the Issuer in an amount equal to the excess of $11.18 per share over the exercise price. F4: Under its terms the option became exercisable in installments at the rate of one-twelfth of the shares subject to the option at the end of each one-month period from the date of grant (June 10, 2010), and became immediately exercisable and vested in full as of June 10, 2011.
Non-Qualified Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $6.04 · Expires 2021-06-30	Direct	Reported balance After 2017-10-13 transaction · row 5 Instrument identity requires review; Table II rows are not merged. 1 source row Row 5 · 2017-10-13 · Disposition to issuer · Disposed 30,000 · Balance 0 F2: The option was canceled immediately prior to the merger of Issuer and Silver Delaware Investment Limited (the "Merger") in exchange for a cash payment per share from the Issuer in an amount equal to the excess of $11.18 per share over the exercise price. F5: Under its terms the option became exercisable in installments at the rate of one-twelfth of the shares subject to the option at the end of each one-month period from the date of grant (June 30, 2011), and became immediately exercisable and vested in full as of June 30, 2012.
Non-Qualified Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $6.78 · Expires 2022-06-07	Direct	Reported balance After 2017-10-13 transaction · row 6 Instrument identity requires review; Table II rows are not merged. 1 source row Row 6 · 2017-10-13 · Disposition to issuer · Disposed 30,000 · Balance 0 F2: The option was canceled immediately prior to the merger of Issuer and Silver Delaware Investment Limited (the "Merger") in exchange for a cash payment per share from the Issuer in an amount equal to the excess of $11.18 per share over the exercise price. F6: Under its terms the option became exercisable in installments at the rate of one-twelfth of the shares subject to the option at the end of each one-month period from the date of grant (June 7, 2012), and became immediately exercisable and vested in full as of June 7, 2013.
Non-Qualified Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.13 · Expires 2023-06-27	Direct	Reported balance After 2017-10-13 transaction · row 7 Instrument identity requires review; Table II rows are not merged. 1 source row Row 7 · 2017-10-13 · Disposition to issuer · Disposed 30,000 · Balance 0 F2: The option was canceled immediately prior to the merger of Issuer and Silver Delaware Investment Limited (the "Merger") in exchange for a cash payment per share from the Issuer in an amount equal to the excess of $11.18 per share over the exercise price. F7: Under its terms the option became exercisable in installments at the rate of one-twelfth of the shares subject to the option at the end of each one-month period from the date of grant (June 27, 2013), and became immediately exercisable and vested in full as of June 27, 2014.
Non-Qualified Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.10 · Expires 2024-06-12	Direct	Reported balance After 2017-10-13 transaction · row 8 Instrument identity requires review; Table II rows are not merged. 1 source row Row 8 · 2017-10-13 · Disposition to issuer · Disposed 30,000 · Balance 0 F2: The option was canceled immediately prior to the merger of Issuer and Silver Delaware Investment Limited (the "Merger") in exchange for a cash payment per share from the Issuer in an amount equal to the excess of $11.18 per share over the exercise price. F8: Under its terms the option became exercisable in installments at the rate of one-twelfth of the shares subject to the option at the end of each one-month period from the date of grant (June 12, 2014), and became immediately exercisable and vested in full as of June 12, 2015.
Non-Qualified Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $9.15 · Expires 2025-06-11	Direct	Reported balance After 2017-10-13 transaction · row 9 Instrument identity requires review; Table II rows are not merged. 1 source row Row 9 · 2017-10-13 · Disposition to issuer · Disposed 30,000 · Balance 0 F2: The option was canceled immediately prior to the merger of Issuer and Silver Delaware Investment Limited (the "Merger") in exchange for a cash payment per share from the Issuer in an amount equal to the excess of $11.18 per share over the exercise price. F9: Under its terms the option became exercisable in installments at the rate of one-twelfth of the shares subject to the option at the end of each one-month period from the date of grant (June 11, 2015), and became immediately exercisable and vested in full as of June 11, 2016.
Non-Qualified Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $10.90 · Expires 2027-06-08	Direct	Reported balance After 2017-10-13 transaction · row 10 Instrument identity requires review; Table II rows are not merged. 1 source row Row 10 · 2017-10-13 · Disposition to issuer · Disposed 30,000 · Balance 0 F2: The option was canceled immediately prior to the merger of Issuer and Silver Delaware Investment Limited (the "Merger") in exchange for a cash payment per share from the Issuer in an amount equal to the excess of $11.18 per share over the exercise price. F10: Under its terms the option became exercisable in installments at the rate of one-twelfth of the shares subject to the option at the end of each one-month period from the date of grant (June 11, 2015), and became immediately exercisable and vested in full as of June 11, 2016. Under its terms the option became exercisable in installments at the rate of one-twelfth of the shares subject to the option at the end of each one-month period from the date of grant (June 8, 2017), and became immediately exercisable and vested in full as of the date ten (10) days prior to the Merger.

Filing footnotes · ownership attribution and instrument terms

F1: Under its terms the option became exercisable in installments at the rate of one-twelfth of the shares subject to the option at the end of each one-month period from the date of grant (June 10, 2008), and became immediately exercisable and vested in full as of June 9, 2009.

F2: The option was canceled immediately prior to the merger of Issuer and Silver Delaware Investment Limited (the "Merger") in exchange for a cash payment per share from the Issuer in an amount equal to the excess of $11.18 per share over the exercise price.

F3: Under its terms the option became exercisable in installments at the rate of one-twelfth of the shares subject to the option at the end of each one-month period from the date of grant (June 9, 2009), and became immediately exercisable and vested in full as of June 9, 2010.

F4: Under its terms the option became exercisable in installments at the rate of one-twelfth of the shares subject to the option at the end of each one-month period from the date of grant (June 10, 2010), and became immediately exercisable and vested in full as of June 10, 2011.

F5: Under its terms the option became exercisable in installments at the rate of one-twelfth of the shares subject to the option at the end of each one-month period from the date of grant (June 30, 2011), and became immediately exercisable and vested in full as of June 30, 2012.

F6: Under its terms the option became exercisable in installments at the rate of one-twelfth of the shares subject to the option at the end of each one-month period from the date of grant (June 7, 2012), and became immediately exercisable and vested in full as of June 7, 2013.

F7: Under its terms the option became exercisable in installments at the rate of one-twelfth of the shares subject to the option at the end of each one-month period from the date of grant (June 27, 2013), and became immediately exercisable and vested in full as of June 27, 2014.

F8: Under its terms the option became exercisable in installments at the rate of one-twelfth of the shares subject to the option at the end of each one-month period from the date of grant (June 12, 2014), and became immediately exercisable and vested in full as of June 12, 2015.

F9: Under its terms the option became exercisable in installments at the rate of one-twelfth of the shares subject to the option at the end of each one-month period from the date of grant (June 11, 2015), and became immediately exercisable and vested in full as of June 11, 2016.

F10: Under its terms the option became exercisable in installments at the rate of one-twelfth of the shares subject to the option at the end of each one-month period from the date of grant (June 11, 2015), and became immediately exercisable and vested in full as of June 11, 2016. Under its terms the option became exercisable in installments at the rate of one-twelfth of the shares subject to the option at the end of each one-month period from the date of grant (June 8, 2017), and became immediately exercisable and vested in full as of the date ten (10) days prior to the Merger.

Transaction history

JSON API

Purchases/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
March 13, 2019 Filed Mar 15, 2019 20:36 UTC	DURECT CORP DRRX · Entity 75335	PurchaseCommon Stock	300	$0.82	$246.42	Disclosure SEC source: 0001082038-19-000005 · edgardoc.xml · nonDerivative · entry 13 SAXE JON S · CIK 0001114914 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · by Trust Disclosed balance after: 26,286 F1 · ownership.nature: Held by Jon S. Saxe and Myrna G. Marshall 1997 Trust. Read SEC document
March 13, 2019 Filed Mar 15, 2019 20:36 UTC	DURECT CORP DRRX · Entity 75335	PurchaseCommon Stock	1,200	$0.82	$985.80	Disclosure SEC source: 0001082038-19-000005 · edgardoc.xml · nonDerivative · entry 12 SAXE JON S · CIK 0001114914 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · by Trust Disclosed balance after: 25,986 F1 · ownership.nature: Held by Jon S. Saxe and Myrna G. Marshall 1997 Trust. Read SEC document
March 13, 2019 Filed Mar 15, 2019 20:36 UTC	DURECT CORP DRRX · Entity 75335	PurchaseCommon Stock	400	$0.82	$328.72	Disclosure SEC source: 0001082038-19-000005 · edgardoc.xml · nonDerivative · entry 11 SAXE JON S · CIK 0001114914 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · by Trust Disclosed balance after: 24,786 F1 · ownership.nature: Held by Jon S. Saxe and Myrna G. Marshall 1997 Trust. Read SEC document
March 13, 2019 Filed Mar 15, 2019 20:36 UTC	DURECT CORP DRRX · Entity 75335	PurchaseCommon Stock	100	$0.82	$82.22	Disclosure SEC source: 0001082038-19-000005 · edgardoc.xml · nonDerivative · entry 10 SAXE JON S · CIK 0001114914 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · by Trust Disclosed balance after: 24,386 F1 · ownership.nature: Held by Jon S. Saxe and Myrna G. Marshall 1997 Trust. Read SEC document
March 13, 2019 Filed Mar 15, 2019 20:36 UTC	DURECT CORP DRRX · Entity 75335	PurchaseCommon Stock	100	$0.82	$82.23	Disclosure SEC source: 0001082038-19-000005 · edgardoc.xml · nonDerivative · entry 9 SAXE JON S · CIK 0001114914 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · by Trust Disclosed balance after: 24,286 F1 · ownership.nature: Held by Jon S. Saxe and Myrna G. Marshall 1997 Trust. Read SEC document
March 13, 2019 Filed Mar 15, 2019 20:36 UTC	DURECT CORP DRRX · Entity 75335	PurchaseCommon Stock	100	$0.82	$82.25	Disclosure SEC source: 0001082038-19-000005 · edgardoc.xml · nonDerivative · entry 8 SAXE JON S · CIK 0001114914 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · by Trust Disclosed balance after: 24,186 F1 · ownership.nature: Held by Jon S. Saxe and Myrna G. Marshall 1997 Trust. Read SEC document
March 13, 2019 Filed Mar 15, 2019 20:36 UTC	DURECT CORP DRRX · Entity 75335	PurchaseCommon Stock	386	$0.82	$317.52	Disclosure SEC source: 0001082038-19-000005 · edgardoc.xml · nonDerivative · entry 7 SAXE JON S · CIK 0001114914 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · by Trust Disclosed balance after: 24,086 F1 · ownership.nature: Held by Jon S. Saxe and Myrna G. Marshall 1997 Trust. Read SEC document
March 13, 2019 Filed Mar 15, 2019 20:36 UTC	DURECT CORP DRRX · Entity 75335	PurchaseCommon Stock	2,400	$0.82	$1,975.20	Disclosure SEC source: 0001082038-19-000005 · edgardoc.xml · nonDerivative · entry 6 SAXE JON S · CIK 0001114914 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · by Trust Disclosed balance after: 23,700 F1 · ownership.nature: Held by Jon S. Saxe and Myrna G. Marshall 1997 Trust. Read SEC document
March 13, 2019 Filed Mar 15, 2019 20:36 UTC	DURECT CORP DRRX · Entity 75335	PurchaseCommon Stock	100	$0.82	$82.33	Disclosure SEC source: 0001082038-19-000005 · edgardoc.xml · nonDerivative · entry 5 SAXE JON S · CIK 0001114914 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · by Trust Disclosed balance after: 21,300 F1 · ownership.nature: Held by Jon S. Saxe and Myrna G. Marshall 1997 Trust. Read SEC document
March 13, 2019 Filed Mar 15, 2019 20:36 UTC	DURECT CORP DRRX · Entity 75335	PurchaseCommon Stock	100	$0.82	$82.34	Disclosure SEC source: 0001082038-19-000005 · edgardoc.xml · nonDerivative · entry 4 SAXE JON S · CIK 0001114914 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · by Trust Disclosed balance after: 21,200 F1 · ownership.nature: Held by Jon S. Saxe and Myrna G. Marshall 1997 Trust. Read SEC document
March 13, 2019 Filed Mar 15, 2019 20:36 UTC	DURECT CORP DRRX · Entity 75335	PurchaseCommon Stock	500	$0.82	$411.75	Disclosure SEC source: 0001082038-19-000005 · edgardoc.xml · nonDerivative · entry 3 SAXE JON S · CIK 0001114914 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · by Trust Disclosed balance after: 21,100 F1 · ownership.nature: Held by Jon S. Saxe and Myrna G. Marshall 1997 Trust. Read SEC document
March 13, 2019 Filed Mar 15, 2019 20:36 UTC	DURECT CORP DRRX · Entity 75335	PurchaseCommon Stock	200	$0.82	$164.72	Disclosure SEC source: 0001082038-19-000005 · edgardoc.xml · nonDerivative · entry 2 SAXE JON S · CIK 0001114914 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · by Trust Disclosed balance after: 20,600 F1 · ownership.nature: Held by Jon S. Saxe and Myrna G. Marshall 1997 Trust. Read SEC document
March 13, 2019 Filed Mar 15, 2019 20:36 UTC	DURECT CORP DRRX · Entity 75335	PurchaseCommon Stock	400	$0.83	$330.00	Disclosure SEC source: 0001082038-19-000005 · edgardoc.xml · nonDerivative · entry 1 SAXE JON S · CIK 0001114914 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · by Trust Disclosed balance after: 20,400 F1 · ownership.nature: Held by Jon S. Saxe and Myrna G. Marshall 1997 Trust. Read SEC document
January 29, 2019 Filed Jan 30, 2019 16:05 UTC	Vistagen Therapeutics, Inc. VTGN · Entity 7955	Exercise / conversionStock Option (Right to Buy) · Derivative	1,000	$0.00 Strike: $1.50	$0.00	Disclosure SEC source: 0001415889-19-000107 · form4-01302019_040107.xml · derivative · entry 4 SAXE JON S · CIK 0001114914 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,000 shares Expires 2019-11-04 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document
January 29, 2019 Filed Jan 30, 2019 16:05 UTC	Vistagen Therapeutics, Inc. VTGN · Entity 7955	Exercise / conversionStock Option (Right to Buy) · Derivative	375	$0.00 Strike: $1.50	$0.00	Disclosure SEC source: 0001415889-19-000107 · form4-01302019_040107.xml · derivative · entry 3 SAXE JON S · CIK 0001114914 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 375 shares Expires 2019-03-24 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document
January 29, 2019 Filed Jan 30, 2019 16:05 UTC	Vistagen Therapeutics, Inc. VTGN · Entity 7955	Exercise / conversionCommon Stock	1,000	$1.50	$1,500.00	Disclosure SEC source: 0001415889-19-000107 · form4-01302019_040107.xml · nonDerivative · entry 2 SAXE JON S · CIK 0001114914 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,251 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document
January 29, 2019 Filed Jan 30, 2019 16:05 UTC	Vistagen Therapeutics, Inc. VTGN · Entity 7955	Exercise / conversionCommon Stock	375	$1.50	$562.50	Disclosure SEC source: 0001415889-19-000107 · form4-01302019_040107.xml · nonDerivative · entry 1 SAXE JON S · CIK 0001114914 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,251 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 29, 2018 Filed Aug 31, 2018 17:26 UTC	Vistagen Therapeutics, Inc. VTGN · Entity 7955	GrantStock Option (Right to Buy) · Derivative	35,000	$0.00 Strike: $1.50	$0.00	Disclosure SEC source: 0001415889-18-001320 · form4-08312018_020838.xml · derivative · entry 14 SAXE JON S · CIK 0001114914 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,000 Underlying: Common Stock · 35,000 shares Expires 2026-11-09 F10 · derivative.exercise_date: The option vests monthly over a period of three years commencing 4/26/2017. Read SEC document
August 29, 2018 Filed Aug 31, 2018 17:26 UTC	Vistagen Therapeutics, Inc. VTGN · Entity 7955	Disposition to issuerStock Option (Right to Buy) · Derivative	35,000	$0.00 Strike: $1.96	$0.00	Disclosure SEC source: 0001415889-18-001320 · form4-08312018_020838.xml · derivative · entry 13 SAXE JON S · CIK 0001114914 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 35,000 shares Expires 2027-04-26 F9 · shares: The reporting person agreed to cancellation of an option granted to him on 4/26/2017 in exchange for a new option having a lower exercise price. F10 · derivative.exercise_date: The option vests monthly over a period of three years commencing 4/26/2017. Read SEC document
August 29, 2018 Filed Aug 31, 2018 17:26 UTC	Vistagen Therapeutics, Inc. VTGN · Entity 7955	GrantStock Option (Right to Buy) · Derivative	25,000	$0.00 Strike: $1.50	$0.00	Disclosure SEC source: 0001415889-18-001320 · form4-08312018_020838.xml · derivative · entry 12 SAXE JON S · CIK 0001114914 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 Underlying: Common Stock · 25,000 shares Expires 2026-11-09 F8 · derivative.exercise_date: The option vests monthly over a period of three years commencing 11/9/2016. Read SEC document
August 29, 2018 Filed Aug 31, 2018 17:26 UTC	Vistagen Therapeutics, Inc. VTGN · Entity 7955	Disposition to issuerStock Option (Right to Buy) · Derivative	25,000	$0.00 Strike: $3.80	$0.00	Disclosure SEC source: 0001415889-18-001320 · form4-08312018_020838.xml · derivative · entry 11 SAXE JON S · CIK 0001114914 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 25,000 shares Expires 2026-11-09 F7 · shares: The reporting person agreed to cancellation of an option granted to him on 11/9/2016 in exchange for a new option having a lower exercise price. F8 · derivative.exercise_date: The option vests monthly over a period of three years commencing 11/9/2016. Read SEC document
August 29, 2018 Filed Aug 31, 2018 17:26 UTC	Vistagen Therapeutics, Inc. VTGN · Entity 7955	GrantStock Option (Right to Buy) · Derivative	25,000	$0.00 Strike: $1.50	$0.00	Disclosure SEC source: 0001415889-18-001320 · form4-08312018_020838.xml · derivative · entry 10 SAXE JON S · CIK 0001114914 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 Underlying: Common Stock · 25,000 shares Expires 2026-06-19 F6 · derivative.exercise_date: The option vests monthly over a period of four years commencing 6/19/2016. Read SEC document
August 29, 2018 Filed Aug 31, 2018 17:26 UTC	Vistagen Therapeutics, Inc. VTGN · Entity 7955	Disposition to issuerStock Option (Right to Buy) · Derivative	25,000	$0.00 Strike: $3.49	$0.00	Disclosure SEC source: 0001415889-18-001320 · form4-08312018_020838.xml · derivative · entry 9 SAXE JON S · CIK 0001114914 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 25,000 shares Expires 2026-06-19 F5 · shares: The reporting person agreed to cancellation of an option granted to him on 6/19/2016 in exchange for a new option having a lower exercise price. F6 · derivative.exercise_date: The option vests monthly over a period of four years commencing 6/19/2016. Read SEC document
August 29, 2018 Filed Aug 31, 2018 17:26 UTC	Vistagen Therapeutics, Inc. VTGN · Entity 7955	GrantStock Option (Right to Buy) · Derivative	2,500	$0.00 Strike: $1.50	$0.00	Disclosure SEC source: 0001415889-18-001320 · form4-08312018_020838.xml · derivative · entry 8 SAXE JON S · CIK 0001114914 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,500 Underlying: Common Stock · 2,500 shares Expires 2021-04-26 Read SEC document
August 29, 2018 Filed Aug 31, 2018 17:26 UTC	Vistagen Therapeutics, Inc. VTGN · Entity 7955	Disposition to issuerStock Option (Right to Buy) · Derivative	2,500	$0.00 Strike: $10.00	$0.00	Disclosure SEC source: 0001415889-18-001320 · form4-08312018_020838.xml · derivative · entry 7 SAXE JON S · CIK 0001114914 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,500 shares Expires 2021-04-26 F4 · shares: The reporting person agreed to cancellation of an option granted to him on 4/26/2011 in exchange for a new option having a lower exercise price. Read SEC document
August 29, 2018 Filed Aug 31, 2018 17:26 UTC	Vistagen Therapeutics, Inc. VTGN · Entity 7955	GrantStock Option (Right to Buy) · Derivative	7,500	$0.00 Strike: $1.50	$0.00	Disclosure SEC source: 0001415889-18-001320 · form4-08312018_020838.xml · derivative · entry 6 SAXE JON S · CIK 0001114914 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,500 Underlying: Common Stock · 7,500 shares Expires 2019-12-30 Read SEC document
August 29, 2018 Filed Aug 31, 2018 17:26 UTC	Vistagen Therapeutics, Inc. VTGN · Entity 7955	Disposition to issuerStock Option (Right to Buy) · Derivative	7,500	$0.00 Strike: $10.00	$0.00	Disclosure SEC source: 0001415889-18-001320 · form4-08312018_020838.xml · derivative · entry 5 SAXE JON S · CIK 0001114914 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 7,500 shares Expires 2019-12-30 F3 · shares: The reporting person agreed to cancellation of an option granted to him on 12/30/2009 in exchange for a new option having a lower exercise price. Read SEC document
August 29, 2018 Filed Aug 31, 2018 17:26 UTC	Vistagen Therapeutics, Inc. VTGN · Entity 7955	GrantStock Option (Right to Buy) · Derivative	1,000	$0.00 Strike: $1.50	$0.00	Disclosure SEC source: 0001415889-18-001320 · form4-08312018_020838.xml · derivative · entry 4 SAXE JON S · CIK 0001114914 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,000 Underlying: Common Stock · 1,000 shares Expires 2019-11-04 Read SEC document
August 29, 2018 Filed Aug 31, 2018 17:26 UTC	Vistagen Therapeutics, Inc. VTGN · Entity 7955	Disposition to issuerStock Option (Right to Buy) · Derivative	1,000	$0.00 Strike: $10.00	$0.00	Disclosure SEC source: 0001415889-18-001320 · form4-08312018_020838.xml · derivative · entry 3 SAXE JON S · CIK 0001114914 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,000 shares Expires 2019-11-04 F2 · shares: The reporting person agreed to cancellation of an option granted to him on 11/4/2009 in exchange for a new option having a lower exercise price. Read SEC document
August 29, 2018 Filed Aug 31, 2018 17:26 UTC	Vistagen Therapeutics, Inc. VTGN · Entity 7955	GrantStock Option (Right to Buy) · Derivative	375	$0.00 Strike: $1.50	$0.00	Disclosure SEC source: 0001415889-18-001320 · form4-08312018_020838.xml · derivative · entry 2 SAXE JON S · CIK 0001114914 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 375 Underlying: Common Stock · 375 shares Expires 2019-03-24 Read SEC document
August 29, 2018 Filed Aug 31, 2018 17:26 UTC	Vistagen Therapeutics, Inc. VTGN · Entity 7955	Disposition to issuerStock Option (Right to Buy) · Derivative	375	$0.00 Strike: $10.00	$0.00	Disclosure SEC source: 0001415889-18-001320 · form4-08312018_020838.xml · derivative · entry 1 SAXE JON S · CIK 0001114914 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 375 shares Expires 2019-03-24 F1 · shares: The reporting person agreed to cancellation of an option granted to him on 3/24/2009 in exchange for a new option having a lower exercise price. Read SEC document
August 05, 2018 Filed Aug 6, 2018 16:57 UTC	Vistagen Therapeutics, Inc. VTGN · Entity 7955	GrantStock Option (Right to Buy) · Derivative	75,000	$0.00 Strike: $1.27	$0.00	Disclosure SEC source: 0001415889-18-001229 · form4-08062018_010829.xml · derivative · entry 1 SAXE JON S · CIK 0001114914 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,000 Underlying: Common Stock · 75,000 shares Expires 2028-08-05 F1 · derivative.exercise_date: 25% of the Shares subject to the Option shall vest on Vesting Start Date August 5, 2018, and 1/24th of the remaining Shares subject to the Option shall vest on each monthly anniversary of the Vesting Start Date thereafter. Read SEC document
June 19, 2018 Filed Jun 20, 2018 18:44 UTC	DURECT CORP DRRX · Entity 75335	GrantNon-Qualified Stock Option (right to buy) · Derivative	55,000	$0.00 Strike: $2.10	$0.00	Disclosure SEC source: 0001082038-18-000009 · edgardoc.xml · derivative · entry 1 SAXE JON S · CIK 0001114914 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,000 Underlying: Common Stock · 55,000 shares Expires 2028-06-19 F1 · derivative.exercise_date: 100% of the total shares of this Grant Dated June 19, 2018 shall vest on the day before the first year anniversary of the Grant Date. Read SEC document
February 02, 2018 Filed Feb 5, 2018 16:54 UTC	Vistagen Therapeutics, Inc. VTGN · Entity 7955	GrantStock Option (Right to Buy) · Derivative	100,000	$0.00 Strike: $1.16	$0.00	Disclosure SEC source: 0001415889-18-000185 · form4-02052018_010248.xml · derivative · entry 1 SAXE JON S · CIK 0001114914 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock · 100,000 shares Expires 2028-02-02 F1 · derivative.exercise_date: 25% of the Shares subject to the Option shall vest on date of grant February 2, 2018, and 1/24th of the remaining Shares subject to the Option shall vest on each monthly anniversary of the grant date thereafter. Read SEC document
October 13, 2017 Filed Oct 16, 2017 17:16 UTC	SCICLONE PHARMACEUTICALS INC SCLN · Entity 172474	Disposition to issuerNon-Qualified Stock Option (right to buy) · Derivative	30,000	$0.28 Strike: $10.90	$8,400.00	Disclosure SEC source: 0000899243-17-024266 · doc4.xml · derivative · entry 10 SAXE JON S · CIK 0001114914 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 30,000 shares Expires 2027-06-08 F2 · price: The option was canceled immediately prior to the merger of Issuer and Silver Delaware Investment Limited (the "Merger") in exchange for a cash payment per share from the Issuer in an amount equal to the excess of $11.18 per share over the exercise price. F10 · derivative.exercise_date: Under its terms the option became exercisable in installments at the rate of one-twelfth of the shares subject to the option at the end of each one-month period from the date of grant (June 11, 2015), and became immediately exercisable and vested in full as of June 11, 2016. Under its terms the option became exercisable in installments at the rate of one-twelfth of the shares subject to the option at the end of each one-month period from the date of grant (June 8, 2017), and became immediately exercisable and vested in full as of the date ten (10) days prior to the Merger. Read SEC document
October 13, 2017 Filed Oct 16, 2017 17:16 UTC	SCICLONE PHARMACEUTICALS INC SCLN · Entity 172474	Disposition to issuerNon-Qualified Stock Option (right to buy) · Derivative	30,000	$2.03 Strike: $9.15	$60,900.00	Disclosure SEC source: 0000899243-17-024266 · doc4.xml · derivative · entry 9 SAXE JON S · CIK 0001114914 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 30,000 shares Expires 2025-06-11 F2 · price: The option was canceled immediately prior to the merger of Issuer and Silver Delaware Investment Limited (the "Merger") in exchange for a cash payment per share from the Issuer in an amount equal to the excess of $11.18 per share over the exercise price. F9 · derivative.exercise_date: Under its terms the option became exercisable in installments at the rate of one-twelfth of the shares subject to the option at the end of each one-month period from the date of grant (June 11, 2015), and became immediately exercisable and vested in full as of June 11, 2016. Read SEC document
October 13, 2017 Filed Oct 16, 2017 17:16 UTC	SCICLONE PHARMACEUTICALS INC SCLN · Entity 172474	Disposition to issuerNon-Qualified Stock Option (right to buy) · Derivative	30,000	$6.08 Strike: $5.10	$182,400.00	Disclosure SEC source: 0000899243-17-024266 · doc4.xml · derivative · entry 8 SAXE JON S · CIK 0001114914 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 30,000 shares Expires 2024-06-12 F2 · price: The option was canceled immediately prior to the merger of Issuer and Silver Delaware Investment Limited (the "Merger") in exchange for a cash payment per share from the Issuer in an amount equal to the excess of $11.18 per share over the exercise price. F8 · derivative.exercise_date: Under its terms the option became exercisable in installments at the rate of one-twelfth of the shares subject to the option at the end of each one-month period from the date of grant (June 12, 2014), and became immediately exercisable and vested in full as of June 12, 2015. Read SEC document
October 13, 2017 Filed Oct 16, 2017 17:16 UTC	SCICLONE PHARMACEUTICALS INC SCLN · Entity 172474	Disposition to issuerNon-Qualified Stock Option (right to buy) · Derivative	30,000	$6.05 Strike: $5.13	$181,500.00	Disclosure SEC source: 0000899243-17-024266 · doc4.xml · derivative · entry 7 SAXE JON S · CIK 0001114914 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 30,000 shares Expires 2023-06-27 F2 · price: The option was canceled immediately prior to the merger of Issuer and Silver Delaware Investment Limited (the "Merger") in exchange for a cash payment per share from the Issuer in an amount equal to the excess of $11.18 per share over the exercise price. F7 · derivative.exercise_date: Under its terms the option became exercisable in installments at the rate of one-twelfth of the shares subject to the option at the end of each one-month period from the date of grant (June 27, 2013), and became immediately exercisable and vested in full as of June 27, 2014. Read SEC document
October 13, 2017 Filed Oct 16, 2017 17:16 UTC	SCICLONE PHARMACEUTICALS INC SCLN · Entity 172474	Disposition to issuerNon-Qualified Stock Option (right to buy) · Derivative	30,000	$4.40 Strike: $6.78	$132,000.00	Disclosure SEC source: 0000899243-17-024266 · doc4.xml · derivative · entry 6 SAXE JON S · CIK 0001114914 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 30,000 shares Expires 2022-06-07 F2 · price: The option was canceled immediately prior to the merger of Issuer and Silver Delaware Investment Limited (the "Merger") in exchange for a cash payment per share from the Issuer in an amount equal to the excess of $11.18 per share over the exercise price. F6 · derivative.exercise_date: Under its terms the option became exercisable in installments at the rate of one-twelfth of the shares subject to the option at the end of each one-month period from the date of grant (June 7, 2012), and became immediately exercisable and vested in full as of June 7, 2013. Read SEC document
October 13, 2017 Filed Oct 16, 2017 17:16 UTC	SCICLONE PHARMACEUTICALS INC SCLN · Entity 172474	Disposition to issuerNon-Qualified Stock Option (right to buy) · Derivative	30,000	$5.14 Strike: $6.04	$154,200.00	Disclosure SEC source: 0000899243-17-024266 · doc4.xml · derivative · entry 5 SAXE JON S · CIK 0001114914 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 30,000 shares Expires 2021-06-30 F2 · price: The option was canceled immediately prior to the merger of Issuer and Silver Delaware Investment Limited (the "Merger") in exchange for a cash payment per share from the Issuer in an amount equal to the excess of $11.18 per share over the exercise price. F5 · derivative.exercise_date: Under its terms the option became exercisable in installments at the rate of one-twelfth of the shares subject to the option at the end of each one-month period from the date of grant (June 30, 2011), and became immediately exercisable and vested in full as of June 30, 2012. Read SEC document
October 13, 2017 Filed Oct 16, 2017 17:16 UTC	SCICLONE PHARMACEUTICALS INC SCLN · Entity 172474	Disposition to issuerNon-Qualified Stock Option (right to buy) · Derivative	30,000	$8.17 Strike: $3.01	$245,100.00	Disclosure SEC source: 0000899243-17-024266 · doc4.xml · derivative · entry 4 SAXE JON S · CIK 0001114914 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 30,000 shares Expires 2020-06-10 F2 · price: The option was canceled immediately prior to the merger of Issuer and Silver Delaware Investment Limited (the "Merger") in exchange for a cash payment per share from the Issuer in an amount equal to the excess of $11.18 per share over the exercise price. F4 · derivative.exercise_date: Under its terms the option became exercisable in installments at the rate of one-twelfth of the shares subject to the option at the end of each one-month period from the date of grant (June 10, 2010), and became immediately exercisable and vested in full as of June 10, 2011. Read SEC document
October 13, 2017 Filed Oct 16, 2017 17:16 UTC	SCICLONE PHARMACEUTICALS INC SCLN · Entity 172474	Disposition to issuerNon-Qualified Stock Option (right to buy) · Derivative	30,000	$8.95 Strike: $2.23	$268,500.00	Disclosure SEC source: 0000899243-17-024266 · doc4.xml · derivative · entry 3 SAXE JON S · CIK 0001114914 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 30,000 shares Expires 2019-06-09 F2 · price: The option was canceled immediately prior to the merger of Issuer and Silver Delaware Investment Limited (the "Merger") in exchange for a cash payment per share from the Issuer in an amount equal to the excess of $11.18 per share over the exercise price. F3 · derivative.exercise_date: Under its terms the option became exercisable in installments at the rate of one-twelfth of the shares subject to the option at the end of each one-month period from the date of grant (June 9, 2009), and became immediately exercisable and vested in full as of June 9, 2010. Read SEC document
October 13, 2017 Filed Oct 16, 2017 17:16 UTC	SCICLONE PHARMACEUTICALS INC SCLN · Entity 172474	Disposition to issuerNon-Qualified Stock Option (right to buy) · Derivative	30,000	$9.43 Strike: $1.75	$282,900.00	Disclosure SEC source: 0000899243-17-024266 · doc4.xml · derivative · entry 2 SAXE JON S · CIK 0001114914 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 30,000 shares Expires 2018-06-10 F2 · price: The option was canceled immediately prior to the merger of Issuer and Silver Delaware Investment Limited (the "Merger") in exchange for a cash payment per share from the Issuer in an amount equal to the excess of $11.18 per share over the exercise price. F1 · derivative.exercise_date: Under its terms the option became exercisable in installments at the rate of one-twelfth of the shares subject to the option at the end of each one-month period from the date of grant (June 10, 2008), and became immediately exercisable and vested in full as of June 9, 2009. Read SEC document
October 13, 2017 Filed Oct 16, 2017 17:16 UTC	SCICLONE PHARMACEUTICALS INC SCLN · Entity 172474	Disposition to issuerCommon Stock	135,000	$11.18	$1,509,300.00	Disclosure SEC source: 0000899243-17-024266 · doc4.xml · nonDerivative · entry 1 SAXE JON S · CIK 0001114914 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Read SEC document
September 19, 2017 Filed Sep 20, 2017 16:31 UTC	Vistagen Therapeutics, Inc. VTGN · Entity 7955	GrantStock Option (Right to Buy) · Derivative	50,000	$0.00 Strike: $1.56	$0.00	Disclosure SEC source: 0001415889-17-001518 · form4-09202017_010916.xml · derivative · entry 1 SAXE JON S · CIK 0001114914 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Stock · 50,000 shares Expires 2027-09-19 F1 · derivative.exercise_date: 1/3rd of the total number of shares shall be immediately vested upon the Vesting Start Date, 9/19/2017, and 1/24th of the remaining number of shares shall vest monthly thereafter until all awarded shares are fully vested two (2) years from the Vesting Start Date. Read SEC document
June 19, 2017 Filed Jun 21, 2017 14:14 UTC	DURECT CORP DRRX · Entity 75335	GrantNon-Qualified Stock Option (right to buy) · Derivative	16,038	$1.06 Strike: $1.40	$17,000.28	Disclosure SEC source: 0001082038-17-000012 · edgardoc.xml · derivative · entry 2 SAXE JON S · CIK 0001114914 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 71,038 Underlying: Common Stock · 16,038 shares Expires 2027-06-19 F3 · price: This Option was issued to the reporting person in lieu of a cash retainer of $17,000. F2 · derivative.exercise_date: This Grant Dated June 19, 2017 will vest as follows: one-fourth (1/4) of the total shares subject to the option shall vest quarterly over one (1) year following the Grant Date. Read SEC document
June 19, 2017 Filed Jun 21, 2017 14:14 UTC	DURECT CORP DRRX · Entity 75335	GrantNon-Qualified Stock Option (right to buy) · Derivative	55,000	$0.00 Strike: $1.40	$0.00	Disclosure SEC source: 0001082038-17-000012 · edgardoc.xml · derivative · entry 1 SAXE JON S · CIK 0001114914 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,000 Underlying: Common Stock · 55,000 shares Expires 2027-06-19 F1 · derivative.exercise_date: 100% of the total shares of this Grant Dated June 19, 2017 shall vest on the day before the first year anniversary of the Grant Date. Read SEC document
June 08, 2017 Filed Jun 9, 2017 16:19 UTC	SCICLONE PHARMACEUTICALS INC SCLN · Entity 172474	GrantNon-Qualified Stock Option (right to buy) · Derivative	30,000	$0.00 Strike: $10.90	$0.00	Disclosure SEC source: 0000880771-17-000093 · certent-form4.xml · derivative · entry 1 SAXE JON S · CIK 0001114914 · Director · Board Member 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 Underlying: Common Stock · 30,000 shares Expires 2027-06-08 F1 · security: Granted under the Issuer's 2015 Equity Incentive Plan. F2 · derivative.exercise_date: Each option shall vest and become exercisable at the rate of one-twelfth of the shares subject to the option at the end of each one-month period from the date of grant except that, in the event of a change in control, any unexercisable or unvested portions of outstanding options shall be immediately exercisable and vested in full as of the date ten (10) days prior to the change in control, regardless of whether the option is assumed or substituted for by the acquirer. Read SEC document
April 26, 2017 Filed Apr 28, 2017 15:33 UTC	Vistagen Therapeutics, Inc. VTGN · Entity 7955	GrantStock Option (Right to Buy) · Derivative	35,000	$0.00 Strike: $1.96	$0.00	Disclosure SEC source: 0001415889-17-000683 · form4-04282017_120442.xml · derivative · entry 1 SAXE JON S · CIK 0001114914 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,000 Underlying: Common Stock · 35,000 shares Expires 2027-04-26 F1 · derivative.exercise_date: One third (1/3rd) of the total shares shall vest one (1) year following the date of grant and 1/24th of the remaining number of shares shall vest monthly thereafter until all awarded shares are fully vested three (3) years from the date of grant. Read SEC document
February 22, 2017 Filed Feb 23, 2017 18:27 UTC	SCICLONE PHARMACEUTICALS INC SCLN · Entity 172474	Exercise / conversionNon-Qualified Stock Option (right to buy) · Derivative	12,700	$0.00 Strike: $2.61	$0.00	Disclosure SEC source: 0000880771-17-000018 · certent-form4.xml · derivative · entry 2 SAXE JON S · CIK 0001114914 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 12,700 shares Expires 2017-06-13 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 · security: Granted under the Issuer's 2004 Outside Directors Stock Option Plan. F2 · derivative.exercise_date: Each option shall vest and become exercisable at the rate of one-twelfth of the shares subject to the option at the end of each one-month period from the date of grant except that, in the event of a change in control, any unexercisable or unvested portions of outstanding options shall be immediately exercisable and vested in full as of the date ten (10) days prior to the change in control, regardless of whether the option is assumed or substituted for by the acquirer. 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.