Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ADAPTIN BIO, INC.NONE · Entity 9083 | Director · Executive Chairman · 10% owner | September 08, 2025 | September 10, 2025 |
| Athenex, Inc.ATNX · Entity 113753 | See Remarks | August 03, 2021 | August 05, 2021 |
| Avalo Therapeutics, Inc.CERC · Entity 4936 | Director · Executive Chairman of the Bd | April 09, 2020 | April 13, 2020 |
| DELCATH SYSTEMS, INC.DCTH · Entity 5387 | Director | February 01, 2019 | February 06, 2019 |
| Oncotelic Therapeutics, Inc.MATN · Entity 7822 | Director | June 20, 2018 | June 22, 2018 |
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.
ADAPTIN BIO, INC.
Report date September 08, 2025 · Filed September 10, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $4.40 · Expires 2035-09-07 | Direct | 192,231 |
Reported balance
After 2025-09-08 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2025-09-08 · Grant · Acquired 192,231 · Balance 192,231 F1: The option vests in equal monthly installments on the last day of each calendar month over 48 months beginning on September 8, 2025. |
| Common StockSEC Table I · non-derivative | Direct | 928,571 |
Reported balance
Holding disclosure · report date 2025-09-08 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 928,571 |
Filing footnotes · ownership attribution and instrument terms
F1: The option vests in equal monthly installments on the last day of each calendar month over 48 months beginning on September 8, 2025.
Athenex, Inc.
Report date August 03, 2021 · Filed August 05, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.80 · Expires 2031-08-05 | Direct | 30,000 |
Reported balance
After 2021-08-03 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2021-08-03 · Grant · Acquired 30,000 · Balance 30,000 F4: This option vests in four equal annual installments beginning on August 3, 2022. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $4.55 · Expires 2023-05-13 | Direct | 20,000 |
Reported balance
Holding disclosure · report date 2021-08-03 · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · Balance 20,000 |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $9.00 · Expires 2026-02-28 | Direct | 100,000 |
Reported balance
Holding disclosure · report date 2021-08-03 · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · Balance 100,000 |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $11.00 · Expires 2027-06-13 | Direct | 130,000 |
Reported balance
Holding disclosure · report date 2021-08-03 · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · Balance 130,000 |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $17.30 · Expires 2028-03-27 | Direct | 60,000 |
Reported balance
Holding disclosure · report date 2021-08-03 · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · Balance 60,000 F1: This option vests in four equal annual installments beginning on March 27, 2019. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $13.17 · Expires 2029-02-28 | Direct | 60,000 |
Reported balance
Holding disclosure · report date 2021-08-03 · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · Balance 60,000 F2: This option vests in four equal annual installments beginning on February 28, 2020. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $12.45 · Expires 2030-06-05 | Direct | 60,000 |
Reported balance
Holding disclosure · report date 2021-08-03 · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · Balance 60,000 F3: This option vests in four equal annual installments beginning on June 5, 2021. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 30,000 |
Reported balance
After 2021-08-03 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2021-08-03 · Grant · Acquired 30,000 · Balance 30,000 F5: Each restricted stock unit represents a contingent right to receive one share of stock. F6: The restricted stock units vest in four equal annual installments beginning on August 3, 2022. |
| Common StockSEC Table I · non-derivative | Direct | 5,310 |
Reported balance
Holding disclosure · report date 2021-08-03 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 5,310 |
Filing footnotes · ownership attribution and instrument terms
F1: This option vests in four equal annual installments beginning on March 27, 2019.
F2: This option vests in four equal annual installments beginning on February 28, 2020.
F3: This option vests in four equal annual installments beginning on June 5, 2021.
F4: This option vests in four equal annual installments beginning on August 3, 2022.
F5: Each restricted stock unit represents a contingent right to receive one share of stock.
F6: The restricted stock units vest in four equal annual installments beginning on August 3, 2022.
Avalo Therapeutics, Inc.
Report date April 09, 2020 · Filed April 13, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 241,833 |
Reported balance
After 2020-04-09 transaction · row 1
1 source rowRow 1 · 2020-04-09 · Tax withholding · Disposed 20,901 · Balance 241,833 F1: Represents shares forfeited to the Issuer in connection with the satisfaction of tax liabilities incurred upon the vesting of restricted stock granted May 24, 2019. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.44 · Expires 2029-06-28 | Direct | 117 |
Reported balance
Holding disclosure · report date 2020-04-09 · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · Balance 117 F2: The stock option is fully vested. F3: Granted for service on the Board of Directors as a non-employee Board member prior to appointment to Executive Chairman of the Board. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $4.98 · Expires 2029-05-24 | Direct | 300,000 |
Reported balance
Holding disclosure · report date 2020-04-09 · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · Balance 300,000 F4: The stock option was granted on May 24, 2019. One-third of the shares subject to the option will vest upon the Issuer's common stock closing at or above $8.00 per share for three consecutive trading days. The next one-third of the shares subject to the option will vest upon the Issuer's common stock closing at or above $10.50 per share for three consecutive trading days. The final one-third of the shares subject to the option will vest upon the Issuer's common stock closing at or above $13.00 per share for three consecutive trading days. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.17 · Expires 2029-04-15 | Direct | 300,000 |
Reported balance
Holding disclosure · report date 2020-04-09 · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · Balance 300,000 F5: The stock option was granted on April 15, 2019. One-third of the shares subject to the stock option will vest on the first anniversary of the date of grant, and the remaining two-thirds of the shares subject to the stock option will vest in equal monthly installments over the following 24 months, provided the Reporting Person is then still providing continuous service as an employee, director or consultant. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.84 · Expires 2029-03-29 | Direct | 882 |
Reported balance
Holding disclosure · report date 2020-04-09 · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · Balance 882 F2: The stock option is fully vested. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.23 · Expires 2028-12-31 | Direct | 1,504 |
Reported balance
Holding disclosure · report date 2020-04-09 · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · Balance 1,504 F2: The stock option is fully vested. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $4.67 · Expires 2028-09-28 | Direct | 990 |
Reported balance
Holding disclosure · report date 2020-04-09 · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · Balance 990 F2: The stock option is fully vested. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $4.34 · Expires 2028-06-29 | Direct | 1,012 |
Reported balance
Holding disclosure · report date 2020-04-09 · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · Balance 1,012 F2: The stock option is fully vested. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.71 · Expires 2028-05-14 | Direct | 8,357 |
Reported balance
Holding disclosure · report date 2020-04-09 · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · Balance 8,357 F2: The stock option is fully vested. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $4.14 · Expires 2028-04-06 | Direct | 16,714 |
Reported balance
Holding disclosure · report date 2020-04-09 · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · Balance 16,714 F6: The stock option will vest in three substantially equal installments on April 6, 2019, 2020 and 2021, provided the Reporting Person is then still providing continuous service as an employee, director or consultant. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents shares forfeited to the Issuer in connection with the satisfaction of tax liabilities incurred upon the vesting of restricted stock granted May 24, 2019.
F2: The stock option is fully vested.
F3: Granted for service on the Board of Directors as a non-employee Board member prior to appointment to Executive Chairman of the Board.
F4: The stock option was granted on May 24, 2019. One-third of the shares subject to the option will vest upon the Issuer's common stock closing at or above $8.00 per share for three consecutive trading days. The next one-third of the shares subject to the option will vest upon the Issuer's common stock closing at or above $10.50 per share for three consecutive trading days. The final one-third of the shares subject to the option will vest upon the Issuer's common stock closing at or above $13.00 per share for three consecutive trading days.
F5: The stock option was granted on April 15, 2019. One-third of the shares subject to the stock option will vest on the first anniversary of the date of grant, and the remaining two-thirds of the shares subject to the stock option will vest in equal monthly installments over the following 24 months, provided the Reporting Person is then still providing continuous service as an employee, director or consultant.
F6: The stock option will vest in three substantially equal installments on April 6, 2019, 2020 and 2021, provided the Reporting Person is then still providing continuous service as an employee, director or consultant.
DELCATH SYSTEMS, INC.
Report date February 01, 2019 · Filed February 06, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $0.28 · Expires 2029-02-01 | Direct | 100,000 |
Reported balance
After 2019-02-01 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2019-02-01 · Grant · Acquired 100,000 · Balance 100,000 F1: The stock options vest in equal amounts of 8,333 options for 11 consecutive months commencing on the one month anniversary of the grant date, and the balance of the options (8,337) vesting on the 12 month anniversary of the grant date. Options are immediately exercisable upon vesting. |
Filing footnotes · ownership attribution and instrument terms
F1: The stock options vest in equal amounts of 8,333 options for 11 consecutive months commencing on the one month anniversary of the grant date, and the balance of the options (8,337) vesting on the 12 month anniversary of the grant date. Options are immediately exercisable upon vesting.
Oncotelic Therapeutics, Inc.
Report date June 20, 2018 · Filed June 22, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.22 · Expires 2024-06-20 | Direct | 258,171 |
Reported balance
After 2018-06-20 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2018-06-20 · Grant · Acquired 258,171 · Balance 258,171 F1: Dr. Pedder was awarded options to purchase shares of Mateon Therapeutics, Inc. common stock, $0.01 par value per shares (the "Stock Options"), in connection with his service as a member of the Board of Directors pursuant to the Amended and Restated Mateon Therapeutics, Inc. 2015 Equity Incentive Plan and the Amended and Restated Non-Employee Director Compensation Policy. F2: The Stock Options will vest in full on June 20, 2019, subject to Dr. Pedder's continued service on the Board of Directors as of such date. |
Filing footnotes · ownership attribution and instrument terms
F1: Dr. Pedder was awarded options to purchase shares of Mateon Therapeutics, Inc. common stock, $0.01 par value per shares (the "Stock Options"), in connection with his service as a member of the Board of Directors pursuant to the Amended and Restated Mateon Therapeutics, Inc. 2015 Equity Incentive Plan and the Amended and Restated Non-Employee Director Compensation Policy.
F2: The Stock Options will vest in full on June 20, 2019, subject to Dr. Pedder's continued service on the Board of Directors as of such date.
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 |
|---|---|---|---|---|---|---|
| September 08, 2025 Filed Sep 10, 2025 20:59 UTC | ADAPTIN BIO, INC. NONE · Entity 9083 | GrantStock Option (right to buy) · Derivative | 192,231 | $0.00 Strike: $4.40 | $0.00 |
DisclosureSEC source: 0001213900-25-086582 · marketforms-70720.xml · derivative · entry 2 Pedder Simon · CIK 0001316736 · Director · Executive Chairman · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 192,231 Underlying: Common Stock · 192,231 shares Expires 2035-09-07 F1 · derivative.exercise_date: The option vests in equal monthly installments on the last day of each calendar month over 48 months beginning on September 8, 2025. Read SEC document |
| August 03, 2021 Filed Aug 5, 2021 17:07 UTC | Athenex, Inc. ATNX · Entity 113753 | GrantRestricted Stock Units · Derivative | 30,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-049982 · doc4.xml · derivative · entry 9 Pedder Simon · CIK 0001316736 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 Underlying: Common Stock · 30,000 shares Expires not disclosed F5 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of stock. F6 · derivative.exercise_date: The restricted stock units vest in four equal annual installments beginning on August 3, 2022. F6 · derivative.expiration_date: The restricted stock units vest in four equal annual installments beginning on August 3, 2022. Read SEC document |
| August 03, 2021 Filed Aug 5, 2021 17:07 UTC | Athenex, Inc. ATNX · Entity 113753 | GrantStock Option (Right to Buy) · Derivative | 30,000 | $0.00 Strike: $3.80 | $0.00 |
DisclosureSEC source: 0001209191-21-049982 · doc4.xml · derivative · entry 8 Pedder Simon · CIK 0001316736 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 Underlying: Common Stock · 30,000 shares Expires 2031-08-05 F4 · derivative.exercise_date: This option vests in four equal annual installments beginning on August 3, 2022. Read SEC document |
| June 05, 2020 Filed Aug 6, 2020 16:45 UTC | Athenex, Inc. ATNX · Entity 113753 | GrantStock Option (Right to Buy) · Derivative | 60,000 | $0.00 Strike: $12.45 | $0.00 |
DisclosureSEC source: 0001209191-20-045489 · doc4.xml · derivative · entry 7 Pedder Simon · CIK 0001316736 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,000 Underlying: Common Stock · 60,000 shares Expires 2030-06-05 F4 · date: These options were granted contingent on receiving shareholder approval of the Amended and Restated 2017 Omnibus Incentive Plan, which approval was received on June 5, 2020. F5 · derivative.exercise_date: This option vests in four equal annual installments beginning on June 5, 2021. Read SEC document |
| April 09, 2020 Filed Apr 13, 2020 18:59 UTC | Avalo Therapeutics, Inc. CERC · Entity 4936 | Tax withholdingCommon Stock | 20,901 | $2.57 | $53,715.57 |
DisclosureSEC source: 0001578563-20-000016 · primary_doc.xml · nonDerivative · entry 1 Pedder Simon · CIK 0001316736 · Director · Executive Chairman of the Bd 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 241,833 F1 · shares: Represents shares forfeited to the Issuer in connection with the satisfaction of tax liabilities incurred upon the vesting of restricted stock granted May 24, 2019. Read SEC document |
| August 27, 2019 Filed Aug 29, 2019 17:03 UTC | Avalo Therapeutics, Inc. CERC · Entity 4936 | PurchaseCommon Stock | 6,734 | $2.98 | $20,100.32 |
DisclosureSEC source: 0001578563-19-000025 · primary_doc.xml · nonDerivative · entry 1 Pedder Simon · CIK 0001316736 · Director · Executive Chairman of the Bd 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 262,734 F1 · price: This transaction was executed in multiple trades ranging from $2.97 to $2.9941. The price reported in Column 4 is a weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder full information regarding the number of shares and prices at which the transactions were effected. Read SEC document |
| June 28, 2019 Filed Jul 2, 2019 16:10 UTC | Avalo Therapeutics, Inc. CERC · Entity 4936 | GrantStock Option (Right to Buy) · Derivative | 117 | $0.00 Strike: $5.44 | $0.00 |
DisclosureSEC source: 0001104659-19-039028 · a4.xml · derivative · entry 2 Pedder Simon · CIK 0001316736 · Director · Executive Chairman of the Bd 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 117 Underlying: Common Stock · 117 shares Expires 2029-06-28 F1 · derivative.underlying_shares: Granted for service on the Board of Directors as a non-employee Board member prior to appointment to Executive Chairman of the Board. Read SEC document |
| May 24, 2019 Filed May 29, 2019 17:31 UTC | Avalo Therapeutics, Inc. CERC · Entity 4936 | GrantStock Option (Right to Buy) · Derivative | 300,000 | $0.00 Strike: $4.98 | $0.00 |
DisclosureSEC source: 0001578563-19-000019 · primary_doc.xml · derivative · entry 2 Pedder Simon · CIK 0001316736 · Director · Executive Chairman of the Bd 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 300,000 Underlying: Common Stock · 300,000 shares Expires 2029-05-24 F2 · derivative.exercise_date: The stock option was granted on May 24, 2019. One-third of the shares subject to the option will vest upon the Issuer's common stock closing at or above $8.00 per share for three consecutive trading days. The next one-third of the shares subject to the option will vest upon the Issuer's common stock closing at or above $10.50 per share for three consecutive trading days. The final one-third of the shares subject to the option will vest upon the Issuer's common stock closing at or above $13.00 per share for three consecutive trading days. Read SEC document |
| May 24, 2019 Filed May 29, 2019 17:31 UTC | Avalo Therapeutics, Inc. CERC · Entity 4936 | GrantCommon Stock | 250,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001578563-19-000019 · primary_doc.xml · nonDerivative · entry 1 Pedder Simon · CIK 0001316736 · Director · Executive Chairman of the Bd 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 256,000 F1 · shares: The restricted stock units vest 50,000 shares immediately and the tax burden of this vest is to be covered by the Issuer and the remaining shares will vest in three substantially equal installments on April 10, 2020, 2021 and 2022, provided the Reporting Person is then still providing continuous service as an employee, director or consultant. Read SEC document |
| May 14, 2019 Filed May 16, 2019 16:19 UTC | Avalo Therapeutics, Inc. CERC · Entity 4936 | PurchaseCommon Stock | 6,000 | $5.06 | $30,336.00 |
DisclosureSEC source: 0001578563-19-000016 · primary_doc.xml · nonDerivative · entry 1 Pedder Simon · CIK 0001316736 · Director · Executive Chairman of the Bd 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,000 Read SEC document |
| April 16, 2019 Filed Apr 17, 2019 16:19 UTC | Athenex, Inc. ATNX · Entity 113753 | GrantCommon Stock | 1,402 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-024973 · doc4.xml · nonDerivative · entry 1 Pedder Simon · CIK 0001316736 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,310 Read SEC document |
| April 15, 2019 Filed Apr 17, 2019 16:44 UTC | Avalo Therapeutics, Inc. CERC · Entity 4936 | GrantStock Option (Right to Buy) · Derivative | 300,000 | $0.00 Strike: $5.17 | $0.00 |
DisclosureSEC source: 0001578563-19-000015 · primary_doc.xml · derivative · entry 1 Pedder Simon · CIK 0001316736 · Director · Executive Chairman of Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 300,000 Underlying: Common Stock · 300,000 shares Expires 2029-04-15 F1 · derivative.exercise_date: One-third of the shares subject to the stock option will vest on the first anniversary of the date of grant, and the remaining two-thirds of the shares subject to the stock option will vest in equal monthly installments over the following 24 months. Read SEC document |
| March 29, 2019 Filed Apr 1, 2019 15:34 UTC | Avalo Therapeutics, Inc. CERC · Entity 4936 | GrantEmployee Stock Option (Right to Buy) · Derivative | 882 | $0.00 Strike: $5.84 | $0.00 |
DisclosureSEC source: 0001562180-19-002070 · primarydocument.xml · derivative · entry 1 Pedder Simon · CIK 0001316736 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 882 Underlying: Common Stock · 882 shares Expires 2029-03-29 Read SEC document |
| February 28, 2019 Filed Mar 4, 2019 17:47 UTC | Athenex, Inc. ATNX · Entity 113753 | GrantStock Option (Right to Buy) · Derivative | 60,000 | $0.00 Strike: $13.17 | $0.00 |
DisclosureSEC source: 0001209191-19-015834 · doc4.xml · derivative · entry 5 Pedder Simon · CIK 0001316736 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,000 Underlying: Common Stock · 60,000 shares Expires 2029-02-28 F4 · derivative.exercise_date: The option vests in four equal annual installments beginning on February 28, 2020. Read SEC document |
| February 01, 2019 Filed Feb 6, 2019 02:48 UTC | DELCATH SYSTEMS, INC. DCTH · Entity 5387 | GrantStock Options · Derivative | 100,000 | $0.00 Strike: $0.28 | $0.00 |
DisclosureSEC source: 0000899243-19-002741 · doc4.xml · derivative · entry 1 Pedder Simon · CIK 0001316736 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock · 100,000 shares Expires 2029-02-01 F1 · derivative.exercise_date: The stock options vest in equal amounts of 8,333 options for 11 consecutive months commencing on the one month anniversary of the grant date, and the balance of the options (8,337) vesting on the 12 month anniversary of the grant date. Options are immediately exercisable upon vesting. Read SEC document |
| December 31, 2018 Filed Jan 2, 2019 16:49 UTC | Avalo Therapeutics, Inc. CERC · Entity 4936 | GrantStock Option (Right to Buy) · Derivative | 1,504 | $0.00 Strike: $3.23 | $0.00 |
DisclosureSEC source: 0001578563-19-000004 · primary_doc.xml · derivative · entry 1 Pedder Simon · CIK 0001316736 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,504 Underlying: Common Stock · 1,504 shares Expires 2028-12-30 Read SEC document |
| November 14, 2018 Filed Nov 14, 2018 18:10 UTC | Athenex, Inc. ATNX · Entity 113753 | PurchaseCommon Stock | 2,908 | $10.26 | $29,830.26 |
DisclosureSEC source: 0001209191-18-058608 · doc4.xml · nonDerivative · entry 1 Pedder Simon · CIK 0001316736 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,908 F1 · price: This transaction was executed in multiple trades ranging from $10.250 to $10.259. The price reported in Column 4 is a weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder full information regarding the number of shares and prices at which the transactions were effected. Read SEC document |
| September 28, 2018 Filed Oct 1, 2018 14:14 UTC | Avalo Therapeutics, Inc. CERC · Entity 4936 | GrantEmployee Stock Option (Right to Buy) · Derivative | 990 | $0.00 Strike: $4.67 | $0.00 |
DisclosureSEC source: 0001562180-18-004060 · primarydocument.xml · derivative · entry 1 Pedder Simon · CIK 0001316736 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 990 Underlying: Common Stock · 990 shares Expires 2028-09-28 Read SEC document |
| June 29, 2018 Filed Jul 3, 2018 08:28 UTC | Avalo Therapeutics, Inc. CERC · Entity 4936 | GrantEmployee Stock Option (Right to Buy) · Derivative | 1,012 | $4.34 Strike: $4.34 | $4,392.08 |
DisclosureSEC source: 0001562180-18-003182 · primarydocument.xml · derivative · entry 1 Pedder Simon · CIK 0001316736 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,012 Underlying: Common Stock · 1,012 shares Expires 2028-06-29 Read SEC document |
| June 20, 2018 Filed Jun 22, 2018 20:13 UTC | Oncotelic Therapeutics, Inc. MATN · Entity 7822 | GrantStock Option (Right to Buy) · Derivative | 258,171 | $0.00 Strike: $0.22 | $0.00 |
DisclosureSEC source: 0001209191-18-039172 · doc4.xml · derivative · entry 1 Pedder Simon · CIK 0001316736 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 258,171 Underlying: Common Stock · 258,171 shares Expires 2024-06-20 F1 · shares: Dr. Pedder was awarded options to purchase shares of Mateon Therapeutics, Inc. common stock, $0.01 par value per shares (the "Stock Options"), in connection with his service as a member of the Board of Directors pursuant to the Amended and Restated Mateon Therapeutics, Inc. 2015 Equity Incentive Plan and the Amended and Restated Non-Employee Director Compensation Policy. F2 · derivative.exercise_date: The Stock Options will vest in full on June 20, 2019, subject to Dr. Pedder's continued service on the Board of Directors as of such date. Read SEC document |
| May 15, 2018 Filed May 17, 2018 19:58 UTC | Avalo Therapeutics, Inc. CERC · Entity 4936 | GrantStock Option (Right to Buy) · Derivative | 8,357 | $0.00 Strike: $3.71 | $0.00 |
DisclosureSEC source: 0001578563-18-000010 · primary_doc.xml · derivative · entry 1 Pedder Simon · CIK 0001316736 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,357 Underlying: Common Stock · 8,357 shares Expires 2028-05-14 F1 · derivative.exercise_date: The stock options will vest in full on May 15, 2019, subject to the grantee's continued service on such vesting date. Read SEC document |
| April 06, 2018 Filed Apr 10, 2018 16:29 UTC | Avalo Therapeutics, Inc. CERC · Entity 4936 | GrantStock Option (right to buy) · Derivative | 16,714 | $0.00 Strike: $4.14 | $0.00 |
DisclosureSEC source: 0001578563-18-000005 · primary_doc.xml · derivative · entry 1 Pedder Simon · CIK 0001316736 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,714 Underlying: Common Stock · 16,714 shares Expires 2028-04-06 F1 · derivative.exercise_date: The grant shall vest one-third on each of the first, second and third anniversaries of the date of grant, provided Dr. Pedder is then a director of the Company. Read SEC document |
| March 27, 2018 Filed Mar 5, 2019 16:27 UTC | Athenex, Inc. ATNX · Entity 113753 | GrantStock Option (Right to Buy) · Derivative | 60,000 | $0.00 Strike: $17.30 | $0.00 |
DisclosureSEC source: 0001209191-19-016497 · doc4.xml · derivative · entry 5 Pedder Simon · CIK 0001316736 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,000 Underlying: Common Stock · 60,000 shares Expires 2028-03-27 F4 · derivative.exercise_date: This option vests in four equal annual installments beginning on March 27, 2019. Read SEC document |
| June 19, 2017 Filed Jun 21, 2017 15:14 UTC | Athenex, Inc. ATNX · Entity 113753 | GrantStock Option (Right to Buy) · Derivative | 130,000 | $0.00 Strike: $11.00 | $0.00 |
DisclosureSEC source: 0000905148-17-000612 · form4.xml · derivative · entry 1 Pedder Simon · CIK 0001316736 · See Remarks. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 130,000 Underlying: Common Stock · 130,000 shares Expires 2027-06-19 F1 · derivative.exercise_date: The option vests in four equal annual installments beginning on June 19, 2018. Read SEC document |
| June 19, 2017 Filed Jul 28, 2017 16:30 UTC Amendment | Athenex, Inc. ATNX · Entity 113753 | PurchaseCommon Stock | 1,000 | $11.00 | $11,000.00 |
DisclosureSEC source: 0000905148-17-000703 · form4.xml · nonDerivative · entry 1 Pedder Simon · CIK 0001316736 · See Remarks. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,000 F1 · shares: These shares of Common Stock ("Shares") were inadvertently omitted from the Reporting Person's Form 4 filed June 21, 2017. F2 · price: These Shares were purchased in the Issuer's initial public offering, which closed on June 19, 2017. Read SEC document |
| June 13, 2017 Filed Aug 21, 2018 17:45 UTC Amendment | Athenex, Inc. ATNX · Entity 113753 | GrantStock Option (Right to Buy) · Derivative | 130,000 | $0.00 Strike: $11.00 | $0.00 |
DisclosureSEC source: 0001209191-18-047801 · doc4a.xml · derivative · entry 1 Pedder Simon · CIK 0001316736 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 130,000 Underlying: Common Stock · 130,000 shares Expires 2027-06-13 F1 · date: This option was previously reported by Dr. Pedder. This amendment is being filed to correct the transaction date, exercise date, and expiration date. F1 · derivative.exercise_date: This option was previously reported by Dr. Pedder. This amendment is being filed to correct the transaction date, exercise date, and expiration date. F2 · derivative.exercise_date: This option vests in four equal annual installments beginning on June 13, 2018. F1 · derivative.expiration_date: This option was previously reported by Dr. Pedder. This amendment is being filed to correct the transaction date, exercise date, and expiration date. Read SEC document |
| June 09, 2017 Filed Jun 13, 2017 00:31 UTC | Oncotelic Therapeutics, Inc. MATN · Entity 7822 | GrantStock Option (Right to Buy) · Derivative | 121,483 | $0.00 Strike: $0.51 | $0.00 |
DisclosureSEC source: 0001209191-17-039320 · doc4.xml · derivative · entry 1 Pedder Simon · CIK 0001316736 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 121,483 Underlying: Common Stock · 121,483 shares Expires 2023-06-09 F1 · shares: Dr. Pedder was awarded options to purchase shares of Mateon Therapeutics, Inc. common stock, $0.01 par value per share (the "Stock Options"), in connection with his service as a member of the Board of Directors pursuant to the Mateon Therapeutics, Inc. 2015 Equity Incentive Plan and the Amended and Restated Non-Employee Director Compensation Policy. F2 · derivative.exercise_date: The Stock Options will vest in full on June 9, 2018, subject to Dr. Pedder's continued service on the Board of Directors as of 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.