Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| DELCATH SYSTEMS, INC.DCTH · Entity 5387 | See Remarks | May 06, 2020 | May 08, 2020 |
| SmartKem, Inc.SMTK · Entity 8554 | Chief Financial Officer | September 03, 2025 | September 05, 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.
DELCATH SYSTEMS, INC.
Report date May 06, 2020 · Filed May 08, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 12,851 |
Last balance in matching sequence
After 2020-05-08 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2020-05-06 · Grant · Acquired 6,040 · Balance 6,051 F2: Reflects a one-for-seven hundred (1:700) reverse stock split effected on December 24, 2019. Row 2 · 2020-05-08 · Conversion · Acquired 6,800 · Balance 12,851 F1: Each share of the Series E Convertible Preferred Stock has no expiration date and a stated value of $1,000 (the "Stated Value"). On May 8, 2020, reporting person converted the Series E Preferred Stock into that number of shares of Delcath Systems Inc. common stock determined by dividing the Stated Value by the conversion price of $10.00. F2: Reflects a one-for-seven hundred (1:700) reverse stock split effected on December 24, 2019. |
| Series E Convertible Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2020-05-08 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2020-05-08 · Conversion · Disposed 68 · Balance 0 F1: Each share of the Series E Convertible Preferred Stock has no expiration date and a stated value of $1,000 (the "Stated Value"). On May 8, 2020, reporting person converted the Series E Preferred Stock into that number of shares of Delcath Systems Inc. common stock determined by dividing the Stated Value by the conversion price of $10.00. |
Filing footnotes · ownership attribution and instrument terms
F1: Each share of the Series E Convertible Preferred Stock has no expiration date and a stated value of $1,000 (the "Stated Value"). On May 8, 2020, reporting person converted the Series E Preferred Stock into that number of shares of Delcath Systems Inc. common stock determined by dividing the Stated Value by the conversion price of $10.00.
F2: Reflects a one-for-seven hundred (1:700) reverse stock split effected on December 24, 2019.
SmartKem, Inc.
Report date September 03, 2025 · Filed September 05, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.16 · Expires 2035-09-03 | Direct | 71,077 |
Reported balance
After 2025-09-03 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2025-09-03 · Grant · Acquired 71,077 · Balance 71,077 F1: The option vests as follows: 25% on the date of grant with the remaining shares to vest in equal monthly installments over a period of 36 months commencing on September 3, 2025 and on the 3rd date of each month thereafter. |
Filing footnotes · ownership attribution and instrument terms
F1: The option vests as follows: 25% on the date of grant with the remaining shares to vest in equal monthly installments over a period of 36 months commencing on September 3, 2025 and on the 3rd date of each month thereafter.
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 03, 2025 Filed Sep 5, 2025 22:01 UTC | SmartKem, Inc. SMTK · Entity 8554 | GrantStock Option (right to buy) · Derivative | 71,077 | $0.00 Strike: $1.16 | $0.00 |
DisclosureSEC source: 0001104659-25-087924 · tm2525173-2_4seq1.xml · derivative · entry 1 Keck Barbra · CIK 0001464238 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 71,077 Underlying: Common Stock · 71,077 shares Expires 2035-09-03 F1 · derivative.exercise_date: The option vests as follows: 25% on the date of grant with the remaining shares to vest in equal monthly installments over a period of 36 months commencing on September 3, 2025 and on the 3rd date of each month thereafter. Read SEC document |
| May 28, 2025 Filed May 29, 2025 01:00 UTC | SmartKem, Inc. SMTK · Entity 8554 | GrantStock Option (right to Buy) · Derivative | 75,660 | $0.00 Strike: $2.51 | $0.00 |
DisclosureSEC source: 0001641172-25-012765 · ownership.xml · derivative · entry 1 Keck Barbra · CIK 0001464238 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 75,660 Underlying: Common Stock · 75,660 shares Expires 2035-04-15 F1 · date: The stock option grant was approved by the Compensation Committee of SmartKem, Inc.'s (the "Company") board of directors on April 15, 2025, subject to stockholder approval of an Amendment to the SmartKem, Inc. 2021 Equity Incentive Plan (the "Amendment"). The Company's stockholders approved the Amendment on May 28, 2025. F2 · derivative.exercise_date: The option vests as follows: 25% on the date of grant with the remaining shares to vest in equal monthly installments over a period of 36 months commencing on May 15, 2025 and on the 15th date of each month thereafter. Read SEC document |
| June 14, 2024 Filed Jun 17, 2024 21:06 UTC | SmartKem, Inc. SMTK · Entity 8554 | GrantEmployee stock option (Right to Buy) · Derivative | 100,000 | $0.00 Strike: $6.50 | $0.00 |
DisclosureSEC source: 0001493152-24-024159 · ownership.xml · derivative · entry 1 Keck Barbra · CIK 0001464238 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock · 100,000 shares Expires 2034-06-14 F1 · derivative.exercise_date: The options vested as to 25% upon date of grant with the remaining shares to vest in equal monthly installments over a period of 36 months commencing on July 14, 2024. Read SEC document |
| January 31, 2024 Filed Feb 2, 2024 22:02 UTC | SmartKem, Inc. SMTK · Entity 8554 | GrantCommon Stock | 100 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-24-010133 · tm244327-4_4seq1.xml · nonDerivative · entry 1 Keck Barbra · CIK 0001464238 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 100 F1 · shares: Reflects a grant of a stock award issued pursuant to the Issuer's 2021 Equity Incentive Plan, which vested in full upon grant. F1 · price: Reflects a grant of a stock award issued pursuant to the Issuer's 2021 Equity Incentive Plan, which vested in full upon grant. Read SEC document |
| December 20, 2022 Filed Dec 20, 2022 21:05 UTC | SmartKem, Inc. SMTK · Entity 8554 | GrantStock option (right to buy) · Derivative | 450,000 | $0.00 Strike: $2.00 | $0.00 |
DisclosureSEC source: 0001104659-22-128625 · tm2232726-1_4.xml · derivative · entry 1 Keck Barbra · CIK 0001464238 · Director · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 450,000 Underlying: Common Stock · 450,000 shares Expires 2032-12-20 F1 · derivative.exercise_date: The option award was made in accordance with the terms of the Issuer's 2021 Equity Incentive Plan. The option vests as to 1/3 of the shares on December 14, 2023 with the remaining shares to vest in equal monthly installments over a period of 24 months commencing January 14, 2024. Read SEC document |
| July 08, 2022 Filed Jul 12, 2022 13:19 UTC | SmartKem, Inc. SMTK · Entity 8554 | GrantStock option (right to buy) · Derivative | 6,000 | $0.00 Strike: $2.00 | $0.00 |
DisclosureSEC source: 0001104659-22-079031 · tm2220038-7_4seq1.xml · derivative · entry 1 Keck Barbra · CIK 0001464238 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,000 Underlying: Common Stock · 6,000 shares Expires 2032-07-08 F1 · derivative.exercise_date: The option award was made in accordance with the terms of the Issuer's 2021 Equity Incentive Plan. The option vests as to 25% of the shares on July 8, 2023 with the remaining shares to vest in equal monthly installments over a period of 36 months commencing on August 1, 2023. Read SEC document |
| March 31, 2021 Filed Apr 2, 2021 16:01 UTC | SmartKem, Inc. NONE · Entity 8554 | GrantStock option (right to buy) · Derivative | 18,000 | $0.00 Strike: $2.00 | $0.00 |
DisclosureSEC source: 0000905718-21-000523 · smartkem_fm4mar312021.xml · derivative · entry 1 Keck Barbra · CIK 0001464238 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,000 Underlying: Common Stock · 18,000 shares Expires 2031-03-31 F1 · derivative.exercise_date: The option award was made in accordance with the terms of the Issuer's 2021 Equity Incentive Plan. The option vests as to 25% of the shares on March 31, 2022 with the remaining shares to vest in equal monthly installments over a period of 36 months commencing on April 30, 2022. Read SEC document |
| March 31, 2021 Filed Apr 11, 2022 21:05 UTC Amendment | SmartKem, Inc. SMTK · Entity 8554 | GrantStock option (right to buy) · Derivative | 18,000 | $0.00 Strike: $2.00 | $0.00 |
DisclosureSEC source: 0000905718-22-000582 · smartkem_fm4amapr22021.xml · derivative · entry 1 Keck Barbra · CIK 0001464238 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,000 Underlying: Common Stock · 18,000 shares Expires 2031-03-31 F1 · derivative.exercise_date: The option award was made in accordance with the terms of the Issuer's 2021 Equity Incentive Plan. The option vests as to 25% of the shares on March 31, 2022 with the remaining shares to vest in equal monthly installments over a period of 36 months commencing on April 1, 2022. F2 · derivative.exercise_date: The original Form 4 filed by the Reporting Person on April 2, 2021 incorrectly reported that the option vests as to 25% of the shares on March 31, 2022 with the remaining shares to vest in equal monthly installments over a period of 36 months commencing on April 30, 2022. Read SEC document |
| May 08, 2020 Filed May 8, 2020 23:19 UTC | DELCATH SYSTEMS, INC. DCTH · Entity 5387 | ConversionSeries E Convertible Preferred Stock · Derivative | 68 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-20-012461 · doc4.xml · derivative · entry 3 Keck Barbra · CIK 0001464238 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 6,800 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of the Series E Convertible Preferred Stock has no expiration date and a stated value of $1,000 (the "Stated Value"). On May 8, 2020, reporting person converted the Series E Preferred Stock into that number of shares of Delcath Systems Inc. common stock determined by dividing the Stated Value by the conversion price of $10.00. F1 · derivative.exercise_date: Each share of the Series E Convertible Preferred Stock has no expiration date and a stated value of $1,000 (the "Stated Value"). On May 8, 2020, reporting person converted the Series E Preferred Stock into that number of shares of Delcath Systems Inc. common stock determined by dividing the Stated Value by the conversion price of $10.00. F1 · derivative.expiration_date: Each share of the Series E Convertible Preferred Stock has no expiration date and a stated value of $1,000 (the "Stated Value"). On May 8, 2020, reporting person converted the Series E Preferred Stock into that number of shares of Delcath Systems Inc. common stock determined by dividing the Stated Value by the conversion price of $10.00. F1 · derivative.underlying_shares: Each share of the Series E Convertible Preferred Stock has no expiration date and a stated value of $1,000 (the "Stated Value"). On May 8, 2020, reporting person converted the Series E Preferred Stock into that number of shares of Delcath Systems Inc. common stock determined by dividing the Stated Value by the conversion price of $10.00. Read SEC document |
| May 08, 2020 Filed May 8, 2020 23:19 UTC | DELCATH SYSTEMS, INC. DCTH · Entity 5387 | ConversionCommon Stock | 6,800 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-20-012461 · doc4.xml · nonDerivative · entry 2 Keck Barbra · CIK 0001464238 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,851 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 · price: Each share of the Series E Convertible Preferred Stock has no expiration date and a stated value of $1,000 (the "Stated Value"). On May 8, 2020, reporting person converted the Series E Preferred Stock into that number of shares of Delcath Systems Inc. common stock determined by dividing the Stated Value by the conversion price of $10.00. F2 · balance_after: Reflects a one-for-seven hundred (1:700) reverse stock split effected on December 24, 2019. Read SEC document |
| May 06, 2020 Filed May 8, 2020 23:19 UTC | DELCATH SYSTEMS, INC. DCTH · Entity 5387 | GrantCommon Stock | 6,040 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-20-012461 · doc4.xml · nonDerivative · entry 1 Keck Barbra · CIK 0001464238 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,051 F2 · balance_after: Reflects a one-for-seven hundred (1:700) reverse stock split effected on December 24, 2019. Read SEC document |
| July 15, 2019 Filed Jul 27, 2019 01:28 UTC | DELCATH SYSTEMS, INC. DCTH · Entity 5387 | PurchaseCommon Stock Warrant (Right to Buy) · Derivative | 1,113,333 | Not disclosed Strike: $0.06 | Not disclosed |
DisclosureSEC source: 0000899243-19-020492 · doc4.xml · derivative · entry 2 Keck Barbra · CIK 0001464238 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,113,333 Underlying: Common Stock · 1,113,333 shares Expires not disclosed F3 · derivative.exercise_price: The warrant was included together with the purchase of Series E Convertible Preferred Stock purchased by the reporting person for $1,000 per share. The purchase of shares of Series E Convertible Preferred Stock was accompanied by a right to purchase 16,666.67 shares of common stock for an aggregate of 1,113,333 shares of common stock. The exercise price of each share under the warrant is $0.06, subject to adjustment in accordance with the terms of the warrant and is exercisable at any time from the date that the issuer effects a reverse stock split through 5:00 p.m. (NYC time) on the fifth anniversary of the date of the reverse stock split. F2 · kind: The purchase was made in a private (PIPE) transaction with the issuer in which the issuer sold Series E Convertible Preferred Stock and warrants. The transactions contemplated by the PIPE transaction were reported on a current report on Form 8-K filed with the SEC by the issuer on each of July 11, 2019 and July 22, 2019. F3 · price: The warrant was included together with the purchase of Series E Convertible Preferred Stock purchased by the reporting person for $1,000 per share. The purchase of shares of Series E Convertible Preferred Stock was accompanied by a right to purchase 16,666.67 shares of common stock for an aggregate of 1,113,333 shares of common stock. The exercise price of each share under the warrant is $0.06, subject to adjustment in accordance with the terms of the warrant and is exercisable at any time from the date that the issuer effects a reverse stock split through 5:00 p.m. (NYC time) on the fifth anniversary of the date of the reverse stock split. F3 · derivative.exercise_date: The warrant was included together with the purchase of Series E Convertible Preferred Stock purchased by the reporting person for $1,000 per share. The purchase of shares of Series E Convertible Preferred Stock was accompanied by a right to purchase 16,666.67 shares of common stock for an aggregate of 1,113,333 shares of common stock. The exercise price of each share under the warrant is $0.06, subject to adjustment in accordance with the terms of the warrant and is exercisable at any time from the date that the issuer effects a reverse stock split through 5:00 p.m. (NYC time) on the fifth anniversary of the date of the reverse stock split. F3 · derivative.expiration_date: The warrant was included together with the purchase of Series E Convertible Preferred Stock purchased by the reporting person for $1,000 per share. The purchase of shares of Series E Convertible Preferred Stock was accompanied by a right to purchase 16,666.67 shares of common stock for an aggregate of 1,113,333 shares of common stock. The exercise price of each share under the warrant is $0.06, subject to adjustment in accordance with the terms of the warrant and is exercisable at any time from the date that the issuer effects a reverse stock split through 5:00 p.m. (NYC time) on the fifth anniversary of the date of the reverse stock split. Read SEC document |
| July 15, 2019 Filed Jul 27, 2019 01:28 UTC | DELCATH SYSTEMS, INC. DCTH · Entity 5387 | PurchaseSeries E Convertible Preferred Stock · Derivative | 68 | $1,000.00 Strike: $0.06 | $68,000.00 |
DisclosureSEC source: 0000899243-19-020492 · doc4.xml · derivative · entry 1 Keck Barbra · CIK 0001464238 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 68 Underlying: Common Stock · 1,113,333 shares Expires not disclosed F1 · derivative.exercise_price: Each share of the Series E Convertible Preferred Stock, par value of $0.01 per share, has a stated value of $1,000 (the "Stated Value") and is convertible at any time at the option of the holder into the number of shares of Delcath common stock determined by dividing the Stated Value by the conversion price of $0.06, subject to certain limitations and adjustments contemplated within the Certificate of Designation. F2 · kind: The purchase was made in a private (PIPE) transaction with the issuer in which the issuer sold Series E Convertible Preferred Stock and warrants. The transactions contemplated by the PIPE transaction were reported on a current report on Form 8-K filed with the SEC by the issuer on each of July 11, 2019 and July 22, 2019. F1 · derivative.exercise_date: Each share of the Series E Convertible Preferred Stock, par value of $0.01 per share, has a stated value of $1,000 (the "Stated Value") and is convertible at any time at the option of the holder into the number of shares of Delcath common stock determined by dividing the Stated Value by the conversion price of $0.06, subject to certain limitations and adjustments contemplated within the Certificate of Designation. F4 · derivative.expiration_date: The Series E Convertible Preferred Stock has no expiration date. F3 · derivative.underlying_shares: The warrant was included together with the purchase of Series E Convertible Preferred Stock purchased by the reporting person for $1,000 per share. The purchase of shares of Series E Convertible Preferred Stock was accompanied by a right to purchase 16,666.67 shares of common stock for an aggregate of 1,113,333 shares of common stock. The exercise price of each share under the warrant is $0.06, subject to adjustment in accordance with the terms of the warrant and is exercisable at any time from the date that the issuer effects a reverse stock split through 5:00 p.m. (NYC time) on the fifth anniversary of the date of the reverse stock split. Read SEC document |
| February 01, 2019 Filed Feb 6, 2019 02:06 UTC | DELCATH SYSTEMS, INC. DCTH · Entity 5387 | GrantStock Options · Derivative | 250,000 | $0.00 Strike: $0.28 | $0.00 |
DisclosureSEC source: 0000899243-19-002733 · doc4.xml · derivative · entry 1 Keck Barbra · CIK 0001464238 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 250,000 Underlying: Common Stock · 250,000 shares Expires 2029-02-01 F1 · derivative.exercise_date: The stock options vest in equal amounts of 20,833 options for 11 consecutive months commencing on the one month anniversary of the grant date, and the balance of the options (20,837) vesting on the 12 month anniversary of the grant date. Options are immediately exercisable upon vesting. Read SEC document |
| September 28, 2018 Filed Oct 23, 2018 20:16 UTC | DELCATH SYSTEMS, INC. DCTH · Entity 5387 | PurchaseCOMMON STOCK | 7,399 | $1.75 | $12,948.25 |
DisclosureSEC source: 0000899243-18-027289 · doc4.xml · nonDerivative · entry 1 Keck Barbra · CIK 0001464238 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,500 Read SEC document |
| August 01, 2018 Filed Aug 2, 2018 23:17 UTC | DELCATH SYSTEMS, INC. DCTH · Entity 5387 | PurchaseCommon Stock | 100 | $2.39 | $239.00 |
DisclosureSEC source: 0000899243-18-021271 · doc4.xml · nonDerivative · entry 1 Keck Barbra · CIK 0001464238 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 101 Read SEC document |
| June 27, 2017 Filed Jun 29, 2017 20:30 UTC | DELCATH SYSTEMS, INC. DCTH · Entity 5387 | Tax withholdingCommon Stock | 168 | $0.22 | $36.51 |
DisclosureSEC source: 0000899243-17-017525 · doc4.xml · nonDerivative · entry 1 Keck Barbra · CIK 0001464238 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,887 F1 · kind: Represents shares withheld and disposed of by the issuer's equity plan administrator to satisfy withholding taxes due in connection with the vesting of shares underlying a previously disclosed equity award. Read SEC document |
| February 08, 2017 Filed Feb 10, 2017 21:17 UTC | DELCATH SYSTEMS, INC. DCTH · Entity 5387 | GrantCommon Stock | 20,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-003461 · doc4.xml · nonDerivative · entry 1 Keck Barbra · CIK 0001464238 · Senior VP, Finance 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,055 F1 · security: Consists of a restricted share award. The shares are subject to vesting on the first anniversary of the date of grant. 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.