Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ADMA BIOLOGICS, INC.ADMA · Entity 4477 | Director | February 28, 2020 | March 03, 2020 |
| Altimmune, Inc.PIP · Entity 5349 | Director | November 22, 2016 | November 23, 2016 |
| Gain Therapeutics, Inc.GANX · Entity 6943 | Director | June 24, 2025 | June 25, 2025 |
| NeuBase Therapeutics, Inc.NBSE · Entity 109568 | Director | September 09, 2022 | September 12, 2022 |
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.
ADMA BIOLOGICS, INC.
Report date February 28, 2020 · Filed March 03, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 44,030 |
Reported balance
After 2020-02-28 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2020-02-28 · Grant · Acquired 7,500 · Balance 44,030 F1: These shares represent restricted stock units ("RSUs"), which will vest in 12 equal monthly installments, becoming fully vested on the one-year anniversary of the grant, subject to the reporting person's continued service as of the applicable vesting date, and will be settled into common stock upon vesting. F2: Includes (i) 7,500 RSUs granted on February 28, 2020 and reported on this Form 4, subject to vesting as set forth in footnote (1) and will be settled into common stock upon vesting; and (ii) 36,530 shares of common stock owned by the reporting person. |
| Employee Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.92 · Expires 2030-02-28 | Direct | 15,000 |
Reported balance
After 2020-02-28 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2020-02-28 · Grant · Acquired 15,000 · Balance 15,000 F3: The option vests in 12 equal monthly installments, becoming fully vested on the one-year anniversary of the date of grant. |
Filing footnotes · ownership attribution and instrument terms
F1: These shares represent restricted stock units ("RSUs"), which will vest in 12 equal monthly installments, becoming fully vested on the one-year anniversary of the grant, subject to the reporting person's continued service as of the applicable vesting date, and will be settled into common stock upon vesting.
F2: Includes (i) 7,500 RSUs granted on February 28, 2020 and reported on this Form 4, subject to vesting as set forth in footnote (1) and will be settled into common stock upon vesting; and (ii) 36,530 shares of common stock owned by the reporting person.
F3: The option vests in 12 equal monthly installments, becoming fully vested on the one-year anniversary of the date of grant.
Altimmune, Inc.
Report date November 22, 2016 · Filed November 23, 2016
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, $0.0001 par value per shareSEC Table I · non-derivative | Direct | 898,055 |
Ending reported balance
After 2016-11-22 transaction · row 6
6 source rows · reconciled sequenceRow 1 · 2016-11-22 · Exercise / conversion · Acquired 30,573 · Balance 444,895 Row 2 · 2016-11-22 · Exercise / conversion · Acquired 37,500 · Balance 482,395 Row 3 · 2016-11-22 · Exercise / conversion · Acquired 240,000 · Balance 722,395 Row 4 · 2016-11-22 · Exercise / conversion · Acquired 135,660 · Balance 858,055 Row 5 · 2016-11-22 · Exercise / conversion · Acquired 20,000 · Balance 878,055 Row 6 · 2016-11-22 · Exercise / conversion · Acquired 20,000 · Balance 898,055 |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.46 · Expires 2019-01-21 | Direct | 0 |
Reported balance
After 2016-11-22 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2016-11-22 · Exercise / conversion · Disposed 30,573 · Balance 0 |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.19 · Expires 2022-12-12 | Direct | 0 |
Reported balance
After 2016-11-22 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2016-11-22 · Exercise / conversion · Disposed 37,500 · Balance 0 |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.94 · Expires 2024-01-29 | Direct | 0 |
Reported balance
After 2016-11-22 transaction · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · 2016-11-22 · Exercise / conversion · Disposed 240,000 · Balance 0 |
| Stock option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.71 · Expires 2024-12-11 | Direct | 0 |
Reported balance
After 2016-11-22 transaction · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · 2016-11-22 · Exercise / conversion · Disposed 135,660 · Balance 0 |
| Stock option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.69 · Expires 2025-08-01 | Direct | 0 |
Reported balance
After 2016-11-22 transaction · row 12
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 12 · 2016-11-22 · Exercise / conversion · Disposed 20,000 · Balance 0 |
| Stock option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.20 · Expires 2026-05-31 | Direct | 0 |
Reported balance
After 2016-11-22 transaction · row 13
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 13 · 2016-11-22 · Exercise / conversion · Disposed 20,000 · Balance 0 |
| Common Stock, $0.0001 par value per shareSEC Table I · non-derivative | IndirectSee Footnote | 10,000 |
Reported balance
Holding disclosure · report date 2016-11-22 · row 7
Holding and transaction disclosures are not merged.
1 source rowRow 7 · Balance 10,000 F1: Held indirectly as previously reported on Form 4 dated November 10, 2011. |
Filing footnotes · ownership attribution and instrument terms
F1: Held indirectly as previously reported on Form 4 dated November 10, 2011.
Gain Therapeutics, Inc.
Report date June 24, 2025 · Filed June 25, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.79 · Expires 2035-06-24 | Direct | 15,000 |
Reported balance
After 2025-06-24 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2025-06-24 · Grant · Acquired 15,000 · Balance 15,000 F1: The option vests in 12 equal monthly installments commencing on July 24, 2025, subject to the Reporting Person's continuous service through the applicable vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: The option vests in 12 equal monthly installments commencing on July 24, 2025, subject to the Reporting Person's continuous service through the applicable vesting date.
NeuBase Therapeutics, Inc.
Report date September 09, 2022 · Filed September 12, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.60 · Expires 2032-09-09 | Direct | 37,600 |
Reported balance
After 2022-09-09 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2022-09-09 · Grant · Acquired 37,600 · Balance 37,600 F1: 25% of the total shares shall vest on the first anniversary of September 9, 2022, and the remaining shares shall vest on an equal monthly basis over the following 36 months. |
Filing footnotes · ownership attribution and instrument terms
F1: 25% of the total shares shall vest on the first anniversary of September 9, 2022, and the remaining shares shall vest on an equal monthly basis over the following 36 months.
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 |
|---|---|---|---|---|---|---|
| June 24, 2025 Filed Jun 25, 2025 21:30 UTC | Gain Therapeutics, Inc. GANX · Entity 6943 | GrantStock Option (right to buy) · Derivative | 15,000 | $0.00 Strike: $1.79 | $0.00 |
DisclosureSEC source: 0001641172-25-016537 · ownership.xml · derivative · entry 1 RICHMAN ERIC I · CIK 0001313876 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2035-06-24 F1 · derivative.exercise_date: The option vests in 12 equal monthly installments commencing on July 24, 2025, subject to the Reporting Person's continuous service through the applicable vesting date. Read SEC document |
| July 01, 2024 Filed Jul 1, 2024 21:00 UTC | Gain Therapeutics, Inc. GANX · Entity 6943 | PurchaseCommon Stock | 12,000 | $1.21 | $14,520.00 |
DisclosureSEC source: 0001493152-24-025831 · ownership.xml · nonDerivative · entry 2 RICHMAN ERIC I · CIK 0001313876 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 289,629 Read SEC document |
| July 01, 2024 Filed Jul 1, 2024 21:00 UTC | Gain Therapeutics, Inc. GANX · Entity 6943 | PurchaseCommon Stock | 5,000 | $1.23 | $6,150.00 |
DisclosureSEC source: 0001493152-24-025831 · ownership.xml · nonDerivative · entry 1 RICHMAN ERIC I · CIK 0001313876 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 277,629 Read SEC document |
| June 24, 2024 Filed Jun 27, 2024 01:30 UTC | Gain Therapeutics, Inc. GANX · Entity 6943 | GrantStock Option (right to buy) · Derivative | 15,000 | $0.00 Strike: $1.29 | $0.00 |
DisclosureSEC source: 0001493152-24-025335 · ownership.xml · derivative · entry 1 RICHMAN ERIC I · CIK 0001313876 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2034-06-24 F1 · derivative.exercise_date: The option vests in 12 equal monthly installments commencing on July 24, 2024, subject to the Reporting Person's continuous service through the applicable vesting date. Read SEC document |
| September 20, 2023 Filed Sep 22, 2023 20:34 UTC | Gain Therapeutics, Inc. GANX · Entity 6943 | Exercise / conversionRestricted Stock Units · Derivative | 54,900 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-23-050380 · doc4.xml · derivative · entry 3 RICHMAN ERIC I · CIK 0001313876 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 54,900 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 restricted stock unit ("RSU") represents a contingent right to receive one share of Issuer common stock. F3 · derivative.exercise_date: The RSUs vested fully on September 20, 2023. F3 · derivative.expiration_date: The RSUs vested fully on September 20, 2023. Read SEC document |
| September 20, 2023 Filed Sep 22, 2023 20:34 UTC | Gain Therapeutics, Inc. GANX · Entity 6943 | Exercise / conversionCommon Stock | 54,900 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-23-050380 · doc4.xml · nonDerivative · entry 1 RICHMAN ERIC I · CIK 0001313876 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 272,629 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 restricted stock unit ("RSU") represents a contingent right to receive one share of Issuer common stock. Read SEC document |
| September 20, 2022 Filed Sep 22, 2022 20:14 UTC | Gain Therapeutics, Inc. GANX · Entity 6943 | GrantRestricted Stock Units · Derivative | 54,900 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-051014 · doc4.xml · derivative · entry 2 RICHMAN ERIC I · CIK 0001313876 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,900 Underlying: Common Stock · 54,900 shares Expires not disclosed F2 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Issuer common stock. F3 · derivative.exercise_date: The RSUs shall vest fully on September 20, 2023, subject to Reporting Person's continuous service through such date. F3 · derivative.expiration_date: The RSUs shall vest fully on September 20, 2023, subject to Reporting Person's continuous service through such date. Read SEC document |
| September 20, 2022 Filed Sep 22, 2022 20:14 UTC | Gain Therapeutics, Inc. GANX · Entity 6943 | GrantEmployee Stock Option (right to buy) · Derivative | 329,400 | $0.00 Strike: $3.50 | $0.00 |
DisclosureSEC source: 0001209191-22-051014 · doc4.xml · derivative · entry 1 RICHMAN ERIC I · CIK 0001313876 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 329,400 Underlying: Common Stock · 329,400 shares Expires 2032-09-20 F1 · derivative.exercise_date: The shares underlying the option shall vest fully on September 20, 2023, subject to Reporting Person's continuous service through such date. Read SEC document |
| September 09, 2022 Filed Sep 12, 2022 17:01 UTC | NeuBase Therapeutics, Inc. NBSE · Entity 109568 | GrantStock option (right to buy) · Derivative | 37,600 | $0.00 Strike: $0.60 | $0.00 |
DisclosureSEC source: 0001104659-22-099290 · tm2225655-5_4seq1.xml · derivative · entry 1 RICHMAN ERIC I · CIK 0001313876 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,600 Underlying: Common Stock · 37,600 shares Expires 2032-09-09 F1 · derivative.exercise_date: 25% of the total shares shall vest on the first anniversary of September 9, 2022, and the remaining shares shall vest on an equal monthly basis over the following 36 months. Read SEC document |
| May 25, 2022 Filed May 27, 2022 20:10 UTC | Gain Therapeutics, Inc. GANX · Entity 6943 | PurchaseCommon stock | 2,482 | $2.58 | $6,403.56 |
DisclosureSEC source: 0001415889-22-005798 · form4-05272022_040501.xml · nonDerivative · entry 1 RICHMAN ERIC I · CIK 0001313876 · Director · CHIEF EXECUTIVE OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 217,729 Read SEC document |
| May 20, 2022 Filed May 23, 2022 20:41 UTC | Gain Therapeutics, Inc. GANX · Entity 6943 | PurchaseCommon Stock | 9,256 | $2.83 | $26,194.48 |
DisclosureSEC source: 0001415889-22-005501 · form4-05232022_010526.xml · nonDerivative · entry 2 RICHMAN ERIC I · CIK 0001313876 · Director · CHIEF EXECUTIVE OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 215,247 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.75 to $2.97 inclusive.The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request,full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. Read SEC document |
| May 19, 2022 Filed May 23, 2022 20:41 UTC | Gain Therapeutics, Inc. GANX · Entity 6943 | PurchaseCommon stock | 4,000 | $2.71 | $10,840.00 |
DisclosureSEC source: 0001415889-22-005501 · form4-05232022_010526.xml · nonDerivative · entry 1 RICHMAN ERIC I · CIK 0001313876 · Director · CHIEF EXECUTIVE OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 205,991 Read SEC document |
| March 04, 2022 Filed Mar 7, 2022 19:13 UTC | NeuBase Therapeutics, Inc. NBSE · Entity 109568 | PurchaseCommon stock | 1,000 | $1.62 | $1,620.00 |
DisclosureSEC source: 0001104659-22-031172 · tm228600-1_4seq1.xml · nonDerivative · entry 4 RICHMAN ERIC I · CIK 0001313876 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,960 F1 · ownership.direct: The power of attorney under which this form was signed is on file with the Commission. Read SEC document |
| March 03, 2022 Filed Mar 7, 2022 19:13 UTC | NeuBase Therapeutics, Inc. NBSE · Entity 109568 | PurchaseCommon stock | 1,300 | $1.72 | $2,236.00 |
DisclosureSEC source: 0001104659-22-031172 · tm228600-1_4seq1.xml · nonDerivative · entry 3 RICHMAN ERIC I · CIK 0001313876 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,960 F4 · shares: These shares were purchased in multiple transactions. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the SEC, upon request, full information regarding the number of shares purchased in at each separate transaction. F1 · ownership.direct: The power of attorney under which this form was signed is on file with the Commission. Read SEC document |
| March 01, 2022 Filed Mar 7, 2022 19:13 UTC | NeuBase Therapeutics, Inc. NBSE · Entity 109568 | PurchaseCommon stock | 1,580 | $1.58 | $2,496.40 |
DisclosureSEC source: 0001104659-22-031172 · tm228600-1_4seq1.xml · nonDerivative · entry 2 RICHMAN ERIC I · CIK 0001313876 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,660 F3 · shares: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.57 to $1.59, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission ("SEC"), upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.57 to $1.59, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission ("SEC"), upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F1 · ownership.direct: The power of attorney under which this form was signed is on file with the Commission. Read SEC document |
| August 19, 2021 Filed Sep 17, 2021 16:16 UTC | NeuBase Therapeutics, Inc. NBSE · Entity 109568 | GrantStock option (right to buy) · Derivative | 38,135 | $0.00 Strike: $3.36 | $0.00 |
DisclosureSEC source: 0001104659-21-116920 · tm2127926-1_4seq1.xml · derivative · entry 1 RICHMAN ERIC I · CIK 0001313876 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,135 Underlying: Common Stock · 38,135 shares Expires 2031-08-19 F1 · derivative.exercise_date: 25% of the total shares shall vest on the first anniversary of August 19, 2021, and the remaining shares shall vest on an equal monthly basis over the following 36 months. Read SEC document |
| August 16, 2021 Filed Aug 18, 2021 01:03 UTC | Gain Therapeutics, Inc. GANX · Entity 6943 | Exercise / conversionCommon Stock | 4,922 | $7.87 | $38,716.45 |
DisclosureSEC source: 0001104659-21-107121 · tm2125355-1_4seq1.xml · nonDerivative · entry 1 RICHMAN ERIC I · CIK 0001313876 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 216,820 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 16, 2021 Filed Apr 21, 2022 20:50 UTC Amendment | Gain Therapeutics, Inc. GANX · Entity 6943 | PurchaseCommon Stock | 4,922 | $7.87 | $38,716.45 |
DisclosureSEC source: 0001209191-22-025180 · doc4a.xml · nonDerivative · entry 1 RICHMAN ERIC I · CIK 0001313876 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 216,820 F1 · kind: The original Form 4 filed on August 17, 2021 incorrectly listed the transaction code at "M" instead of "P". Read SEC document |
| April 26, 2021 Filed Apr 27, 2021 16:03 UTC | NeuBase Therapeutics, Inc. NBSE · Entity 109568 | PurchaseCommon stock | 5,000 | $5.00 | $25,000.00 |
DisclosureSEC source: 0001104659-21-055582 · tm2114321-4_4seq1.xml · nonDerivative · entry 2 RICHMAN ERIC I · CIK 0001313876 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,080 F1 · ownership.direct: The power of attorney under which this form was signed is on file with the Commission. Read SEC document |
| September 09, 2020 Filed Sep 11, 2020 17:20 UTC | NeuBase Therapeutics, Inc. NBSE · Entity 109568 | GrantStock option (right to buy) · Derivative | 14,634 | $0.00 Strike: $8.80 | $0.00 |
DisclosureSEC source: 0001104659-20-104489 · tm2030658d2_4.xml · derivative · entry 1 RICHMAN ERIC I · CIK 0001313876 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,634 Underlying: Common Stock · 14,634 shares Expires 2030-09-09 F1 · derivative.exercise_date: 25% of the total shares shall vest on the first anniversary of September 9, 2020, and the remaining shares shall vest on an equal monthly basis over the following 36 months. Read SEC document |
| April 30, 2020 Filed May 4, 2020 09:56 UTC | NeuBase Therapeutics, Inc. NBSE · Entity 109568 | PurchaseCommon stock | 8,333 | $6.00 | $49,998.00 |
DisclosureSEC source: 0001104659-20-055957 · tm2018429-1_form4.xml · nonDerivative · entry 2 RICHMAN ERIC I · CIK 0001313876 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,080 F1 · ownership.direct: The power of attorney under which this form was signed is on file with the Commission. Read SEC document |
| April 30, 2020 Filed May 4, 2020 09:56 UTC | NeuBase Therapeutics, Inc. NBSE · Entity 109568 | PurchaseCommon stock | 2,500 | $6.00 | $15,000.00 |
DisclosureSEC source: 0001104659-20-055957 · tm2018429-1_form4.xml · nonDerivative · entry 1 RICHMAN ERIC I · CIK 0001313876 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 27,747 F1 · ownership.direct: The power of attorney under which this form was signed is on file with the Commission. F2 · ownership.nature: Shares are held in a trust for the benefit of the Reporting Person with the Reporting Person and the Reporting Person's spouse serving as co-trustees. Read SEC document |
| February 28, 2020 Filed Mar 3, 2020 19:10 UTC | ADMA BIOLOGICS, INC. ADMA · Entity 4477 | GrantEmployee Stock Option (right to buy) · Derivative | 15,000 | $0.00 Strike: $2.92 | $0.00 |
DisclosureSEC source: 0001193805-20-000290 · e619424_4-richman.xml · derivative · entry 2 RICHMAN ERIC I · CIK 0001313876 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2030-02-28 F3 · derivative.exercise_date: The option vests in 12 equal monthly installments, becoming fully vested on the one-year anniversary of the date of grant. Read SEC document |
| February 28, 2020 Filed Mar 3, 2020 19:10 UTC | ADMA BIOLOGICS, INC. ADMA · Entity 4477 | GrantCommon Stock | 7,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001193805-20-000290 · e619424_4-richman.xml · nonDerivative · entry 1 RICHMAN ERIC I · CIK 0001313876 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,030 F1 · shares: These shares represent restricted stock units ("RSUs"), which will vest in 12 equal monthly installments, becoming fully vested on the one-year anniversary of the grant, subject to the reporting person's continued service as of the applicable vesting date, and will be settled into common stock upon vesting. F2 · balance_after: Includes (i) 7,500 RSUs granted on February 28, 2020 and reported on this Form 4, subject to vesting as set forth in footnote (1) and will be settled into common stock upon vesting; and (ii) 36,530 shares of common stock owned by the reporting person. Read SEC document |
| July 12, 2019 Filed Jul 16, 2019 20:35 UTC | NeuBase Therapeutics, Inc. NBSE · Entity 109568 | GrantStock option (right to buy) · Derivative | 227,330 | $0.00 Strike: $5.39 | $0.00 |
DisclosureSEC source: 0001387131-19-005131 · ownership.xml · derivative · entry 2 RICHMAN ERIC I · CIK 0001313876 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 227,330 Underlying: Common stock · 227,330 shares Expires 2029-07-12 F3 · derivative.exercise_date: 1/36th of the total shares subject to the option shall vest monthly over three years. Read SEC document |
| July 12, 2019 Filed Jul 16, 2019 20:35 UTC | NeuBase Therapeutics, Inc. NBSE · Entity 109568 | GrantCommon stock | 25,247 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001387131-19-005131 · ownership.xml · nonDerivative · entry 1 RICHMAN ERIC I · CIK 0001313876 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 25,247 F1 · price: Shares of common stock of the corporation formerly known as NeuBase Therapeutics, Inc. ("NeuBase") were converted into shares of common stock of the Issuer pursuant to that certain Agreement and Plan of Merger and Reorganization, dated as of January 2, 2019, by and among the Issuer, Ohr Acquisition Corp., and NeuBase, as amended (the "Merger Agreement"). Pursuant to the terms of the Merger Agreement, each share of NeuBase common stock was exchanged for 1.019055643 shares of the Issuer's common stock. Immediately following the merger, the Issuer changed its name to NeuBase Therapeutics, Inc. F2 · ownership.nature: Shares are held in a trust for the benefit of the Reporting Person with the Reporting Person and the Reporting Person's spouse serving as co-trustees. Read SEC document |
| March 13, 2019 Filed Mar 15, 2019 17:00 UTC | ADMA BIOLOGICS, INC. ADMA · Entity 4477 | GrantStock Option (right to buy) · Derivative | 30,000 | $0.00 Strike: $3.89 | $0.00 |
DisclosureSEC source: 0001193805-19-000293 · e618302_4-richman.xml · derivative · entry 1 RICHMAN ERIC I · CIK 0001313876 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 Underlying: Common Stock · 30,000 shares Expires 2029-03-13 F1 · derivative.exercise_date: The option vests in twelve equal monthly installments, becoming fully vested on the one-year anniversary of the date of grant. F2 · derivative.expiration_date: The option terminates on the earlier of (i) March 13, 2029 and (ii) the one-year anniversary of the reporting person's ceasing to serve as a director of the Issuer. Read SEC document |
| June 22, 2018 Filed Jun 25, 2018 17:02 UTC | ADMA BIOLOGICS, INC. ADMA · Entity 4477 | GrantStock Option (right to buy) · Derivative | 17,500 | $0.00 Strike: $4.91 | $0.00 |
DisclosureSEC source: 0001193805-18-000905 · e618130_4-richman.xml · derivative · entry 1 RICHMAN ERIC I · CIK 0001313876 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,500 Underlying: Common Stock · 17,500 shares Expires 2028-06-22 F1 · derivative.exercise_date: The option vests in twenty-four equal monthly installments, becoming fully vested on the two year anniversary of the date of grant. F2 · derivative.expiration_date: The option terminates on the earlier of (i) June 22, 2028 and (ii) the one year anniversary of the reporting person's ceasing to serve as a director of the Issuer. Read SEC document |
| June 08, 2018 Filed Jun 11, 2018 07:08 UTC | ADMA BIOLOGICS, INC. ADMA · Entity 4477 | PurchaseCommon Stock | 5,230 | $4.78 | $24,999.40 |
DisclosureSEC source: 0001193805-18-000817 · e618083_4-richman.xml · nonDerivative · entry 1 RICHMAN ERIC I · CIK 0001313876 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,530 F1 · shares: Represents a purchase from the underwriters in the Issuer's public offering. Read SEC document |
| November 09, 2017 Filed Nov 13, 2017 13:51 UTC | ADMA BIOLOGICS, INC. ADMA · Entity 4477 | PurchaseCommon Stock | 25,000 | $2.15 | $53,750.00 |
DisclosureSEC source: 0001193805-17-003455 · e617474_4-richman.xml · nonDerivative · entry 1 RICHMAN ERIC I · CIK 0001313876 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,300 F1 · shares: Represents a purchase from the underwriters in the Issuer's public offering. Read SEC document |
| July 13, 2017 Filed Jul 17, 2017 17:12 UTC | ADMA BIOLOGICS, INC. ADMA · Entity 4477 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 2,800 | $0.00 Strike: $2.68 | $0.00 |
DisclosureSEC source: 0001193805-17-001298 · e616384_4-richman.xml · derivative · entry 2 RICHMAN ERIC I · CIK 0001313876 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,800 shares Expires 2017-07-16 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_date: The shares subject to the option vested in equal monthly installments over the four (4) year period following July 16, 2007. Read SEC document |
| July 13, 2017 Filed Jul 17, 2017 17:12 UTC | ADMA BIOLOGICS, INC. ADMA · Entity 4477 | Exercise / conversionCommon Stock | 2,800 | $2.68 | $7,504.00 |
DisclosureSEC source: 0001193805-17-001298 · e616384_4-richman.xml · nonDerivative · entry 1 RICHMAN ERIC I · CIK 0001313876 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,300 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 |
| June 06, 2017 Filed Jun 8, 2017 18:02 UTC | ADMA BIOLOGICS, INC. ADMA · Entity 4477 | GrantStock Option (right to buy) · Derivative | 78,144 | $0.00 Strike: $3.66 | $0.00 |
DisclosureSEC source: 0001193805-17-001056 · e616263_4-richman.xml · derivative · entry 1 RICHMAN ERIC I · CIK 0001313876 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 78,144 Underlying: Common Stock · 78,144 shares Expires 2027-06-06 F1 · derivative.exercise_date: The option vests in twenty-four equal monthly installments, becoming fully vested on the two year anniversary of the date of grant. F2 · derivative.expiration_date: The option terminates on the earlier of (i) June 6, 2027 and (ii) the one year anniversary of the reporting person's ceasing to serve as a director of the Issuer. Read SEC document |
| February 14, 2017 Filed Feb 16, 2017 20:14 UTC | ADMA BIOLOGICS, INC. ADMA · Entity 4477 | GrantStock Option (right to buy) · Derivative | 10,000 | $0.00 Strike: $5.00 | $0.00 |
DisclosureSEC source: 0001193805-17-000279 · e615794_4-richman.xml · derivative · entry 1 RICHMAN ERIC I · CIK 0001313876 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Underlying: Common Stock · 10,000 shares Expires 2027-02-14 F1 · derivative.exercise_date: The option vests in twenty-four equal monthly installments, becoming fully vested on the two year anniversary of the date of grant. F2 · derivative.expiration_date: The option terminates on the earlier of (i) February 14, 2027 and (ii) the one year anniversary of the reporting person's ceasing to serve as a director of the Issuer. Read SEC document |
| November 22, 2016 Filed Nov 23, 2016 21:46 UTC | Altimmune, Inc. PIP · Entity 5349 | Exercise / conversionStock option (right to buy) · Derivative | 20,000 | $0.00 Strike: $2.20 | $0.00 |
DisclosureSEC source: 0001144204-16-136385 · v453824_4.xml · derivative · entry 13 RICHMAN ERIC I · CIK 0001313876 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 20,000 shares Expires 2026-05-31 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 |
| November 22, 2016 Filed Nov 23, 2016 21:46 UTC | Altimmune, Inc. PIP · Entity 5349 | Exercise / conversionStock option (right to buy) · Derivative | 20,000 | $0.00 Strike: $1.69 | $0.00 |
DisclosureSEC source: 0001144204-16-136385 · v453824_4.xml · derivative · entry 12 RICHMAN ERIC I · CIK 0001313876 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 20,000 shares Expires 2025-08-01 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 |
| November 22, 2016 Filed Nov 23, 2016 21:46 UTC | Altimmune, Inc. PIP · Entity 5349 | Exercise / conversionStock option (right to buy) · Derivative | 135,660 | $0.00 Strike: $1.71 | $0.00 |
DisclosureSEC source: 0001144204-16-136385 · v453824_4.xml · derivative · entry 11 RICHMAN ERIC I · CIK 0001313876 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 135,660 shares Expires 2024-12-11 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 |
| November 22, 2016 Filed Nov 23, 2016 21:46 UTC | Altimmune, Inc. PIP · Entity 5349 | Exercise / conversionStock Option (right to buy) · Derivative | 240,000 | $0.00 Strike: $1.94 | $0.00 |
DisclosureSEC source: 0001144204-16-136385 · v453824_4.xml · derivative · entry 10 RICHMAN ERIC I · CIK 0001313876 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 240,000 shares Expires 2024-01-29 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 |
| November 22, 2016 Filed Nov 23, 2016 21:46 UTC | Altimmune, Inc. PIP · Entity 5349 | Exercise / conversionStock Option (right to buy) · Derivative | 37,500 | $0.00 Strike: $1.19 | $0.00 |
DisclosureSEC source: 0001144204-16-136385 · v453824_4.xml · derivative · entry 9 RICHMAN ERIC I · CIK 0001313876 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 37,500 shares Expires 2022-12-12 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 |
| November 22, 2016 Filed Nov 23, 2016 21:46 UTC | Altimmune, Inc. PIP · Entity 5349 | Exercise / conversionStock Option (right to buy) · Derivative | 30,573 | $0.00 Strike: $2.46 | $0.00 |
DisclosureSEC source: 0001144204-16-136385 · v453824_4.xml · derivative · entry 8 RICHMAN ERIC I · CIK 0001313876 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 30,573 shares Expires 2019-01-21 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 |
| November 22, 2016 Filed Nov 23, 2016 21:46 UTC | Altimmune, Inc. PIP · Entity 5349 | Exercise / conversionCommon Stock, $0.0001 par value per share | 20,000 | $2.20 | $44,000.00 |
DisclosureSEC source: 0001144204-16-136385 · v453824_4.xml · nonDerivative · entry 6 RICHMAN ERIC I · CIK 0001313876 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 898,055 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 |
| November 22, 2016 Filed Nov 23, 2016 21:46 UTC | Altimmune, Inc. PIP · Entity 5349 | Exercise / conversionCommon Stock, $0.0001 par value per share | 20,000 | $1.69 | $33,800.00 |
DisclosureSEC source: 0001144204-16-136385 · v453824_4.xml · nonDerivative · entry 5 RICHMAN ERIC I · CIK 0001313876 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 878,055 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 |
| November 22, 2016 Filed Nov 23, 2016 21:46 UTC | Altimmune, Inc. PIP · Entity 5349 | Exercise / conversionCommon Stock, $0.0001 par value per share | 135,660 | $1.71 | $231,978.60 |
DisclosureSEC source: 0001144204-16-136385 · v453824_4.xml · nonDerivative · entry 4 RICHMAN ERIC I · CIK 0001313876 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 858,055 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 |
| November 22, 2016 Filed Nov 23, 2016 21:46 UTC | Altimmune, Inc. PIP · Entity 5349 | Exercise / conversionCommon Stock, $0.0001 par value per share | 240,000 | $1.94 | $465,600.00 |
DisclosureSEC source: 0001144204-16-136385 · v453824_4.xml · nonDerivative · entry 3 RICHMAN ERIC I · CIK 0001313876 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 722,395 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 |
| November 22, 2016 Filed Nov 23, 2016 21:46 UTC | Altimmune, Inc. PIP · Entity 5349 | Exercise / conversionCommon Stock, $0.0001 par value per share | 37,500 | $1.19 | $44,625.00 |
DisclosureSEC source: 0001144204-16-136385 · v453824_4.xml · nonDerivative · entry 2 RICHMAN ERIC I · CIK 0001313876 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 482,395 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 |
| November 22, 2016 Filed Nov 23, 2016 21:46 UTC | Altimmune, Inc. PIP · Entity 5349 | Exercise / conversionCommon Stock, $0.0001 par value per share | 30,573 | $2.46 | $75,209.58 |
DisclosureSEC source: 0001144204-16-136385 · v453824_4.xml · nonDerivative · entry 1 RICHMAN ERIC I · CIK 0001313876 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 444,895 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 |
| September 28, 2016 Filed Sep 30, 2016 20:33 UTC | Altimmune, Inc. PIP · Entity 5349 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 37,500 | $0.00 Strike: $1.19 | $0.00 |
DisclosureSEC source: 0001144204-16-126317 · v449797_4.xml · derivative · entry 7 RICHMAN ERIC I · CIK 0001313876 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,500 Underlying: Common Stock · 37,500 shares Expires 2022-12-12 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 |
| September 28, 2016 Filed Sep 30, 2016 20:33 UTC | Altimmune, Inc. PIP · Entity 5349 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 100,000 | $0.00 Strike: $1.48 | $0.00 |
DisclosureSEC source: 0001144204-16-126317 · v449797_4.xml · derivative · entry 6 RICHMAN ERIC I · CIK 0001313876 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 100,000 shares Expires 2020-05-18 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 |
| September 28, 2016 Filed Sep 30, 2016 20:33 UTC | Altimmune, Inc. PIP · Entity 5349 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 100,000 | $0.00 Strike: $1.51 | $0.00 |
DisclosureSEC source: 0001144204-16-126317 · v449797_4.xml · derivative · entry 5 RICHMAN ERIC I · CIK 0001313876 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 100,000 shares Expires 2020-03-25 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 |
| September 28, 2016 Filed Sep 30, 2016 20:33 UTC | Altimmune, Inc. PIP · Entity 5349 | Exercise / conversionCommon Stock, $0.0001 par value per share | 37,500 | $1.19 | $44,625.00 |
DisclosureSEC source: 0001144204-16-126317 · v449797_4.xml · nonDerivative · entry 3 RICHMAN ERIC I · CIK 0001313876 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 414,322 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.