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 |
|---|---|---|---|---|---|---|
| September 28, 2016 Filed Sep 30, 2016 20:33 UTC | Altimmune, Inc. PIP · Entity 5349 | Exercise / conversionCommon Stock, $0.0001 par value per share | 100,000 | $1.48 | $148,000.00 |
DisclosureSEC source: 0001144204-16-126317 · v449797_4.xml · nonDerivative · entry 2 RICHMAN ERIC I · CIK 0001313876 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 376,822 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 | 100,000 | $1.51 | $151,000.00 |
DisclosureSEC source: 0001144204-16-126317 · v449797_4.xml · nonDerivative · entry 1 RICHMAN ERIC I · CIK 0001313876 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 276,822 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.