Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Aditxt, Inc.ADTX · Entity 8072 | Director | June 05, 2025 | June 09, 2025 |
| Evofem Biosciences, Inc.EVFM · Entity 8607 | Director · Chief Executive Officer | December 31, 2022 | April 26, 2023 |
| Tracon Pharmaceuticals, Inc.TCON · Entity 91134 | Director | April 19, 2023 | April 21, 2023 |
| WINDTREE THERAPEUTICS INC /DE/WINT · Entity 8761 | Director | August 13, 2024 | August 14, 2024 |
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.
Aditxt, Inc.
Report date June 05, 2025 · Filed June 09, 2025
This filing explicitly reported no securities owned.
Evofem Biosciences, Inc.
Report date December 31, 2022 · Filed April 26, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 186,722 |
Reported balance
After 2022-12-31 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2022-12-31 · Disposition to issuer · Disposed 50,000 · Balance 186,722 F1: The disposition is due to forfeiture under the vesting provisions of restricted stock awards granted on 2/18/2022. |
Filing footnotes · ownership attribution and instrument terms
F1: The disposition is due to forfeiture under the vesting provisions of restricted stock awards granted on 2/18/2022.
Tracon Pharmaceuticals, Inc.
Report date April 19, 2023 · Filed April 21, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Director Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.82 · Expires 2033-04-18 | Direct | 18,000 |
Reported balance
After 2023-04-19 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2023-04-19 · Grant · Acquired 18,000 · Balance 18,000 F1: The shares subject to the option shall vest and become exercisable on the earlier of the first anniversary of the grant date set forth in column 3 above or the date of the next annual meeting of the Company's stockholders, subject to the optionee's Continuous Service (as defined in the Company's 2015 Equity Incentive Plan (the "Plan")) and accelerated on the closing of a Change of Control (as defined in the Plan). |
Filing footnotes · ownership attribution and instrument terms
F1: The shares subject to the option shall vest and become exercisable on the earlier of the first anniversary of the grant date set forth in column 3 above or the date of the next annual meeting of the Company's stockholders, subject to the optionee's Continuous Service (as defined in the Company's 2015 Equity Incentive Plan (the "Plan")) and accelerated on the closing of a Change of Control (as defined in the Plan).
WINDTREE THERAPEUTICS INC /DE/
Report date August 13, 2024 · Filed August 14, 2024
This filing explicitly reported no securities owned.
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 |
|---|---|---|---|---|---|---|
| April 19, 2023 Filed Apr 21, 2023 20:48 UTC | Tracon Pharmaceuticals, Inc. TCON · Entity 91134 | GrantDirector Stock Option (Right to Buy) · Derivative | 18,000 | $0.00 Strike: $1.82 | $0.00 |
DisclosureSEC source: 0001209191-23-025286 · doc4.xml · derivative · entry 1 PELLETIER SAUNDRA L · CIK 0001251371 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 18,000 Underlying: Common Stock · 18,000 shares Expires 2033-04-18 F1 · derivative.exercise_date: The shares subject to the option shall vest and become exercisable on the earlier of the first anniversary of the grant date set forth in column 3 above or the date of the next annual meeting of the Company's stockholders, subject to the optionee's Continuous Service (as defined in the Company's 2015 Equity Incentive Plan (the "Plan")) and accelerated on the closing of a Change of Control (as defined in the Plan). Read SEC document |
| December 31, 2022 Filed Apr 26, 2023 20:50 UTC | Evofem Biosciences, Inc. EVFM · Entity 8607 | Disposition to issuerCommon Stock | 50,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001251371-23-000002 · wf-form4_168255658655192.xml · nonDerivative · entry 1 PELLETIER SAUNDRA L · CIK 0001251371 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 186,722 F1 · security: The disposition is due to forfeiture under the vesting provisions of restricted stock awards granted on 2/18/2022. Read SEC document |
| June 14, 2022 Filed Jun 16, 2022 21:14 UTC | Tracon Pharmaceuticals, Inc. TCON · Entity 91134 | GrantDirector Stock Option (Right to Buy) · Derivative | 15,750 | $0.00 Strike: $1.30 | $0.00 |
DisclosureSEC source: 0001209191-22-037672 · doc4.xml · derivative · entry 1 PELLETIER SAUNDRA L · CIK 0001251371 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,750 Underlying: Common Stock · 15,750 shares Expires 2032-06-13 F1 · derivative.exercise_date: The shares subject to the option shall vest and become exercisable on the earlier of the first anniversary of the grant date set forth in column 3 above or the date of the next annual meeting of the Company's stockholders, subject to the optionee's Continuous Service (as defined in the Company's 2015 Equity Incentive Plan (the "Plan")) and accelerated on the closing of a Change of Control (as defined in the Plan). Read SEC document |
| May 27, 2022 Filed May 31, 2022 08:55 UTC | Evofem Biosciences, Inc. EVFM · Entity 8607 | PurchaseCommon Stock | 141,000 | $0.35 | $49,702.50 |
DisclosureSEC source: 0001618835-22-000130 · wf-form4_165400171064865.xml · nonDerivative · entry 1 PELLETIER SAUNDRA L · CIK 0001251371 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 236,722 F1 · price: These shares were purchased in multiple transactions and the price reported in Column 4 is a weighted average price. 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. Read SEC document |
| February 18, 2022 Filed Feb 23, 2022 16:04 UTC | Evofem Biosciences, Inc. EVFM · Entity 8607 | GrantStock option (right to buy) · Derivative | 750,000 | $0.00 Strike: $0.49 | $0.00 |
DisclosureSEC source: 0001618835-22-000028 · wf-form4_164565026543618.xml · derivative · entry 2 PELLETIER SAUNDRA L · CIK 0001251371 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 750,000 Underlying: Common Stock · 750,000 shares Expires 2032-02-18 F2 · derivative.exercise_date: The shares of common stock exercisable pursuant to the option will vest in a series of forty-eight (48) successive equal monthly installments upon completion of each additional month of service for the Issuer measured from February 18, 2022. Read SEC document |
| February 18, 2022 Filed Feb 23, 2022 16:04 UTC | Evofem Biosciences, Inc. EVFM · Entity 8607 | GrantCommon Stock | 750,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001618835-22-000028 · wf-form4_164565026543618.xml · nonDerivative · entry 1 PELLETIER SAUNDRA L · CIK 0001251371 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,435,837 F1 · shares: The restricted stock awards will vest based on the Issuer's achievement of certain performance milestones in 2022. Read SEC document |
| December 31, 2021 Filed Jan 4, 2022 16:03 UTC | Evofem Biosciences, Inc. EVFM · Entity 8607 | Disposition to issuerCommon Stock | 300,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001618835-22-000004 · wf-form4_164133021790367.xml · nonDerivative · entry 1 PELLETIER SAUNDRA L · CIK 0001251371 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 685,837 F1 · security: The disposition is due to forfeiture under the vesting provisions of restricted stock awards granted on 2/3/2021. Read SEC document |
| December 20, 2021 Filed Dec 20, 2021 16:19 UTC | Evofem Biosciences, Inc. EVFM · Entity 8607 | PurchaseCommon Stock | 135,000 | $0.38 | $50,625.00 |
DisclosureSEC source: 0001618835-21-000271 · wf-form4_164003514607858.xml · nonDerivative · entry 1 PELLETIER SAUNDRA L · CIK 0001251371 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 985,837 Read SEC document |
| July 26, 2021 Filed Jul 27, 2021 06:00 UTC | Tracon Pharmaceuticals, Inc. TCON · Entity 91134 | PurchaseCommon Stock | 6,545 | $3.82 | $25,001.90 |
DisclosureSEC source: 0001209191-21-048272 · doc4.xml · nonDerivative · entry 1 PELLETIER SAUNDRA L · CIK 0001251371 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,045 Read SEC document |
| June 10, 2021 Filed Jun 10, 2021 19:30 UTC | Evofem Biosciences, Inc. EVFM · Entity 8607 | PurchaseCommon Stock | 50,000 | $1.03 | $51,500.00 |
DisclosureSEC source: 0001618835-21-000147 · wf-form4_162336778417446.xml · nonDerivative · entry 1 PELLETIER SAUNDRA L · CIK 0001251371 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 850,837 Read SEC document |
| June 10, 2021 Filed Jun 24, 2021 19:01 UTC | Tracon Pharmaceuticals, Inc. TCON · Entity 91134 | GrantDirector Stock Option (Right to Buy) · Derivative | 10,500 | $0.00 Strike: $6.55 | $0.00 |
DisclosureSEC source: 0001209191-21-043141 · doc4.xml · derivative · entry 1 PELLETIER SAUNDRA L · CIK 0001251371 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,500 Underlying: Common Stock · 10,500 shares Expires 2031-06-09 F1 · derivative.exercise_date: The shares subject to the option shall vest and become exercisable on the earlier of the first anniversary of the grant date set forth in column 3 above or the date of the next annual meeting of the Company's stockholders. Read SEC document |
| May 20, 2021 Filed May 21, 2021 16:25 UTC | Evofem Biosciences, Inc. EVFM · Entity 8607 | Tax withholdingCommon Stock | 105,300 | $0.86 | $90,558.00 |
DisclosureSEC source: 0001618835-21-000133 · wf-form4_162162870730649.xml · nonDerivative · entry 1 PELLETIER SAUNDRA L · CIK 0001251371 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 800,837 F1 · shares: Shares withheld by the Issuer to satisfy statutory tax withholding requirements upon vesting of restricted stock awards occurring on May 20, 2021. No shares were sold in connection with this transaction. Read SEC document |
| March 09, 2021 Filed Mar 9, 2021 18:59 UTC | Evofem Biosciences, Inc. EVFM · Entity 8607 | PurchaseCommon Stock | 45,249 | $2.28 | $103,167.72 |
DisclosureSEC source: 0001618835-21-000052 · wf-form4_161533435338287.xml · nonDerivative · entry 1 PELLETIER SAUNDRA L · CIK 0001251371 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 906,137 F1 · kind: These purchases were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 18, 2020. F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.21 to $2.37, 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 ranges set forth in footnote (2) to this Form 4. Read SEC document |
| February 03, 2021 Filed Feb 3, 2021 20:05 UTC | Evofem Biosciences, Inc. EVFM · Entity 8607 | GrantStock option (right to buy) · Derivative | 700,000 | $0.00 Strike: $3.25 | $0.00 |
DisclosureSEC source: 0001618835-21-000015 · wf-form4_161240068137959.xml · derivative · entry 2 PELLETIER SAUNDRA L · CIK 0001251371 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 700,000 Underlying: Common Stock · 700,000 shares Expires 2031-02-03 F2 · derivative.exercise_date: The shares of common stock exercisable pursuant to the option will vest in a series of forty-eight (48) successive equal monthly installments upon completion of each additional month of service for the Issuer measured from February 3, 2021. Read SEC document |
| February 03, 2021 Filed Feb 3, 2021 20:05 UTC | Evofem Biosciences, Inc. EVFM · Entity 8607 | GrantCommon Stock | 500,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001618835-21-000015 · wf-form4_161240068137959.xml · nonDerivative · entry 1 PELLETIER SAUNDRA L · CIK 0001251371 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 860,888 F1 · shares: The restricted stock awards will vest based on the Issuer's achievement of certain performance milestones in 2021. Read SEC document |
| September 08, 2020 Filed Sep 10, 2020 20:04 UTC | Evofem Biosciences, Inc. EVFM · Entity 8607 | SaleCommon Stock | 122,500 | $3.26 | $399,350.00 |
DisclosureSEC source: 0001618835-20-000218 · wf-form4_159978266397349.xml · nonDerivative · entry 1 PELLETIER SAUNDRA L · CIK 0001251371 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 360,888 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.09 to $3.45, 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 sold at each separate price within the ranges set forth in footnote (1) to this Form 4. F2 · balance_after: The total amount of securities beneficially owned includes 4,303 shares of common stock the reporting person purchased in accordance with the 2019 ESPP based on 85% of the closing stock price on June 12,2020, the last trading day of the purchase period. Read SEC document |
| June 15, 2020 Filed Jun 16, 2020 17:24 UTC | Tracon Pharmaceuticals, Inc. TCON · Entity 91134 | PurchaseCommon Stock | 3,000 | $2.07 | $6,209.10 |
DisclosureSEC source: 0001209191-20-037018 · doc4.xml · nonDerivative · entry 2 PELLETIER SAUNDRA L · CIK 0001251371 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,500 Read SEC document |
| June 11, 2020 Filed Jun 16, 2020 17:24 UTC | Tracon Pharmaceuticals, Inc. TCON · Entity 91134 | PurchaseCommon Stock | 2,500 | $2.00 | $5,000.00 |
DisclosureSEC source: 0001209191-20-037018 · doc4.xml · nonDerivative · entry 1 PELLETIER SAUNDRA L · CIK 0001251371 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,500 Read SEC document |
| June 10, 2020 Filed Jun 16, 2020 17:24 UTC | Tracon Pharmaceuticals, Inc. TCON · Entity 91134 | GrantDirector Stock Option (Right to Buy) · Derivative | 4,500 | $0.00 Strike: $2.07 | $0.00 |
DisclosureSEC source: 0001209191-20-037018 · doc4.xml · derivative · entry 3 PELLETIER SAUNDRA L · CIK 0001251371 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,500 Underlying: Common Stock · 4,500 shares Expires 2030-06-09 F1 · derivative.exercise_date: The shares subject to the option shall vest and become exercisable on the earlier of the first anniversary of the grant date set forth in column 3 above or the date of the next annual meeting of the Company's stockholders. Read SEC document |
| June 05, 2020 Filed Jun 8, 2020 17:42 UTC | Evofem Biosciences, Inc. EVFM · Entity 8607 | Tax withholdingCommon Stock | 85,620 | $3.31 | $283,402.20 |
DisclosureSEC source: 0001618835-20-000187 · wf-form4_159165254089208.xml · nonDerivative · entry 1 PELLETIER SAUNDRA L · CIK 0001251371 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 479,085 F1 · shares: Shares withheld by the Issuer to satisfy statutory tax withholding requirements upon vesting of restricted stock awards occurring on June 5, 2020. No shares were sold in connection with this transaction. Read SEC document |
| May 22, 2020 Filed May 26, 2020 17:17 UTC | Evofem Biosciences, Inc. EVFM · Entity 8607 | Tax withholdingCommon Stock | 84,525 | $4.99 | $421,779.75 |
DisclosureSEC source: 0001618835-20-000159 · wf-form4_159052781756168.xml · nonDerivative · entry 1 PELLETIER SAUNDRA L · CIK 0001251371 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 564,705 F1 · shares: Shares withheld by the Issuer to satisfy statutory tax withholding requirements upon vesting of restricted stock awards occurring on May 22, 2020. No shares were sold in connection with this transaction. Read SEC document |
| May 06, 2020 Filed May 8, 2020 12:31 UTC | Evofem Biosciences, Inc. EVFM · Entity 8607 | Tax withholdingCommon Stock | 16,905 | $5.24 | $88,582.20 |
DisclosureSEC source: 0001618835-20-000112 · wf-form4_158895545390049.xml · nonDerivative · entry 1 PELLETIER SAUNDRA L · CIK 0001251371 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 649,230 F1 · shares: Shares withheld by the Issuer to satisfy statutory tax withholding requirements upon vesting of restricted stock awards occurring on May 6, 2020. No shares were sold in connection with this transaction. Read SEC document |
| March 16, 2020 Filed Mar 18, 2020 16:29 UTC | Tracon Pharmaceuticals, Inc. TCON · Entity 91134 | GrantEmployee Stock Option (Right to Buy) · Derivative | 6,000 | $0.00 Strike: $1.12 | $0.00 |
DisclosureSEC source: 0001209191-20-020002 · doc4.xml · derivative · entry 1 PELLETIER SAUNDRA L · CIK 0001251371 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,000 Underlying: Common Stock · 6,000 shares Expires 2030-03-15 F1 · derivative.exercise_date: The shares subject to the option shall vest and become exercisable in three equal annual installments commencing on the first anniversary of the grant date set forth in column 3 above. Read SEC document |
| February 05, 2020 Filed Feb 7, 2020 16:33 UTC | Evofem Biosciences, Inc. EVFM · Entity 8607 | GrantStock option (right to buy) · Derivative | 300,000 | $0.00 Strike: $4.87 | $0.00 |
DisclosureSEC source: 0001618835-20-000022 · wf-form4_158111119257424.xml · derivative · entry 3 PELLETIER SAUNDRA L · CIK 0001251371 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 300,000 Underlying: Common Stock · 300,000 shares Expires 2030-02-05 F5 · derivative.exercise_date: The shares of common stock exercisable pursuant to the option will vest in a series of thirty-six (36) successive equal monthly installments upon completion of each additional month of service for the Issuer measured from February 5, 2020. Read SEC document |
| February 05, 2020 Filed Feb 7, 2020 16:33 UTC | Evofem Biosciences, Inc. EVFM · Entity 8607 | GrantCommon Stock | 300,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001618835-20-000022 · wf-form4_158111119257424.xml · nonDerivative · entry 2 PELLETIER SAUNDRA L · CIK 0001251371 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 666,135 F4 · shares: The restricted stock awards will vest based on the Issuer's achievement of certain performance milestones in 2020. Read SEC document |
| February 05, 2020 Filed Feb 7, 2020 16:33 UTC | Evofem Biosciences, Inc. EVFM · Entity 8607 | GrantCommon Stock | 3,846 | $5.21 | $20,037.66 |
DisclosureSEC source: 0001618835-20-000022 · wf-form4_158111119257424.xml · nonDerivative · entry 1 PELLETIER SAUNDRA L · CIK 0001251371 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 366,135 F1 · security: The reporting person is voluntarily reporting the acquisition of shares of the Issuer's common stock pursuant to the Evofem Biosciences, Inc. 2019 Employee Stock Purchase Plan (2019 ESPP), for the ESPP purchase period of June 17, 2019 through December 13,2019. This transaction is also exempt under Rule 16b-3(c). F2 · date: The reporting person is voluntarily reporting this transaction as of February 5, 2020, but the actual transaction took place on December 13, 2019, the last trading day of the purchase period under the 2019 ESPP. F3 · shares: In accordance with the 2019 ESPP, these shares were purchased based on 85% of the closing stock price on December 13, 2019, the last trading day of the purchase period. Read SEC document |
| January 13, 2020 Filed Jan 15, 2020 16:22 UTC | Evofem Biosciences, Inc. EVFM · Entity 8607 | SaleCommon Stock | 3,295 | $6.00 | $19,770.00 |
DisclosureSEC source: 0001618835-20-000010 · wf-form4_157912331106987.xml · nonDerivative · entry 1 PELLETIER SAUNDRA L · CIK 0001251371 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 362,289 F1 · kind: These sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 28, 2019. Read SEC document |
| January 02, 2020 Filed Jan 6, 2020 15:08 UTC | Evofem Biosciences, Inc. EVFM · Entity 8607 | SaleCommon Stock | 6,705 | $6.05 | $40,565.25 |
DisclosureSEC source: 0001618835-20-000004 · wf-form4_157834128185451.xml · nonDerivative · entry 1 PELLETIER SAUNDRA L · CIK 0001251371 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 365,584 F1 · kind: These sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 28, 2019. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.00 to $6.06, 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 sold at each separate price within the ranges set forth in footnote (2) to this Form 4. Read SEC document |
| December 02, 2019 Filed Dec 4, 2019 17:33 UTC | Evofem Biosciences, Inc. EVFM · Entity 8607 | SaleCommon Stock | 20,000 | $7.30 | $146,000.00 |
DisclosureSEC source: 0001618835-19-000212 · wf-form4_157549878641244.xml · nonDerivative · entry 1 PELLETIER SAUNDRA L · CIK 0001251371 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 372,289 F1 · kind: These sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 28, 2019. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.26 to $7.55, 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 sold at each separate price within the ranges set forth in footnote (2) to this Form 4. Read SEC document |
| November 25, 2019 Filed Nov 26, 2019 17:15 UTC | Evofem Biosciences, Inc. EVFM · Entity 8607 | Tax withholdingCommon Stock | 22,387 | $6.22 | $139,247.14 |
DisclosureSEC source: 0001618835-19-000205 · wf-form4_157480653003211.xml · nonDerivative · entry 1 PELLETIER SAUNDRA L · CIK 0001251371 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 392,289 F1 · shares: Shares withheld by the Issuer to satisfy statutory tax withholding requirements upon vesting of restricted stock awards occurring on November 25, 2019. No shares were sold in connection with this transaction. Read SEC document |
| November 21, 2019 Filed Nov 21, 2019 20:18 UTC | Evofem Biosciences, Inc. EVFM · Entity 8607 | SaleCommon Stock | 10,000 | $6.01 | $60,100.00 |
DisclosureSEC source: 0001618835-19-000184 · wf-form4_157438549248266.xml · nonDerivative · entry 2 PELLETIER SAUNDRA L · CIK 0001251371 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 414,676 F2 · kind: These sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 28, 2019. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.00 to $6.01, 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 sold at each separate price within the ranges set forth in footnote (3) to this Form 4. Read SEC document |
| November 20, 2019 Filed Nov 21, 2019 20:18 UTC | Evofem Biosciences, Inc. EVFM · Entity 8607 | Tax withholdingCommon Stock | 22,657 | $5.74 | $130,051.18 |
DisclosureSEC source: 0001618835-19-000184 · wf-form4_157438549248266.xml · nonDerivative · entry 1 PELLETIER SAUNDRA L · CIK 0001251371 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 424,676 F1 · shares: Shares withheld by the Issuer to satisfy statutory tax withholding requirements upon vesting of restricted stock awards occurring on November 20, 2019. No shares were sold in connection with this transaction. Read SEC document |
| August 22, 2019 Filed Aug 26, 2019 18:37 UTC | Evofem Biosciences, Inc. EVFM · Entity 8607 | Tax withholdingCommon Stock | 4,923 | $5.13 | $25,254.99 |
DisclosureSEC source: 0001618835-19-000157 · wf-form4_156685903031279.xml · nonDerivative · entry 1 PELLETIER SAUNDRA L · CIK 0001251371 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 447,333 F1 · shares: Shares withheld by the Issuer to satisfy statutory tax withholding requirements upon vesting of restricted stock awards occurring on August 22, 2019. No shares were sold in connection with this transaction. Read SEC document |
| June 10, 2019 Filed Jun 12, 2019 16:38 UTC | Evofem Biosciences, Inc. EVFM · Entity 8607 | Tax withholdingCommon Stock | 35,826 | $6.36 | $227,853.36 |
DisclosureSEC source: 0001618835-19-000124 · wf-form4_156037191603901.xml · nonDerivative · entry 1 PELLETIER SAUNDRA L · CIK 0001251371 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 452,256 F1 · shares: Shares withheld by the Issuer to satisfy statutory tax withholding requirements upon vesting of restricted stock awards occurring on June 10, 2019. No shares were sold in connection with this transaction. Read SEC document |
| April 01, 2019 Filed Apr 3, 2019 18:39 UTC | Evofem Biosciences, Inc. EVFM · Entity 8607 | Tax withholdingCommon Stock | 3,731 | $3.55 | $13,245.05 |
DisclosureSEC source: 0001618835-19-000045 · wf-form4_155433113300126.xml · nonDerivative · entry 1 PELLETIER SAUNDRA L · CIK 0001251371 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 488,082 F1 · shares: Shares withheld by the Issuer to satisfy statutory tax withholding requirements upon vesting of restricted stock awards occurring on April 1, 2019. No shares were sold in connection with this transaction. Read SEC document |
| February 25, 2019 Filed Feb 27, 2019 16:11 UTC | Evofem Biosciences, Inc. EVFM · Entity 8607 | GrantCommon Stock | 150,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001618835-19-000020 · wf-form4_155130185570707.xml · nonDerivative · entry 1 PELLETIER SAUNDRA L · CIK 0001251371 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 491,813 F1 · shares: The restricted stock awards will vest based on the Issuer's achievement of certain performance milestones in 2019. Read SEC document |
| November 28, 2018 Filed Nov 29, 2018 18:09 UTC | Evofem Biosciences, Inc. EVFM · Entity 8607 | GrantStock option (right to buy) · Derivative | 0 | $0.00 Strike: $3.45 | $0.00 |
DisclosureSEC source: 0001618835-18-000115 · wf-form4_154353296123716.xml · derivative · entry 1 PELLETIER SAUNDRA L · CIK 0001251371 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 284,625 Underlying: Common Stock · 0 shares Expires 2028-11-28 F1 · derivative.exercise_date: The shares of common stock exercisable pursuant to the option will vest in a series of thirty-six (36) successive equal monthly installments upon completion of each additional month of service for the Issuer measured from November 28, 2018. Read SEC document |
| November 28, 2018 Filed Dec 3, 2018 12:50 UTC Amendment | Evofem Biosciences, Inc. EVFM · Entity 8607 | GrantStock option (right to buy) · Derivative | 284,625 | $0.00 Strike: $3.45 | $0.00 |
DisclosureSEC source: 0001618835-18-000127 · wf-form4a_154385941410060.xml · derivative · entry 1 PELLETIER SAUNDRA L · CIK 0001251371 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 284,625 Underlying: Common Stock · 284,625 shares Expires 2028-11-28 F1 · shares: The original Form 4, filed on November 29, 2018, is being amended to update the number of shares reported in Column 5(A) and Column 7 of Table II. F2 · derivative.exercise_date: The shares of common stock exercisable pursuant to the option will vest in a series of thirty-six (36) successive equal monthly installments upon completion of each additional month of service for the Issuer measured from November 28, 2018. F1 · derivative.underlying_shares: The original Form 4, filed on November 29, 2018, is being amended to update the number of shares reported in Column 5(A) and Column 7 of Table II. Read SEC document |
| August 10, 2018 Filed Aug 13, 2018 18:48 UTC | Evofem Biosciences, Inc. EVFM · Entity 8607 | PurchaseCommon Stock | 10,000 | $2.11 | $21,100.00 |
DisclosureSEC source: 0001618835-18-000083 · wf-form4_153420048493947.xml · nonDerivative · entry 1 PELLETIER SAUNDRA L · CIK 0001251371 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 341,813 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.11 to $2.12, inclusive. The reporting person undertakes to provide to Evofem Biosciences, Inc. (Evofem), any security holder of Evofem, 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 ranges set forth in footnote (1) to this Form 4. Read SEC document |
| July 31, 2018 Filed Aug 2, 2018 16:20 UTC | Evofem Biosciences, Inc. EVFM · Entity 8607 | GrantStock option (right to buy) · Derivative | 0 | $0.00 Strike: $2.10 | $0.00 |
DisclosureSEC source: 0001618835-18-000075 · wf-form4_153324118436415.xml · derivative · entry 1 PELLETIER SAUNDRA L · CIK 0001251371 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 313,500 Underlying: Common Stock · 313,500 shares Expires 2028-07-31 F1 · derivative.exercise_date: The shares of common stock exercisable pursuant to the option will vest in a series of thirty-six (36) successive equal monthly installments upon completion of each additional month of service for the Issuer measured from July 31, 2018. Read SEC document |
| July 02, 2018 Filed Jul 3, 2018 16:58 UTC | Evofem Biosciences, Inc. EVFM · Entity 8607 | Tax withholdingCommon Stock | 493,187 | $2.46 | $1,213,240.02 |
DisclosureSEC source: 0001618835-18-000048 · wf-form4_153065147716261.xml · nonDerivative · entry 2 PELLETIER SAUNDRA L · CIK 0001251371 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 331,813 F2 · shares: Shares withheld by the Issuer to satisfy statutory tax withholding requirements upon vesting of restricted stock awards occurring on July 2, 2018. No shares were sold in connection with this transaction. Read SEC document |
| July 02, 2018 Filed Jul 3, 2018 16:58 UTC | Evofem Biosciences, Inc. EVFM · Entity 8607 | GrantCommon Stock | 825,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001618835-18-000048 · wf-form4_153065147716261.xml · nonDerivative · entry 1 PELLETIER SAUNDRA L · CIK 0001251371 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 825,000 F1 · shares: The restricted stock awards vested in full on July 2, 2018. Read SEC document |
| March 12, 2018 Filed Mar 14, 2018 20:13 UTC | Evofem Biosciences, Inc. EVFM · Entity 8607 | GrantStock option (right to buy) · Derivative | 825,000 | $0.00 Strike: $7.29 | $0.00 |
DisclosureSEC source: 0001209191-18-019687 · doc4.xml · derivative · entry 1 PELLETIER SAUNDRA L · CIK 0001251371 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 825,000 Underlying: Common Stock · 825,000 shares Expires 2028-03-12 F1 · derivative.exercise_date: Ms. Pelletier acquired a vested interest in 66.67% of the shares of common stock exercisable pursuant to the option effective as of March 12, 2018 (the "Vesting Start Date"). The remaining shares shall vest in a series of twelve (12) successive equal monthly installments upon completion of each additional month of service for the Issuer measured from the Vesting Commencement Date. The option was awarded in connection with Ms. Pelletier's service as President and Chief Executive Officer. Read SEC document |
| January 17, 2018 Filed Jan 18, 2018 17:07 UTC | Evofem Biosciences, Inc. EVFM · Entity 8607 | GrantStock Option (right to buy) · Derivative | 6,719 | Not disclosed Strike: $79.87 | Not disclosed |
DisclosureSEC source: 0001209191-18-004307 · doc4.xml · derivative · entry 4 PELLETIER SAUNDRA L · CIK 0001251371 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,719 Underlying: Common Stock · 6,719 shares Expires 2023-06-03 F1 · shares: On January 17, 2018, Issuer completed a merger transaction (the "Merger") pursuant to an Agreement and Plan of Merger and Reorganization, dated October 17, 2017, by and among Issuer, Nobelli Merger Sub, Inc., and Evofem Biosciences Operations, Inc., formerly known as Evofem Biosciences, Inc. ("Evofem Operations"), as filed with the Securities and Exchange Commission on Form 8-K on October 17, 2017 (the "Merger Agreement"). Pursuant to the Merger Agreement all issued and outstanding options of Evofem Operations converted into and became options to purchase shares of Issuer's common stock. F2 · shares: These options to purchase common stock of Issuer were received in connection with the Merger in exchange for options to purchase shares of common stock of Evofem Operations. Each option to purchase one share of common stock of Evofem Operations was cancelled and exchanged for the right to receive an option to purchase 0.154 shares of common stock of Issuer. The shares of common stock of Issuer exercisable pursuant to the option reported reflect any necessary adjustments to account for the 6 for 1 reverse stock split effected by Issuer on January 17, 2018. F2 · price: These options to purchase common stock of Issuer were received in connection with the Merger in exchange for options to purchase shares of common stock of Evofem Operations. Each option to purchase one share of common stock of Evofem Operations was cancelled and exchanged for the right to receive an option to purchase 0.154 shares of common stock of Issuer. The shares of common stock of Issuer exercisable pursuant to the option reported reflect any necessary adjustments to account for the 6 for 1 reverse stock split effected by Issuer on January 17, 2018. F6 · derivative.exercise_date: Ms. Pelletier acquired a vested interest in one hundred percent (100%) of the shares of common stock exercisable pursuant to the option effective as of June 3, 2013. Read SEC document |
| January 17, 2018 Filed Jan 18, 2018 17:07 UTC | Evofem Biosciences, Inc. EVFM · Entity 8607 | GrantStock Option (right to buy) · Derivative | 9,994 | Not disclosed Strike: $46.36 | Not disclosed |
DisclosureSEC source: 0001209191-18-004307 · doc4.xml · derivative · entry 3 PELLETIER SAUNDRA L · CIK 0001251371 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,994 Underlying: Common Stock · 9,994 shares Expires 2026-09-28 F1 · shares: On January 17, 2018, Issuer completed a merger transaction (the "Merger") pursuant to an Agreement and Plan of Merger and Reorganization, dated October 17, 2017, by and among Issuer, Nobelli Merger Sub, Inc., and Evofem Biosciences Operations, Inc., formerly known as Evofem Biosciences, Inc. ("Evofem Operations"), as filed with the Securities and Exchange Commission on Form 8-K on October 17, 2017 (the "Merger Agreement"). Pursuant to the Merger Agreement all issued and outstanding options of Evofem Operations converted into and became options to purchase shares of Issuer's common stock. F2 · shares: These options to purchase common stock of Issuer were received in connection with the Merger in exchange for options to purchase shares of common stock of Evofem Operations. Each option to purchase one share of common stock of Evofem Operations was cancelled and exchanged for the right to receive an option to purchase 0.154 shares of common stock of Issuer. The shares of common stock of Issuer exercisable pursuant to the option reported reflect any necessary adjustments to account for the 6 for 1 reverse stock split effected by Issuer on January 17, 2018. F2 · price: These options to purchase common stock of Issuer were received in connection with the Merger in exchange for options to purchase shares of common stock of Evofem Operations. Each option to purchase one share of common stock of Evofem Operations was cancelled and exchanged for the right to receive an option to purchase 0.154 shares of common stock of Issuer. The shares of common stock of Issuer exercisable pursuant to the option reported reflect any necessary adjustments to account for the 6 for 1 reverse stock split effected by Issuer on January 17, 2018. F5 · derivative.exercise_date: Ms. Pelletier acquired a vested interest in one hundred percent (100%) of the shares of common stock exercisable pursuant to the option effective as of September 28, 2016. Read SEC document |
| January 17, 2018 Filed Jan 18, 2018 17:07 UTC | Evofem Biosciences, Inc. EVFM · Entity 8607 | GrantStock Option (right to buy) · Derivative | 12,833 | Not disclosed Strike: $46.36 | Not disclosed |
DisclosureSEC source: 0001209191-18-004307 · doc4.xml · derivative · entry 2 PELLETIER SAUNDRA L · CIK 0001251371 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,833 Underlying: Common Stock · 12,833 shares Expires 2026-09-28 F1 · shares: On January 17, 2018, Issuer completed a merger transaction (the "Merger") pursuant to an Agreement and Plan of Merger and Reorganization, dated October 17, 2017, by and among Issuer, Nobelli Merger Sub, Inc., and Evofem Biosciences Operations, Inc., formerly known as Evofem Biosciences, Inc. ("Evofem Operations"), as filed with the Securities and Exchange Commission on Form 8-K on October 17, 2017 (the "Merger Agreement"). Pursuant to the Merger Agreement all issued and outstanding options of Evofem Operations converted into and became options to purchase shares of Issuer's common stock. F2 · shares: These options to purchase common stock of Issuer were received in connection with the Merger in exchange for options to purchase shares of common stock of Evofem Operations. Each option to purchase one share of common stock of Evofem Operations was cancelled and exchanged for the right to receive an option to purchase 0.154 shares of common stock of Issuer. The shares of common stock of Issuer exercisable pursuant to the option reported reflect any necessary adjustments to account for the 6 for 1 reverse stock split effected by Issuer on January 17, 2018. F2 · price: These options to purchase common stock of Issuer were received in connection with the Merger in exchange for options to purchase shares of common stock of Evofem Operations. Each option to purchase one share of common stock of Evofem Operations was cancelled and exchanged for the right to receive an option to purchase 0.154 shares of common stock of Issuer. The shares of common stock of Issuer exercisable pursuant to the option reported reflect any necessary adjustments to account for the 6 for 1 reverse stock split effected by Issuer on January 17, 2018. F4 · derivative.exercise_date: Ms. Pelletier acquired a vested interest in twenty-five percent (25%) of the shares of common stock exercisable pursuant to the option effective as of September 28, 2017 (the "Vesting Start Date"). The remaining shares shall vest in a series of thirty-six (36) successive equal monthly installments on the monthly anniversary of the Vesting Start Date, such that all shares of common stock of Issuer exercisable pursuant to the option shall be fully vested on September 28, 2020, subject to Ms. Pelletier's continued service. Read SEC document |
| January 17, 2018 Filed Jan 18, 2018 17:07 UTC | Evofem Biosciences, Inc. EVFM · Entity 8607 | GrantStock Option (right to buy) · Derivative | 19,249 | Not disclosed Strike: $46.36 | Not disclosed |
DisclosureSEC source: 0001209191-18-004307 · doc4.xml · derivative · entry 1 PELLETIER SAUNDRA L · CIK 0001251371 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,249 Underlying: Common Stock · 19,249 shares Expires 2026-09-28 F1 · shares: On January 17, 2018, Issuer completed a merger transaction (the "Merger") pursuant to an Agreement and Plan of Merger and Reorganization, dated October 17, 2017, by and among Issuer, Nobelli Merger Sub, Inc., and Evofem Biosciences Operations, Inc., formerly known as Evofem Biosciences, Inc. ("Evofem Operations"), as filed with the Securities and Exchange Commission on Form 8-K on October 17, 2017 (the "Merger Agreement"). Pursuant to the Merger Agreement all issued and outstanding options of Evofem Operations converted into and became options to purchase shares of Issuer's common stock. F2 · shares: These options to purchase common stock of Issuer were received in connection with the Merger in exchange for options to purchase shares of common stock of Evofem Operations. Each option to purchase one share of common stock of Evofem Operations was cancelled and exchanged for the right to receive an option to purchase 0.154 shares of common stock of Issuer. The shares of common stock of Issuer exercisable pursuant to the option reported reflect any necessary adjustments to account for the 6 for 1 reverse stock split effected by Issuer on January 17, 2018. F2 · price: These options to purchase common stock of Issuer were received in connection with the Merger in exchange for options to purchase shares of common stock of Evofem Operations. Each option to purchase one share of common stock of Evofem Operations was cancelled and exchanged for the right to receive an option to purchase 0.154 shares of common stock of Issuer. The shares of common stock of Issuer exercisable pursuant to the option reported reflect any necessary adjustments to account for the 6 for 1 reverse stock split effected by Issuer on January 17, 2018. F3 · derivative.exercise_date: Ms. Pelletier acquired a vested interest in twenty-five percent (25%) of the shares of common stock exercisable pursuant to the option effective as of September 28, 2016 (the "Vesting Start Date"). The remaining shares shall vest in a series of thirty-six (36) successive equal monthly installments on the monthly anniversary of the Vesting Start Date, such that all shares of common stock of Issuer exercisable pursuant to the option shall be fully vested on September 28, 2019, subject to Ms. Pelletier's continued service. 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.