Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| BioCardia, Inc.BCDA · Entity 7752 | Director | April 23, 2025 | April 28, 2025 |
| OPKO HEALTH, INC.OPK · Entity 4891 | Director | April 23, 2025 | April 23, 2025 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
BioCardia, Inc.
Report date April 23, 2025 · Filed April 28, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 16,268 |
Reported balance
After 2025-04-23 transaction · row 1
1 source rowRow 1 · 2025-04-23 · Purchase · Acquired 13,123 · Balance 16,268 F1: On April 23, 2025, the Registrant closed a private placement with certain qualified institutional buyers and institutional accredited investors, as well as the Reporting Person, wherein the Reporting Person received one share of common stock together with one warrant to purchase a share of common stock for each share of common stock purchased. |
| Warrant (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.91 · Expires 2030-04-23 | Direct | 13,123 |
Reported balance
After 2025-04-23 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2025-04-23 · Purchase · Acquired 13,123 · Balance 13,123 F1: On April 23, 2025, the Registrant closed a private placement with certain qualified institutional buyers and institutional accredited investors, as well as the Reporting Person, wherein the Reporting Person received one share of common stock together with one warrant to purchase a share of common stock for each share of common stock purchased. |
Filing footnotes · ownership attribution and instrument terms
F1: On April 23, 2025, the Registrant closed a private placement with certain qualified institutional buyers and institutional accredited investors, as well as the Reporting Person, wherein the Reporting Person received one share of common stock together with one warrant to purchase a share of common stock for each share of common stock purchased.
OPKO HEALTH, INC.
Report date April 23, 2025 · Filed April 23, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.47 · Expires 2035-04-22 | Direct | 30,000 |
Reported balance
After 2025-04-23 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2025-04-23 · Grant · Acquired 30,000 · Balance 30,000 |
Past disclosures · reporting ended (2)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Castle Brands Inc
Report date October 08, 2019 · Filed October 09, 2019
Section 16 reporting ended · disclosed 2019-10-09. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Ending reported balance
After 2019-10-08 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2019-10-08 · Other · Disposed 57,500 · Balance 22,500 F1: On October 8, 2019, Rook Merger Sub, Inc. ("Purchaser"), a wholly owned subsidiary of Austin, Nichols & Co., Inc. ("Parent"), successfully completed the tender offer ("Tender Offer") for all issued and outstanding shares of the common stock of Castle Brands Inc. ("Issuer") pursuant to that certain Agreement and Plan of Merger, dated August 28, 2019 (the "Merger Agreement"), by and among Issuer, Parent and Purchaser. Following the Tender Offer, on October 9, 2019, Purchaser merged with and into Issuer with Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger"). In connection with the Merger, the reporting person is no longer a director of Issuer, effective on October 9, 2019. F2: Represents shares tendered to the Purchaser in connection with the Tender Offer. Row 2 · 2019-10-08 · Disposition to issuer · Disposed 22,500 · Balance 0 F1: On October 8, 2019, Rook Merger Sub, Inc. ("Purchaser"), a wholly owned subsidiary of Austin, Nichols & Co., Inc. ("Parent"), successfully completed the tender offer ("Tender Offer") for all issued and outstanding shares of the common stock of Castle Brands Inc. ("Issuer") pursuant to that certain Agreement and Plan of Merger, dated August 28, 2019 (the "Merger Agreement"), by and among Issuer, Parent and Purchaser. Following the Tender Offer, on October 9, 2019, Purchaser merged with and into Issuer with Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger"). In connection with the Merger, the reporting person is no longer a director of Issuer, effective on October 9, 2019. F3: In accordance with the terms of the Merger Agreement, the restricted stock awards held by the reporting person were deemed to be fully vested and converted at the effective time of the Merger into the right to receive a cash payment, without interest, equal to the product of (i) the aggregate number of shares of the Issuer's Common Stock in respect of such restricted stock awards multiplied by (ii) $1.27, less any taxes required to be withheld. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.46 · Expires 2025-03-26 | Direct | 0 |
Reported balance
After 2019-10-08 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2019-10-08 · Disposition to issuer · Disposed 100,000 · Balance 0 F1: On October 8, 2019, Rook Merger Sub, Inc. ("Purchaser"), a wholly owned subsidiary of Austin, Nichols & Co., Inc. ("Parent"), successfully completed the tender offer ("Tender Offer") for all issued and outstanding shares of the common stock of Castle Brands Inc. ("Issuer") pursuant to that certain Agreement and Plan of Merger, dated August 28, 2019 (the "Merger Agreement"), by and among Issuer, Parent and Purchaser. Following the Tender Offer, on October 9, 2019, Purchaser merged with and into Issuer with Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger"). In connection with the Merger, the reporting person is no longer a director of Issuer, effective on October 9, 2019. F5: In accordance with the terms of the Merger Agreement, this stock option was cancelled at the effective time of the Merger because the exercise price of the stock option exceeded $1.27 per share. F4: The option vested in four equal annual installments commencing on March 26, 2016. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.84 · Expires 2026-03-17 | Direct | 0 |
Reported balance
After 2019-10-08 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2019-10-08 · Disposition to issuer · Disposed 20,000 · Balance 0 F1: On October 8, 2019, Rook Merger Sub, Inc. ("Purchaser"), a wholly owned subsidiary of Austin, Nichols & Co., Inc. ("Parent"), successfully completed the tender offer ("Tender Offer") for all issued and outstanding shares of the common stock of Castle Brands Inc. ("Issuer") pursuant to that certain Agreement and Plan of Merger, dated August 28, 2019 (the "Merger Agreement"), by and among Issuer, Parent and Purchaser. Following the Tender Offer, on October 9, 2019, Purchaser merged with and into Issuer with Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger"). In connection with the Merger, the reporting person is no longer a director of Issuer, effective on October 9, 2019. F6: In accordance with the terms of the Merger Agreement, this stock option held by the reporting person was deemed to be fully vested and cancelled and converted at the effective time of the Merger into the right to receive a cash payment, without interest, equal to the product of (i) the aggregate number of shares of the Issuer's Common Stock subject to such stock option multiplied by (ii) the excess of $1.27 over the per share exercise price of such stock option, less any taxes required to be withheld. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.04 · Expires 2027-02-28 | Direct | 0 |
Reported balance
After 2019-10-08 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2019-10-08 · Disposition to issuer · Disposed 20,000 · Balance 0 F1: On October 8, 2019, Rook Merger Sub, Inc. ("Purchaser"), a wholly owned subsidiary of Austin, Nichols & Co., Inc. ("Parent"), successfully completed the tender offer ("Tender Offer") for all issued and outstanding shares of the common stock of Castle Brands Inc. ("Issuer") pursuant to that certain Agreement and Plan of Merger, dated August 28, 2019 (the "Merger Agreement"), by and among Issuer, Parent and Purchaser. Following the Tender Offer, on October 9, 2019, Purchaser merged with and into Issuer with Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger"). In connection with the Merger, the reporting person is no longer a director of Issuer, effective on October 9, 2019. F6: In accordance with the terms of the Merger Agreement, this stock option held by the reporting person was deemed to be fully vested and cancelled and converted at the effective time of the Merger into the right to receive a cash payment, without interest, equal to the product of (i) the aggregate number of shares of the Issuer's Common Stock subject to such stock option multiplied by (ii) the excess of $1.27 over the per share exercise price of such stock option, less any taxes required to be withheld. |
Filing footnotes · ownership attribution and instrument terms
F1: On October 8, 2019, Rook Merger Sub, Inc. ("Purchaser"), a wholly owned subsidiary of Austin, Nichols & Co., Inc. ("Parent"), successfully completed the tender offer ("Tender Offer") for all issued and outstanding shares of the common stock of Castle Brands Inc. ("Issuer") pursuant to that certain Agreement and Plan of Merger, dated August 28, 2019 (the "Merger Agreement"), by and among Issuer, Parent and Purchaser. Following the Tender Offer, on October 9, 2019, Purchaser merged with and into Issuer with Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger"). In connection with the Merger, the reporting person is no longer a director of Issuer, effective on October 9, 2019.
F2: Represents shares tendered to the Purchaser in connection with the Tender Offer.
F3: In accordance with the terms of the Merger Agreement, the restricted stock awards held by the reporting person were deemed to be fully vested and converted at the effective time of the Merger into the right to receive a cash payment, without interest, equal to the product of (i) the aggregate number of shares of the Issuer's Common Stock in respect of such restricted stock awards multiplied by (ii) $1.27, less any taxes required to be withheld.
F4: The option vested in four equal annual installments commencing on March 26, 2016.
F5: In accordance with the terms of the Merger Agreement, this stock option was cancelled at the effective time of the Merger because the exercise price of the stock option exceeded $1.27 per share.
F6: In accordance with the terms of the Merger Agreement, this stock option held by the reporting person was deemed to be fully vested and cancelled and converted at the effective time of the Merger into the right to receive a cash payment, without interest, equal to the product of (i) the aggregate number of shares of the Issuer's Common Stock subject to such stock option multiplied by (ii) the excess of $1.27 over the per share exercise price of such stock option, less any taxes required to be withheld.
LADENBURG THALMANN FINANCIAL SERVICES INC.
Report date February 14, 2020 · Filed February 14, 2020
Section 16 reporting ended · disclosed 2020-02-14. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2020-02-14 transaction · row 1
1 source rowRow 1 · 2020-02-14 · Disposition to issuer · Disposed 65,828 · Balance 0 F1: Includes restricted shares of common stock issued pursuant to the issuer's Amended and Restated 2009 Incentive Compensation Plan. F2: Disposed of in connection with the Agreement and Plan of Merger dated as of November 11, 2019, pursuant to which Ladenburg Thalmann Financial Services Inc. ("Ladenburg") would merge with a subsidiary of Advisor Group Holdings, Inc. (the "Merger"). Pursuant to the Merger, each issued and outstanding share of Ladenburg common stock was converted into the right to receive cash in the amount of $3.50 per share (the "Per Share Merger Consideration") and each restricted share of common stock became vested at the effective time of the Merger and was converted into the right to receive an amount of cash equal to the product of (i) the number of restricted shares of common stock and (ii) the Per Share Merger Consideration. As a result of the Merger, the reporting person no longer beneficially owns, directly or indirectly, any shares of Ladenburg common stock. Figure above does not include any deduction for taxes. |
| Common StockSEC Table I · non-derivative | IndirectHeld by The Richard M. Krasno Living Trust dated 10/6/2009 | 0 |
Reported balance
After 2020-02-14 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 2 · 2020-02-14 · Disposition to issuer · Disposed 383,089 · Balance 0 F3: Disposed of in connection with the Merger. F4: Dr. Richard M. Krasno is the sole trustee and beneficiary of The Richard M. Krasno Living Trust dated 10/6/2009. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.40 · Expires 2026-05-18 | Direct | 0 |
Reported balance
After 2020-02-14 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2020-02-14 · Disposition to issuer · Disposed 50,000 · Balance 0 F5: This option was cancelled in the Merger and converted into the right to receive an amount in cash equal to the product of (i) the number of shares of common stock subject to such option and (ii) the excess, if any, of the Per Share Merger Consideration over the exercise price per share of the option. Figure above does not include any deduction for taxes. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.38 · Expires 2025-05-18 | Direct | 0 |
Reported balance
After 2020-02-14 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2020-02-14 · Disposition to issuer · Disposed 50,000 · Balance 0 F5: This option was cancelled in the Merger and converted into the right to receive an amount in cash equal to the product of (i) the number of shares of common stock subject to such option and (ii) the excess, if any, of the Per Share Merger Consideration over the exercise price per share of the option. Figure above does not include any deduction for taxes. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.01 · Expires 2024-06-25 | Direct | 0 |
Reported balance
After 2020-02-14 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2020-02-14 · Disposition to issuer · Disposed 50,000 · Balance 0 F5: This option was cancelled in the Merger and converted into the right to receive an amount in cash equal to the product of (i) the number of shares of common stock subject to such option and (ii) the excess, if any, of the Per Share Merger Consideration over the exercise price per share of the option. Figure above does not include any deduction for taxes. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.46 · Expires 2023-05-09 | Direct | 0 |
Reported balance
After 2020-02-14 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2020-02-14 · Disposition to issuer · Disposed 50,000 · Balance 0 F5: This option was cancelled in the Merger and converted into the right to receive an amount in cash equal to the product of (i) the number of shares of common stock subject to such option and (ii) the excess, if any, of the Per Share Merger Consideration over the exercise price per share of the option. Figure above does not include any deduction for taxes. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.32 · Expires 2022-09-28 | Direct | 0 |
Reported balance
After 2020-02-14 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2020-02-14 · Disposition to issuer · Disposed 50,000 · Balance 0 F5: This option was cancelled in the Merger and converted into the right to receive an amount in cash equal to the product of (i) the number of shares of common stock subject to such option and (ii) the excess, if any, of the Per Share Merger Consideration over the exercise price per share of the option. Figure above does not include any deduction for taxes. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.79 · Expires 2021-11-10 | Direct | 0 |
Reported balance
After 2020-02-14 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2020-02-14 · Disposition to issuer · Disposed 20,000 · Balance 0 F5: This option was cancelled in the Merger and converted into the right to receive an amount in cash equal to the product of (i) the number of shares of common stock subject to such option and (ii) the excess, if any, of the Per Share Merger Consideration over the exercise price per share of the option. Figure above does not include any deduction for taxes. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.11 · Expires 2020-09-24 | Direct | 0 |
Reported balance
After 2020-02-14 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2020-02-14 · Disposition to issuer · Disposed 20,000 · Balance 0 F5: This option was cancelled in the Merger and converted into the right to receive an amount in cash equal to the product of (i) the number of shares of common stock subject to such option and (ii) the excess, if any, of the Per Share Merger Consideration over the exercise price per share of the option. Figure above does not include any deduction for taxes. |
Filing footnotes · ownership attribution and instrument terms
F1: Includes restricted shares of common stock issued pursuant to the issuer's Amended and Restated 2009 Incentive Compensation Plan.
F2: Disposed of in connection with the Agreement and Plan of Merger dated as of November 11, 2019, pursuant to which Ladenburg Thalmann Financial Services Inc. ("Ladenburg") would merge with a subsidiary of Advisor Group Holdings, Inc. (the "Merger"). Pursuant to the Merger, each issued and outstanding share of Ladenburg common stock was converted into the right to receive cash in the amount of $3.50 per share (the "Per Share Merger Consideration") and each restricted share of common stock became vested at the effective time of the Merger and was converted into the right to receive an amount of cash equal to the product of (i) the number of restricted shares of common stock and (ii) the Per Share Merger Consideration. As a result of the Merger, the reporting person no longer beneficially owns, directly or indirectly, any shares of Ladenburg common stock. Figure above does not include any deduction for taxes.
F3: Disposed of in connection with the Merger.
F4: Dr. Richard M. Krasno is the sole trustee and beneficiary of The Richard M. Krasno Living Trust dated 10/6/2009.
F5: This option was cancelled in the Merger and converted into the right to receive an amount in cash equal to the product of (i) the number of shares of common stock subject to such option and (ii) the excess, if any, of the Per Share Merger Consideration over the exercise price per share of the option. Figure above does not include any deduction for taxes.
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 23, 2025 Filed Apr 23, 2025 21:21 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | GrantStock Option (Right to Buy) · Derivative | 30,000 | $0.00 Strike: $1.47 | $0.00 |
DisclosureSEC source: 0000950170-25-057533 · ownership.xml · derivative · entry 1 KRASNO RICHARD M · CIK 0001215060 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 30,000 Underlying: Common Stock · 30,000 shares Expires 2035-04-22 Read SEC document |
| April 23, 2025 Filed Apr 28, 2025 22:46 UTC | BioCardia, Inc. BCDA · Entity 7752 | PurchaseWarrant (right to buy) · Derivative | 13,123 | Not disclosed Strike: $1.91 | Not disclosed |
DisclosureSEC source: 0001437749-25-013386 · rdgdoc.xml · derivative · entry 2 KRASNO RICHARD M · CIK 0001215060 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 13,123 Underlying: Common Stock · 13,123 shares Expires 2030-04-23 F1 · shares: On April 23, 2025, the Registrant closed a private placement with certain qualified institutional buyers and institutional accredited investors, as well as the Reporting Person, wherein the Reporting Person received one share of common stock together with one warrant to purchase a share of common stock for each share of common stock purchased. F1 · price: On April 23, 2025, the Registrant closed a private placement with certain qualified institutional buyers and institutional accredited investors, as well as the Reporting Person, wherein the Reporting Person received one share of common stock together with one warrant to purchase a share of common stock for each share of common stock purchased. F1 · derivative.underlying_shares: On April 23, 2025, the Registrant closed a private placement with certain qualified institutional buyers and institutional accredited investors, as well as the Reporting Person, wherein the Reporting Person received one share of common stock together with one warrant to purchase a share of common stock for each share of common stock purchased. Read SEC document |
| April 23, 2025 Filed Apr 28, 2025 22:46 UTC | BioCardia, Inc. BCDA · Entity 7752 | PurchaseCommon Stock | 13,123 | $1.91 | $24,999.32 |
DisclosureSEC source: 0001437749-25-013386 · rdgdoc.xml · nonDerivative · entry 1 KRASNO RICHARD M · CIK 0001215060 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 16,268 F1 · shares: On April 23, 2025, the Registrant closed a private placement with certain qualified institutional buyers and institutional accredited investors, as well as the Reporting Person, wherein the Reporting Person received one share of common stock together with one warrant to purchase a share of common stock for each share of common stock purchased. Read SEC document |
| October 11, 2024 Filed Oct 17, 2024 01:55 UTC | BioCardia, Inc. BCDA · Entity 7752 | GrantStock Option (right to buy) · Derivative | 829 | $0.00 Strike: $2.65 | $0.00 |
DisclosureSEC source: 0001437749-24-031406 · rdgdoc.xml · derivative · entry 1 KRASNO RICHARD M · CIK 0001215060 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 3,313 Underlying: Common stock · 829 shares Expires 2034-10-11 F1 · derivative.exercise_date: One hundred percent of the shares subject to the option vest and become exercisable on the one-year anniversary of the date of grant, subject to the Reporting Person continuing as a service provider through such date. Read SEC document |
| January 29, 2024 Filed Jan 29, 2024 20:30 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | PurchaseCommon Stock | 30,000 | $0.99 | $29,838.00 |
DisclosureSEC source: 0000950170-24-008273 · ownership.xml · nonDerivative · entry 1 KRASNO RICHARD M · CIK 0001215060 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 103,333 F1 · ownership.nature: Securities held by the Richard M. Krasno Trust, of which Richard M. Krasno, Ph.D. is the Trustee. Read SEC document |
| October 18, 2023 Filed Oct 19, 2023 21:03 UTC | BioCardia, Inc. BCDA;BCDAW · Entity 7752 | GrantStock Option (right to buy) · Derivative | 12,434 | $0.00 Strike: $0.40 | $0.00 |
DisclosureSEC source: 0001437749-23-028622 · rdgdoc.xml · derivative · entry 1 KRASNO RICHARD M · CIK 0001215060 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 37,302 Underlying: Common stock · 12,434 shares Expires 2033-10-18 F1 · derivative.exercise_date: One hundred percent of the shares subject to the option vest and become exercisable on the one-year anniversary of the date of grant, subject to the Reporting Person continuing as a service provider through such date. Read SEC document |
| June 22, 2023 Filed Jun 23, 2023 20:13 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | GrantStock Option (Right to Buy) · Derivative | 30,000 | $0.00 Strike: $1.61 | $0.00 |
DisclosureSEC source: 0001209191-23-039339 · doc4.xml · derivative · entry 1 KRASNO RICHARD M · CIK 0001215060 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 30,000 Underlying: Common Stock · 30,000 shares Expires 2033-06-21 Read SEC document |
| July 14, 2022 Filed Jul 15, 2022 21:24 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | GrantStock Option (Right to Buy) · Derivative | 30,000 | $0.00 Strike: $2.69 | $0.00 |
DisclosureSEC source: 0001209191-22-042275 · doc4.xml · derivative · entry 1 KRASNO RICHARD M · CIK 0001215060 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 Underlying: Common Stock · 30,000 shares Expires 2032-07-13 Read SEC document |
| June 10, 2022 Filed Sep 30, 2022 21:01 UTC | BioCardia, Inc. BCDA;BCDAW · Entity 7752 | GrantStock Option (right to buy) · Derivative | 12,434 | $0.00 Strike: $1.44 | $0.00 |
DisclosureSEC source: 0001437749-22-023321 · rdgdoc.xml · derivative · entry 1 KRASNO RICHARD M · CIK 0001215060 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,868 Underlying: Common stock · 12,434 shares Expires 2032-06-10 F1 · derivative.exercise_date: One hundred percent of the shares subject to the option vest and become exercisable on the one-year anniversary of the date of grant. Read SEC document |
| June 24, 2021 Filed Jun 25, 2021 12:44 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | GrantStock Option (Right to Buy) · Derivative | 30,000 | $0.00 Strike: $3.77 | $0.00 |
DisclosureSEC source: 0001209191-21-043212 · doc4.xml · derivative · entry 1 KRASNO RICHARD M · CIK 0001215060 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 Underlying: Common Stock · 30,000 shares Expires 2031-06-23 Read SEC document |
| June 15, 2021 Filed Jun 16, 2021 00:48 UTC | BioCardia, Inc. BCDA;BCDAW · Entity 7752 | GrantStock Option (right to buy) · Derivative | 12,434 | $0.00 Strike: $4.43 | $0.00 |
DisclosureSEC source: 0001437749-21-014881 · rdgdoc.xml · derivative · entry 1 KRASNO RICHARD M · CIK 0001215060 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,434 Underlying: Common stock · 12,434 shares Expires 2031-06-15 F1 · derivative.exercise_date: One hundred percent of the shares subject to the option vest and become exercisable on the one-year anniversary of the date of grant. Read SEC document |
| March 31, 2021 Filed Apr 8, 2021 00:23 UTC | BioCardia, Inc. BCDA;BCDAW · Entity 7752 | GrantCommon Stock | 3,024 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-21-008506 · rdgdoc.xml · nonDerivative · entry 1 KRASNO RICHARD M · CIK 0001215060 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,187 F1 · shares: The award relates to vested restricted stock units ("RSUs") granted March 31, 2021, each of which represents a contingent right to receive one share of the Issuer's common stock, but for which delivery of common stock will occur the earliest of (1) the two (2) year anniversary of the grant date; (3) the Reporting Person's separation from service; (3) a change in control, as defined in the Issuer's 2016 Equity Incentive Plan; or (4) the Reporting Person's death. Read SEC document |
| December 31, 2020 Filed Jan 6, 2021 02:54 UTC | BioCardia, Inc. BCDA;BCDAW · Entity 7752 | GrantCommon Stock | 2,734 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-21-000195 · rdgdoc.xml · nonDerivative · entry 2 KRASNO RICHARD M · CIK 0001215060 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,163 F1 · shares: The award relates to vested restricted stock units ("RSUs") granted December 31, 2020, each of which represents a contingent right to receive one share of the Issuer's common stock, but for which delivery of common stock will occur the earliest of (1) the two (2) year anniversary of the grant date; (3) the Reporting Person's separation from service; (3) a change in control, as defined in the Issuer's 2016 Equity Incentive Plan; or (4) the Reporting Person's death. Read SEC document |
| December 31, 2020 Filed Jan 6, 2021 02:54 UTC | BioCardia, Inc. BCDA;BCDAW · Entity 7752 | GrantCommon Stock | 2,800 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-21-000195 · rdgdoc.xml · nonDerivative · entry 1 KRASNO RICHARD M · CIK 0001215060 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,429 F1 · shares: The award relates to vested restricted stock units ("RSUs") granted December 31, 2020, each of which represents a contingent right to receive one share of the Issuer's common stock, but for which delivery of common stock will occur the earliest of (1) the two (2) year anniversary of the grant date; (3) the Reporting Person's separation from service; (3) a change in control, as defined in the Issuer's 2016 Equity Incentive Plan; or (4) the Reporting Person's death. Read SEC document |
| September 30, 2020 Filed Oct 9, 2020 23:16 UTC | BioCardia, Inc. BCDA;BCDAW · Entity 7752 | GrantCommon Stock | 2,734 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-20-021024 · rdgdoc.xml · nonDerivative · entry 1 KRASNO RICHARD M · CIK 0001215060 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,629 F1 · shares: The award relates to vested restricted stock units ("RSUs") granted September 30, 2020, each of which represents a contingent right to receive one share of the Issuer's common stock, but for which delivery of common stock will occur the earliest of (1) the two (2) year anniversary of the grant date; (3) the Reporting Person's separation from service; (3) a change in control, as defined in the Issuer's 2016 Equity Incentive Plan; or (4) the Reporting Person's death. Read SEC document |
| June 30, 2020 Filed Jul 1, 2020 20:51 UTC | BioCardia, Inc. BCDA;BCDAW · Entity 7752 | GrantCommon Stock | 2,734 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-20-014379 · rdgdoc.xml · nonDerivative · entry 1 KRASNO RICHARD M · CIK 0001215060 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,895 F1 · shares: The award relates to vested restricted stock units ("RSUs") granted June 30, 2020, each of which represents a contingent right to receive one share of the Issuer's common stock, but for which delivery of common stock will occur the earliest of (1) the two (2) year anniversary of the grant date; (3) the Reporting Person's separation from service; (3) a change in control, as defined in the Issuer's 2016 Equity Incentive Plan; or (4) the Reporting Person's death. Read SEC document |
| June 25, 2020 Filed Jun 26, 2020 12:47 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | GrantStock Option (Right to Buy) · Derivative | 20,000 | $0.00 Strike: $2.68 | $0.00 |
DisclosureSEC source: 0001209191-20-039038 · doc4.xml · derivative · entry 1 KRASNO RICHARD M · CIK 0001215060 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2030-06-24 Read SEC document |
| May 08, 2020 Filed May 21, 2020 00:53 UTC | BioCardia, Inc. BCDA;BCDAW · Entity 7752 | GrantCommon Stock | 8,800 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-20-011476 · rdgdoc.xml · nonDerivative · entry 1 KRASNO RICHARD M · CIK 0001215060 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,161 F1 · shares: The award relates to vested restricted stock units ("RSUs") granted May 8, 2020, each of which represents a contingent right to receive one share of the Issuer's common stock, but for which delivery of common stock will occur the earliest of (1) the two (2) year anniversary of the grant date; (3) the Reporting Person's separation from service; (3) a change in control, as defined in the Issuer's 2016 Equity Incentive Plan; or (4) the Reporting Person's death. Read SEC document |
| April 30, 2020 Filed May 5, 2020 01:32 UTC | BioCardia, Inc. BCDA;BCDAW · Entity 7752 | GrantCommon Stock | 2,734 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-20-009337 · rdgdoc.xml · nonDerivative · entry 2 KRASNO RICHARD M · CIK 0001215060 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,361 F1 · shares: The award relates to vested restricted stock units ("RSUs") granted April 30, 2020, each of which represents a contingent right to receive one share of the Issuer's common stock, but for which delivery of common stock will occur the earliest of (i) two years from the date of grant, (ii) the date the director ceases to be a service provider, or (iii) such other date as the administrator determines under the Issuer's 2016 Equity Incentive Plan. Read SEC document |
| April 30, 2020 Filed May 5, 2020 01:32 UTC | BioCardia, Inc. BCDA;BCDAW · Entity 7752 | GrantCommon Stock | 15,312 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-20-009337 · rdgdoc.xml · nonDerivative · entry 1 KRASNO RICHARD M · CIK 0001215060 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,627 F1 · shares: The award relates to vested restricted stock units ("RSUs") granted April 30, 2020, each of which represents a contingent right to receive one share of the Issuer's common stock, but for which delivery of common stock will occur the earliest of (i) two years from the date of grant, (ii) the date the director ceases to be a service provider, or (iii) such other date as the administrator determines under the Issuer's 2016 Equity Incentive Plan. Read SEC document |
| February 14, 2020 Filed Feb 14, 2020 15:20 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | Disposition to issuerStock Option (Right to Buy) · Derivative | 20,000 | $2.39 Strike: $1.11 | $47,800.00 |
DisclosureSEC source: 0001493152-20-002473 · ownership.xml · derivative · entry 9 KRASNO RICHARD M · CIK 0001215060 · Former Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 20,000 shares Expires 2020-09-24 F5 · price: This option was cancelled in the Merger and converted into the right to receive an amount in cash equal to the product of (i) the number of shares of common stock subject to such option and (ii) the excess, if any, of the Per Share Merger Consideration over the exercise price per share of the option. Figure above does not include any deduction for taxes. Read SEC document |
| February 14, 2020 Filed Feb 14, 2020 15:20 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | Disposition to issuerStock Option (Right to Buy) · Derivative | 20,000 | $1.71 Strike: $1.79 | $34,200.00 |
DisclosureSEC source: 0001493152-20-002473 · ownership.xml · derivative · entry 8 KRASNO RICHARD M · CIK 0001215060 · Former Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 20,000 shares Expires 2021-11-10 F5 · price: This option was cancelled in the Merger and converted into the right to receive an amount in cash equal to the product of (i) the number of shares of common stock subject to such option and (ii) the excess, if any, of the Per Share Merger Consideration over the exercise price per share of the option. Figure above does not include any deduction for taxes. Read SEC document |
| February 14, 2020 Filed Feb 14, 2020 15:20 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | Disposition to issuerStock Option (Right to Buy) · Derivative | 50,000 | $2.18 Strike: $1.32 | $109,000.00 |
DisclosureSEC source: 0001493152-20-002473 · ownership.xml · derivative · entry 7 KRASNO RICHARD M · CIK 0001215060 · Former Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 50,000 shares Expires 2022-09-28 F5 · price: This option was cancelled in the Merger and converted into the right to receive an amount in cash equal to the product of (i) the number of shares of common stock subject to such option and (ii) the excess, if any, of the Per Share Merger Consideration over the exercise price per share of the option. Figure above does not include any deduction for taxes. Read SEC document |
| February 14, 2020 Filed Feb 14, 2020 15:20 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | Disposition to issuerStock Option (Right to Buy) · Derivative | 50,000 | $2.04 Strike: $1.46 | $102,000.00 |
DisclosureSEC source: 0001493152-20-002473 · ownership.xml · derivative · entry 6 KRASNO RICHARD M · CIK 0001215060 · Former Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 50,000 shares Expires 2023-05-09 F5 · price: This option was cancelled in the Merger and converted into the right to receive an amount in cash equal to the product of (i) the number of shares of common stock subject to such option and (ii) the excess, if any, of the Per Share Merger Consideration over the exercise price per share of the option. Figure above does not include any deduction for taxes. Read SEC document |
| February 14, 2020 Filed Feb 14, 2020 15:20 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | Disposition to issuerStock Option (Right to Buy) · Derivative | 50,000 | $0.49 Strike: $3.01 | $24,500.00 |
DisclosureSEC source: 0001493152-20-002473 · ownership.xml · derivative · entry 5 KRASNO RICHARD M · CIK 0001215060 · Former Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 50,000 shares Expires 2024-06-25 F5 · price: This option was cancelled in the Merger and converted into the right to receive an amount in cash equal to the product of (i) the number of shares of common stock subject to such option and (ii) the excess, if any, of the Per Share Merger Consideration over the exercise price per share of the option. Figure above does not include any deduction for taxes. Read SEC document |
| February 14, 2020 Filed Feb 14, 2020 15:20 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | Disposition to issuerStock Option (Right to Buy) · Derivative | 50,000 | $0.12 Strike: $3.38 | $6,000.00 |
DisclosureSEC source: 0001493152-20-002473 · ownership.xml · derivative · entry 4 KRASNO RICHARD M · CIK 0001215060 · Former Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 50,000 shares Expires 2025-05-18 F5 · price: This option was cancelled in the Merger and converted into the right to receive an amount in cash equal to the product of (i) the number of shares of common stock subject to such option and (ii) the excess, if any, of the Per Share Merger Consideration over the exercise price per share of the option. Figure above does not include any deduction for taxes. Read SEC document |
| February 14, 2020 Filed Feb 14, 2020 15:20 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | Disposition to issuerStock Option (Right to Buy) · Derivative | 50,000 | $1.10 Strike: $2.40 | $55,000.00 |
DisclosureSEC source: 0001493152-20-002473 · ownership.xml · derivative · entry 3 KRASNO RICHARD M · CIK 0001215060 · Former Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 50,000 shares Expires 2026-05-18 F5 · price: This option was cancelled in the Merger and converted into the right to receive an amount in cash equal to the product of (i) the number of shares of common stock subject to such option and (ii) the excess, if any, of the Per Share Merger Consideration over the exercise price per share of the option. Figure above does not include any deduction for taxes. Read SEC document |
| February 14, 2020 Filed Feb 14, 2020 15:20 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | Disposition to issuerCommon Stock | 383,089 | $3.50 | $1,340,811.50 |
DisclosureSEC source: 0001493152-20-002473 · ownership.xml · nonDerivative · entry 2 KRASNO RICHARD M · CIK 0001215060 · Former Director 10b5-1 filing: Not disclosed Ownership: Indirect · Held by The Richard M. Krasno Living Trust dated 10/6/2009 Disclosed balance after: 0 F3 · price: Disposed of in connection with the Merger. F4 · ownership.nature: Dr. Richard M. Krasno is the sole trustee and beneficiary of The Richard M. Krasno Living Trust dated 10/6/2009. Read SEC document |
| February 14, 2020 Filed Feb 14, 2020 15:20 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | Disposition to issuerCommon Stock | 65,828 | $3.50 | $230,398.00 |
DisclosureSEC source: 0001493152-20-002473 · ownership.xml · nonDerivative · entry 1 KRASNO RICHARD M · CIK 0001215060 · Former Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · shares: Includes restricted shares of common stock issued pursuant to the issuer's Amended and Restated 2009 Incentive Compensation Plan. F2 · price: Disposed of in connection with the Agreement and Plan of Merger dated as of November 11, 2019, pursuant to which Ladenburg Thalmann Financial Services Inc. ("Ladenburg") would merge with a subsidiary of Advisor Group Holdings, Inc. (the "Merger"). Pursuant to the Merger, each issued and outstanding share of Ladenburg common stock was converted into the right to receive cash in the amount of $3.50 per share (the "Per Share Merger Consideration") and each restricted share of common stock became vested at the effective time of the Merger and was converted into the right to receive an amount of cash equal to the product of (i) the number of restricted shares of common stock and (ii) the Per Share Merger Consideration. As a result of the Merger, the reporting person no longer beneficially owns, directly or indirectly, any shares of Ladenburg common stock. Figure above does not include any deduction for taxes. Read SEC document |
| January 13, 2020 Filed Feb 11, 2020 02:18 UTC | BioCardia, Inc. BCDA;BCDAW · Entity 7752 | Exercise / conversionRestricted Stock Units · Derivative | 567 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-20-002225 · rdgdoc.xml · derivative · entry 2 KRASNO RICHARD M · CIK 0001215060 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 567 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. F3 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. F4 · derivative.exercise_date: On January 13, 2017, the reporting person was granted 184,000 RSUs (1,703 after the 1-for-9 reverse stock split effective May 7, 2019 and the 1-for-12 reverse split effective November 2, 2017), of which the final 567 RSUs remaining under the grant vested on January 13, 2020. The common stock into which such vested RSUs converted on January 13, 2020 is reported on Table I of this Form 4. F4 · derivative.expiration_date: On January 13, 2017, the reporting person was granted 184,000 RSUs (1,703 after the 1-for-9 reverse stock split effective May 7, 2019 and the 1-for-12 reverse split effective November 2, 2017), of which the final 567 RSUs remaining under the grant vested on January 13, 2020. The common stock into which such vested RSUs converted on January 13, 2020 is reported on Table I of this Form 4. Read SEC document |
| January 13, 2020 Filed Feb 11, 2020 02:18 UTC | BioCardia, Inc. BCDA;BCDAW · Entity 7752 | Exercise / conversionCommon Stock | 567 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001437749-20-002225 · rdgdoc.xml · nonDerivative · entry 1 KRASNO RICHARD M · CIK 0001215060 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,315 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 · kind: Represents the conversion upon vesting of restricted stock units ("RSUs") into common stock. On January 13, 2017, the reporting person was granted 184,000 RSUs (1,703 after the 1-for-9 reverse stock split effective May 7, 2019 and the 1-for-12 reverse split effective November 2, 2017) that were previously reported on Table II of Form 4, which form was filed with the Securities and Exchange Commission (the "SEC") on January 18, 2017. F2 · price: The converted RSU corresponds to a 1:1 common stock issuance. Read SEC document |
| October 08, 2019 Filed Oct 9, 2019 20:47 UTC | Castle Brands Inc ROX · Entity 154496 | Disposition to issuerStock Option (Right to Buy) · Derivative | 20,000 | Not disclosed Strike: $1.04 | Not disclosed |
DisclosureSEC source: 0001209191-19-052893 · doc4.xml · derivative · entry 5 KRASNO RICHARD M · CIK 0001215060 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 20,000 shares Expires 2027-02-28 F1 · date: On October 8, 2019, Rook Merger Sub, Inc. ("Purchaser"), a wholly owned subsidiary of Austin, Nichols & Co., Inc. ("Parent"), successfully completed the tender offer ("Tender Offer") for all issued and outstanding shares of the common stock of Castle Brands Inc. ("Issuer") pursuant to that certain Agreement and Plan of Merger, dated August 28, 2019 (the "Merger Agreement"), by and among Issuer, Parent and Purchaser. Following the Tender Offer, on October 9, 2019, Purchaser merged with and into Issuer with Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger"). In connection with the Merger, the reporting person is no longer a director of Issuer, effective on October 9, 2019. F6 · price: In accordance with the terms of the Merger Agreement, this stock option held by the reporting person was deemed to be fully vested and cancelled and converted at the effective time of the Merger into the right to receive a cash payment, without interest, equal to the product of (i) the aggregate number of shares of the Issuer's Common Stock subject to such stock option multiplied by (ii) the excess of $1.27 over the per share exercise price of such stock option, less any taxes required to be withheld. Read SEC document |
| October 08, 2019 Filed Oct 9, 2019 20:47 UTC | Castle Brands Inc ROX · Entity 154496 | Disposition to issuerStock Option (Right to Buy) · Derivative | 20,000 | Not disclosed Strike: $0.84 | Not disclosed |
DisclosureSEC source: 0001209191-19-052893 · doc4.xml · derivative · entry 4 KRASNO RICHARD M · CIK 0001215060 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 20,000 shares Expires 2026-03-17 F1 · date: On October 8, 2019, Rook Merger Sub, Inc. ("Purchaser"), a wholly owned subsidiary of Austin, Nichols & Co., Inc. ("Parent"), successfully completed the tender offer ("Tender Offer") for all issued and outstanding shares of the common stock of Castle Brands Inc. ("Issuer") pursuant to that certain Agreement and Plan of Merger, dated August 28, 2019 (the "Merger Agreement"), by and among Issuer, Parent and Purchaser. Following the Tender Offer, on October 9, 2019, Purchaser merged with and into Issuer with Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger"). In connection with the Merger, the reporting person is no longer a director of Issuer, effective on October 9, 2019. F6 · price: In accordance with the terms of the Merger Agreement, this stock option held by the reporting person was deemed to be fully vested and cancelled and converted at the effective time of the Merger into the right to receive a cash payment, without interest, equal to the product of (i) the aggregate number of shares of the Issuer's Common Stock subject to such stock option multiplied by (ii) the excess of $1.27 over the per share exercise price of such stock option, less any taxes required to be withheld. Read SEC document |
| October 08, 2019 Filed Oct 9, 2019 20:47 UTC | Castle Brands Inc ROX · Entity 154496 | Disposition to issuerStock Option (Right to Buy) · Derivative | 100,000 | Not disclosed Strike: $1.46 | Not disclosed |
DisclosureSEC source: 0001209191-19-052893 · doc4.xml · derivative · entry 3 KRASNO RICHARD M · CIK 0001215060 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 100,000 shares Expires 2025-03-26 F1 · date: On October 8, 2019, Rook Merger Sub, Inc. ("Purchaser"), a wholly owned subsidiary of Austin, Nichols & Co., Inc. ("Parent"), successfully completed the tender offer ("Tender Offer") for all issued and outstanding shares of the common stock of Castle Brands Inc. ("Issuer") pursuant to that certain Agreement and Plan of Merger, dated August 28, 2019 (the "Merger Agreement"), by and among Issuer, Parent and Purchaser. Following the Tender Offer, on October 9, 2019, Purchaser merged with and into Issuer with Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger"). In connection with the Merger, the reporting person is no longer a director of Issuer, effective on October 9, 2019. F5 · price: In accordance with the terms of the Merger Agreement, this stock option was cancelled at the effective time of the Merger because the exercise price of the stock option exceeded $1.27 per share. F4 · derivative.exercise_date: The option vested in four equal annual installments commencing on March 26, 2016. Read SEC document |
| October 08, 2019 Filed Oct 9, 2019 20:47 UTC | Castle Brands Inc ROX · Entity 154496 | Disposition to issuerCommon Stock | 22,500 | $1.27 | $28,575.00 |
DisclosureSEC source: 0001209191-19-052893 · doc4.xml · nonDerivative · entry 2 KRASNO RICHARD M · CIK 0001215060 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · date: On October 8, 2019, Rook Merger Sub, Inc. ("Purchaser"), a wholly owned subsidiary of Austin, Nichols & Co., Inc. ("Parent"), successfully completed the tender offer ("Tender Offer") for all issued and outstanding shares of the common stock of Castle Brands Inc. ("Issuer") pursuant to that certain Agreement and Plan of Merger, dated August 28, 2019 (the "Merger Agreement"), by and among Issuer, Parent and Purchaser. Following the Tender Offer, on October 9, 2019, Purchaser merged with and into Issuer with Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger"). In connection with the Merger, the reporting person is no longer a director of Issuer, effective on October 9, 2019. F3 · kind: In accordance with the terms of the Merger Agreement, the restricted stock awards held by the reporting person were deemed to be fully vested and converted at the effective time of the Merger into the right to receive a cash payment, without interest, equal to the product of (i) the aggregate number of shares of the Issuer's Common Stock in respect of such restricted stock awards multiplied by (ii) $1.27, less any taxes required to be withheld. Read SEC document |
| October 08, 2019 Filed Oct 9, 2019 20:47 UTC | Castle Brands Inc ROX · Entity 154496 | OtherCommon Stock | 57,500 | $1.27 | $73,025.00 |
DisclosureSEC source: 0001209191-19-052893 · doc4.xml · nonDerivative · entry 1 KRASNO RICHARD M · CIK 0001215060 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,500 F1 · date: On October 8, 2019, Rook Merger Sub, Inc. ("Purchaser"), a wholly owned subsidiary of Austin, Nichols & Co., Inc. ("Parent"), successfully completed the tender offer ("Tender Offer") for all issued and outstanding shares of the common stock of Castle Brands Inc. ("Issuer") pursuant to that certain Agreement and Plan of Merger, dated August 28, 2019 (the "Merger Agreement"), by and among Issuer, Parent and Purchaser. Following the Tender Offer, on October 9, 2019, Purchaser merged with and into Issuer with Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger"). In connection with the Merger, the reporting person is no longer a director of Issuer, effective on October 9, 2019. F2 · kind: Represents shares tendered to the Purchaser in connection with the Tender Offer. Read SEC document |
| July 26, 2019 Filed Aug 23, 2019 10:12 UTC | BioCardia, Inc. BCDA;BCDAW · Entity 7752 | Exercise / conversionRestricted Stock Units · Derivative | 3,594 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001437749-19-017326 · rdgdoc.xml · derivative · entry 4 KRASNO RICHARD M · CIK 0001215060 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 567 Underlying: Common Stock · 3,594 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. F4 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. F6 · derivative.exercise_date: On July 26, 2018, the reporting person was granted 32,353 RSUs (3,594 after the 1-for-9 reverse split effective May 7, 2019), which vested on July 26, 2019. The common stock into which such vested RSUs converted on July 26, 2019 is reported on Table I of this Form 4. F6 · derivative.expiration_date: On July 26, 2018, the reporting person was granted 32,353 RSUs (3,594 after the 1-for-9 reverse split effective May 7, 2019), which vested on July 26, 2019. The common stock into which such vested RSUs converted on July 26, 2019 is reported on Table I of this Form 4. Read SEC document |
| July 26, 2019 Filed Aug 23, 2019 10:12 UTC | BioCardia, Inc. BCDA;BCDAW · Entity 7752 | Exercise / conversionCommon Stock | 3,594 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-19-017326 · rdgdoc.xml · nonDerivative · entry 2 KRASNO RICHARD M · CIK 0001215060 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,748 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. F2 · kind: Represents the conversion upon vesting of RSUs into common stock. On July 26, 2018, the reporting person was granted 32,353 RSUs (3,594 after the 1-for-9 reverse split effective May 7, 2019) that were previously reported on Table II of Form 4, which form was filed with the SEC on September 26, 2018. F3 · price: The converted RSU corresponds to a 1:1 common stock issuance. Read SEC document |
| June 20, 2019 Filed Jun 21, 2019 10:39 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | GrantStock Option (Right to Buy) · Derivative | 20,000 | $0.00 Strike: $2.03 | $0.00 |
DisclosureSEC source: 0001209191-19-038352 · doc4.xml · derivative · entry 1 KRASNO RICHARD M · CIK 0001215060 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2029-06-19 Read SEC document |
| June 17, 2019 Filed Jun 19, 2019 17:26 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | Exercise / conversionStock Option (Right to Buy) · Derivative | 20,000 | $0.00 Strike: $0.73 | $0.00 |
DisclosureSEC source: 0001209191-19-038088 · doc4.xml · derivative · entry 4 KRASNO RICHARD M · CIK 0001215060 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 20,000 shares Expires 2019-08-27 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 17, 2019 Filed Jun 19, 2019 17:26 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | Tax withholdingCommon Stock | 4,172 | $3.50 | $14,602.00 |
DisclosureSEC source: 0001209191-19-038088 · doc4.xml · nonDerivative · entry 2 KRASNO RICHARD M · CIK 0001215060 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,828 F2 · kind: Represents shares withheld to cover the exercise price of the options exercised. Read SEC document |
| June 17, 2019 Filed Jun 19, 2019 17:26 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | Exercise / conversionCommon Stock | 20,000 | $0.73 | $14,600.00 |
DisclosureSEC source: 0001209191-19-038088 · doc4.xml · nonDerivative · entry 1 KRASNO RICHARD M · CIK 0001215060 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,000 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 · balance_after: Includes the transfer of 85,000 shares previously held directly by the reporting person to The Richard M. Krasno Living Trust dated 10/6/2009. Read SEC document |
| June 13, 2019 Filed Jun 14, 2019 17:36 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | GrantCommon Stock | 30,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-037230 · doc4.xml · nonDerivative · entry 1 KRASNO RICHARD M · CIK 0001215060 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 135,000 F1 · shares: Restricted shares of common stock issued pursuant to the issuer's Amended and Restated 2009 Incentive Compensation Plan. Restricted shares vest in two equal annual installments commencing on the first anniversary of the date of grant provided Dr. Krasno is then still a director of the issuer, subject to earlier vesting upon his death or disability or a change of control of the issuer. Read SEC document |
| February 27, 2019 Filed Mar 1, 2019 17:04 UTC | Castle Brands Inc ROX · Entity 154496 | GrantCommon Stock | 15,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-015087 · doc4.xml · nonDerivative · entry 1 KRASNO RICHARD M · CIK 0001215060 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,000 F1 · shares: Restricted shares of common stock issued pursuant to the issuer's 2013 Incentive Compensation Plan, as amended. Restricted shares vest in two equal annual installments commencing on the first anniversary of the date of grant provided Dr. Krasno is then still a director of the issuer, subject to earlier vesting upon his death or disability or a change of control of the issuer. Read SEC document |
| January 13, 2019 Filed Aug 23, 2019 10:12 UTC | BioCardia, Inc. BCDA;BCDAW · Entity 7752 | Exercise / conversionRestricted Stock Units · Derivative | 567 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001437749-19-017326 · rdgdoc.xml · derivative · entry 3 KRASNO RICHARD M · CIK 0001215060 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,161 Underlying: Common Stock · 567 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. F4 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. F5 · derivative.exercise_date: On January 13, 2017, the reporting person was granted 184,000 RSUs (1,703 after the 1-for-9 reverse stock split effective May 7, 2019 and the 1-for-12 reverse split effective November 2, 2017), of which 567 vested on January 13, 2019. The common stock into which such vested RSUs converted on January 13, 2019 is reported on Table I of this Form 4. The remaining RSUs will vest on the third one-year anniversary of the grant date, subject to the Reporting Person continuing as a service provider through such date. F5 · derivative.expiration_date: On January 13, 2017, the reporting person was granted 184,000 RSUs (1,703 after the 1-for-9 reverse stock split effective May 7, 2019 and the 1-for-12 reverse split effective November 2, 2017), of which 567 vested on January 13, 2019. The common stock into which such vested RSUs converted on January 13, 2019 is reported on Table I of this Form 4. The remaining RSUs will vest on the third one-year anniversary of the grant date, subject to the Reporting Person continuing as a service provider through such date. Read SEC document |
| January 13, 2019 Filed Aug 23, 2019 10:12 UTC | BioCardia, Inc. BCDA;BCDAW · Entity 7752 | Exercise / conversionCommon Stock | 567 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-19-017326 · rdgdoc.xml · nonDerivative · entry 1 KRASNO RICHARD M · CIK 0001215060 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,154 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 · kind: Represents the conversion upon vesting of restricted stock units ("RSUs") into common stock. On January 13, 2017, the reporting person was granted 184,000 RSUs (1,703 after the 1-for-9 reverse stock split effective May 7, 2019 and the 1-for-12 reverse split effective November 2, 2017) that were previously reported on Table II of Form 4, which form was filed with the Securities and Exchange Commission (the "SEC") on January 18, 2017. F3 · price: The converted RSU corresponds to a 1:1 common stock issuance. Read SEC document |
| July 26, 2018 Filed Sep 27, 2018 01:17 UTC | BioCardia, Inc. BCDA · Entity 7752 | GrantRestricted Stock Units · Derivative | 32,353 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001437749-18-017508 · rdgdoc.xml · derivative · entry 5 KRASNO RICHARD M · CIK 0001215060 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,353 Underlying: Common Stock · 32,353 shares Expires not disclosed F5 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. F10 · derivative.exercise_date: The restricted stock units vest as to one hundred percent of the shares on July 26, 2019, subject to the Reporting Person continuing as a service provider through such date. Vested shares will be delivered to the Reporting Person on July 26, 2019. F10 · derivative.expiration_date: The restricted stock units vest as to one hundred percent of the shares on July 26, 2019, subject to the Reporting Person continuing as a service provider through such date. Vested shares will be delivered to the Reporting Person on July 26, 2019. Read SEC document |
| June 21, 2018 Filed Jun 22, 2018 20:15 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | GrantStock Option (Right to Buy) · Derivative | 20,000 | $0.00 Strike: $4.46 | $0.00 |
DisclosureSEC source: 0001209191-18-039178 · doc4.xml · derivative · entry 1 KRASNO RICHARD M · CIK 0001215060 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2028-06-20 Read SEC document |
| June 15, 2018 Filed Sep 27, 2018 01:17 UTC | BioCardia, Inc. BCDA · Entity 7752 | Exercise / conversionRestricted Stock Units · Derivative | 9,166 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001437749-18-017508 · rdgdoc.xml · derivative · entry 4 KRASNO RICHARD M · CIK 0001215060 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 0 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. F4 · derivative.exercise_price: Each RSU is the economic equivalent of one share of BioCardia, Inc. common stock. The closing price of BCDA on June 15, 2018 was $1.40 per share. F9 · derivative.exercise_date: On June 15, 2017, the reporting person was granted 110,000 RSUs (9,166 after the 12-to-1 reverse split effective November 2, 2017), which vested on June 15, 2018. The common stock into which such vested RSUs converted on June 15, 2018 is reported on Table I of this Form 4. F9 · derivative.expiration_date: On June 15, 2017, the reporting person was granted 110,000 RSUs (9,166 after the 12-to-1 reverse split effective November 2, 2017), which vested on June 15, 2018. The common stock into which such vested RSUs converted on June 15, 2018 is reported on Table I of this Form 4. Read SEC document |
| June 15, 2018 Filed Sep 27, 2018 01:17 UTC | BioCardia, Inc. BCDA · Entity 7752 | Exercise / conversionCommon Stock | 9,166 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-18-017508 · rdgdoc.xml · nonDerivative · entry 2 KRASNO RICHARD M · CIK 0001215060 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,277 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. F2 · kind: Represents the conversion upon vesting of RSUs into common stock. On June 15, 2017, the reporting person was granted 110,000 RSUs (9,166 after the 12-to-1 reverse split effective November 2, 2017) that were previously reported on Table II of Form 4, which form was filed with the SEC on August 25, 2017. F7 · price: The converted RSU corresponds to a 1:1 common stock issuance. 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.