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 |
|---|---|---|---|---|---|---|
| May 30, 2018 Filed Jun 1, 2018 16:50 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | GrantCommon Stock | 30,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-034726 · doc4.xml · nonDerivative · entry 1 KRASNO RICHARD M · CIK 0001215060 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 105,000 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 |
| May 22, 2018 Filed May 23, 2018 07:35 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | Exercise / conversionStock Option (Right to Buy) · Derivative | 20,000 | $0.00 Strike: $1.88 | $0.00 |
DisclosureSEC source: 0001209191-18-032492 · 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 · 20,000 shares Expires 2018-06-05 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 |
| May 22, 2018 Filed May 23, 2018 07:35 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | Exercise / conversionCommon Stock | 20,000 | $1.88 | $37,600.00 |
DisclosureSEC source: 0001209191-18-032492 · doc4.xml · nonDerivative · entry 1 KRASNO RICHARD M · CIK 0001215060 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,000 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. Read SEC document |
| April 02, 2018 Filed Apr 3, 2018 08:02 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | PurchaseCommon Stock | 5,000 | $3.10 | $15,513.00 |
DisclosureSEC source: 0001209191-18-022635 · doc4.xml · nonDerivative · entry 1 KRASNO RICHARD M · CIK 0001215060 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,000 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.0950 to $3.1745, inclusive. The reporting person undertakes to provide to Ladenburg Thalmann Financial Services Inc. (the "Company"), any security holder of the Company or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in footnote (1) to this Form 4. Read SEC document |
| March 01, 2018 Filed Mar 5, 2018 17:05 UTC | Castle Brands Inc ROX · Entity 154496 | GrantCommon Stock | 15,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-016609 · doc4.xml · nonDerivative · entry 1 KRASNO RICHARD M · CIK 0001215060 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,000 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, 2018 Filed Sep 27, 2018 01:17 UTC | BioCardia, Inc. BCDA · Entity 7752 | Exercise / conversionRestricted Stock Units · Derivative | 5,111 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001437749-18-017508 · rdgdoc.xml · derivative · entry 3 KRASNO RICHARD M · CIK 0001215060 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,222 Underlying: Common Stock · 10,222 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 RSU is the economic equivalent of one share of BioCardia, Inc. common stock. The closing price of BCDA on January 12, 2018 was $2.95 per share. F8 · derivative.exercise_date: On January 13, 2017, the reporting person was granted 184,000 RSUs (15,333 after the 12-to-1 reverse split effective November 2, 2017), of which 5,111 vested on January 13, 2018. The common stock into which such vested RSUs converted on January 13, 2018 is reported on Table I of this Form 4. The remaining RSUs will continue to vest on the second and third one-year anniversary of the grant date, subject to the Reporting Person continuing as a service provider through each such date. F8 · derivative.expiration_date: On January 13, 2017, the reporting person was granted 184,000 RSUs (15,333 after the 12-to-1 reverse split effective November 2, 2017), of which 5,111 vested on January 13, 2018. The common stock into which such vested RSUs converted on January 13, 2018 is reported on Table I of this Form 4. The remaining RSUs will continue to vest on the second and third one-year anniversary of the grant date, subject to the Reporting Person continuing as a service provider through each such date. Read SEC document |
| January 13, 2018 Filed Sep 27, 2018 01:17 UTC | BioCardia, Inc. BCDA · Entity 7752 | Exercise / conversionCommon Stock | 5,111 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-18-017508 · rdgdoc.xml · nonDerivative · entry 1 KRASNO RICHARD M · CIK 0001215060 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,111 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 (15,333 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 Securities and Exchange Commission (the "SEC") on January 18, 2017. F6 · price: The converted RSU corresponds to a 1:1 common stock issuance. Read SEC document |
| June 15, 2017 Filed Jun 16, 2017 20:22 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | GrantStock Option (Right to Buy) · Derivative | 20,000 | $0.00 Strike: $6.45 | $0.00 |
DisclosureSEC source: 0001209191-17-040514 · 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 2027-06-14 Read SEC document |
| June 15, 2017 Filed Aug 25, 2017 21:50 UTC | BioCardia, Inc. BCDA · Entity 7752 | GrantRestricted Stock Units · Derivative | 110,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-17-015351 · rdgdoc.xml · derivative · entry 1 KRASNO RICHARD M · CIK 0001215060 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 110,000 Underlying: Common Stock · 110,000 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. F2 · derivative.exercise_date: The restricted stock units vest and become exercisable as to one hundred percent of the shares on June 15, 2018, subject to the Reporting Person continuing as a service provider through each such date. F2 · derivative.expiration_date: The restricted stock units vest and become exercisable as to one hundred percent of the shares on June 15, 2018, subject to the Reporting Person continuing as a service provider through each such date. Read SEC document |
| May 24, 2017 Filed May 26, 2017 17:07 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | GrantCommon Stock | 30,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-035927 · doc4.xml · nonDerivative · entry 1 KRASNO RICHARD M · CIK 0001215060 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 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 28, 2017 Filed Mar 1, 2017 17:03 UTC | Castle Brands Inc ROX · Entity 154496 | GrantStock Option (Right to Buy) · Derivative | 20,000 | $0.00 Strike: $1.04 | $0.00 |
DisclosureSEC source: 0001209191-17-015960 · 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 2027-02-28 Read SEC document |
| February 09, 2017 Filed Feb 10, 2017 21:35 UTC | OPKO HEALTH, INC. OPK · Entity 4891 | GrantStock Option (Right to Buy) · Derivative | 40,000 | $0.00 Strike: $8.10 | $0.00 |
DisclosureSEC source: 0001209191-17-009553 · doc4.xml · derivative · entry 1 KRASNO RICHARD M · CIK 0001215060 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Stock · 40,000 shares Expires 2027-02-08 Read SEC document |
| January 13, 2017 Filed Jan 18, 2017 23:39 UTC | BioCardia, Inc. BCDA · Entity 7752 | GrantRestricted Stock Units · Derivative | 184,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-17-000795 · rdgdoc.xml · derivative · entry 1 KRASNO RICHARD M · CIK 0001215060 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 184,000 Underlying: Common Stock · 184,000 shares Expires 2020-01-13 F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. F2 · derivative.exercise_date: The restricted stock units vest and become exercisable as to one-third of the shares on January 13, 2018 and each one-year anniversary thereafter, subject to the Reporting Person continuing as a service provider through each such date. Read SEC document |
| December 27, 2016 Filed Dec 28, 2016 19:53 UTC | Castle Brands Inc ROX · Entity 154496 | PurchaseCommon Stock | 30,000 | $0.72 | $21,741.00 |
DisclosureSEC source: 0001209191-16-156939 · doc4.xml · nonDerivative · entry 1 KRASNO RICHARD M · CIK 0001215060 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.72 to $0.73, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in footnote (1) to this Form 4. Read SEC document |
| October 26, 2016 Filed Oct 28, 2016 07:44 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | Exercise / conversionStock Option (Right to Buy) · Derivative | 20,000 | $0.00 Strike: $1.39 | $0.00 |
DisclosureSEC source: 0001209191-16-147223 · 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 · 20,000 shares Expires 2016-11-05 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 |
| October 26, 2016 Filed Oct 28, 2016 07:44 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | Tax withholdingCommon Stock | 12,411 | $2.24 | $27,800.64 |
DisclosureSEC source: 0001209191-16-147223 · doc4.xml · nonDerivative · entry 2 KRASNO RICHARD M · CIK 0001215060 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Held by The Richard M. Krasno Living Trust dated 10/6/2009 Disclosed balance after: 298,089 F1 · 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 |
| October 26, 2016 Filed Oct 28, 2016 07:44 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | Exercise / conversionCommon Stock | 20,000 | $1.39 | $27,800.00 |
DisclosureSEC source: 0001209191-16-147223 · doc4.xml · nonDerivative · entry 1 KRASNO RICHARD M · CIK 0001215060 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 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. 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.