Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Opus Genetics, Inc.RNN · Entity 5892 | Director | June 06, 2019 | June 07, 2019 |
| Pyxis Oncology, Inc.PYXS · Entity 5986 | Director · President ,CEO & CMO | March 31, 2025 | April 02, 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.
Opus Genetics, Inc.
Report date June 06, 2019 · Filed June 07, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.23 · Expires 2029-06-06 | Direct | 3,537 |
Reported balance
After 2019-06-06 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2019-06-06 · Grant · Acquired 3,537 · Balance 3,537 |
Pyxis Oncology, Inc.
Report date March 31, 2025 · Filed April 02, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.98 · Expires 2035-03-31 | Direct | 918,308 |
Reported balance
After 2025-03-31 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2025-03-31 · Grant · Acquired 918,308 · Balance 918,308 F1: The shares subject to this option will vest over four years, with 25% vesting on the first anniversary of March 31,2025 and the remainder vesting in 36 equal monthly instalments thereafter subject to the reporting person's continued employment through the applicable vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares subject to this option will vest over four years, with 25% vesting on the first anniversary of March 31,2025 and the remainder vesting in 36 equal monthly instalments thereafter subject to the reporting person's continued employment through the applicable vesting date.
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 |
|---|---|---|---|---|---|---|
| March 31, 2025 Filed Apr 2, 2025 09:06 UTC | Pyxis Oncology, Inc. PYXS · Entity 5986 | GrantStock Option (Right to Buy) · Derivative | 918,308 | $0.98 Strike: $0.98 | $899,941.84 |
DisclosureSEC source: 0000950170-25-048905 · ownership.xml · derivative · entry 1 Sullivan Lara · CIK 0001769457 · Director · President ,CEO & CMO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 918,308 Underlying: Common Stock · 918,308 shares Expires 2035-03-31 F1 · derivative.exercise_date: The shares subject to this option will vest over four years, with 25% vesting on the first anniversary of March 31,2025 and the remainder vesting in 36 equal monthly instalments thereafter subject to the reporting person's continued employment through the applicable vesting date. Read SEC document |
| December 23, 2024 Filed Dec 23, 2024 16:33 UTC | Pyxis Oncology, Inc. PYXS · Entity 5986 | GrantStock Option (Right to Buy) · Derivative | 1,135,000 | $0.00 Strike: $1.67 | $0.00 |
DisclosureSEC source: 0000950170-24-139616 · ownership.xml · derivative · entry 1 Sullivan Lara · CIK 0001769457 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,135,000 Underlying: Common Stock · 1,135,000 shares Expires 2034-12-23 F1 · derivative.exercise_date: The shares subject to this option vest in full on December 23, 2025, subject to the Reporting Person's continued employment through the vesting date. Read SEC document |
| March 26, 2024 Filed Mar 28, 2024 16:33 UTC | Pyxis Oncology, Inc. PYXS · Entity 5986 | GrantStock Option (Right to Buy) · Derivative | 1,071,242 | $3.83 Strike: $3.83 | $4,102,856.86 |
DisclosureSEC source: 0000950170-24-038106 · ownership.xml · derivative · entry 1 Sullivan Lara · CIK 0001769457 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,071,242 Underlying: Common Stock · 1,071,242 shares Expires 2034-03-26 F1 · derivative.exercise_date: The shares subject to this option will vest over four years, with 25% vesting on the first anniversary of March 26, 2024 and the remainder vesting in 36 equal monthly installments thereafter, subject to the reporting person's continued employment through the applicable vesting date. Read SEC document |
| September 18, 2023 Filed Sep 18, 2023 19:03 UTC | Pyxis Oncology, Inc. PYXS · Entity 5986 | SaleCommon Stock | 8,541 | $2.10 | $17,936.10 |
DisclosureSEC source: 0001209191-23-049826 · doc4.xml · nonDerivative · entry 2 Sullivan Lara · CIK 0001769457 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,403,882 Read SEC document |
| September 14, 2023 Filed Sep 18, 2023 19:03 UTC | Pyxis Oncology, Inc. PYXS · Entity 5986 | SaleCommon Stock | 100 | $2.25 | $225.00 |
DisclosureSEC source: 0001209191-23-049826 · doc4.xml · nonDerivative · entry 1 Sullivan Lara · CIK 0001769457 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,412,423 Read SEC document |
| September 13, 2023 Filed Sep 13, 2023 20:16 UTC | Pyxis Oncology, Inc. PYXS · Entity 5986 | Tax withholdingCommon Stock | 184,742 | $2.13 | $393,500.46 |
DisclosureSEC source: 0001209191-23-049366 · doc4.xml · nonDerivative · entry 4 Sullivan Lara · CIK 0001769457 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,412,523 F5 · shares: Represents shares withheld to cover taxes due upon the vesting of certain restricted stock units. Read SEC document |
| September 13, 2023 Filed Sep 13, 2023 20:16 UTC | Pyxis Oncology, Inc. PYXS · Entity 5986 | SaleCommon Stock | 3,000 | $2.27 | $6,815.70 |
DisclosureSEC source: 0001209191-23-049366 · doc4.xml · nonDerivative · entry 3 Sullivan Lara · CIK 0001769457 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,597,265 F1 · price: Reflects sales of common stock executed in multiple transactions. The price reported reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request by the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected within the ranges set forth in footnotes 2 through 4 of this Form 4. F4 · price: The transaction was executed in multiple trades in prices ranging from $2.25 to $2.34. Read SEC document |
| September 12, 2023 Filed Sep 13, 2023 20:16 UTC | Pyxis Oncology, Inc. PYXS · Entity 5986 | SaleCommon Stock | 4,917 | $2.25 | $11,071.12 |
DisclosureSEC source: 0001209191-23-049366 · doc4.xml · nonDerivative · entry 2 Sullivan Lara · CIK 0001769457 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,600,265 F1 · price: Reflects sales of common stock executed in multiple transactions. The price reported reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request by the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected within the ranges set forth in footnotes 2 through 4 of this Form 4. F3 · price: The transaction was executed in multiple trades in prices ranging from $2.21 to $2.30. Read SEC document |
| September 11, 2023 Filed Sep 13, 2023 20:16 UTC | Pyxis Oncology, Inc. PYXS · Entity 5986 | SaleCommon Stock | 20,000 | $2.27 | $45,414.00 |
DisclosureSEC source: 0001209191-23-049366 · doc4.xml · nonDerivative · entry 1 Sullivan Lara · CIK 0001769457 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,605,182 F1 · price: Reflects sales of common stock executed in multiple transactions. The price reported reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request by the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected within the ranges set forth in footnotes 2 through 4 of this Form 4. F2 · price: The transaction was executed in multiple trades in prices ranging from $2.13 to $2.36. Read SEC document |
| September 07, 2023 Filed Sep 8, 2023 17:00 UTC | Pyxis Oncology, Inc. PYXS · Entity 5986 | GrantCommon Stock | 469,483 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-23-048814 · doc4.xml · nonDerivative · entry 1 Sullivan Lara · CIK 0001769457 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,625,182 F1 · shares: Represents restricted stock units that are fully vested. Read SEC document |
| March 24, 2023 Filed Mar 28, 2023 16:48 UTC | Pyxis Oncology, Inc. PYXS · Entity 5986 | GrantStock Option (Right to buy) · Derivative | 61,825 | Not disclosed Strike: $2.21 | Not disclosed |
DisclosureSEC source: 0001209191-23-021415 · doc4.xml · derivative · entry 5 Sullivan Lara · CIK 0001769457 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 61,825 Underlying: Common Stock · 61,825 shares Expires 2031-09-14 F2 · derivative.exercise_price: In accordance with the terms of the Pyxis Oncology, Inc. 2019 Equity and Incentive Plan (the "Plan"), the Board of Directors of Pyxis Oncology, Inc. approved a stock option repricing pursuant to which option awards granted under the Plan were amended to reduce the exercise price to $2.21 per share, the closing stock price on the date of Board approval. Except for the modified exercise price, all other terms and conditions of each of the option awards will continue as set forth in the Plan and the applicable award agreements. F2 · price: In accordance with the terms of the Pyxis Oncology, Inc. 2019 Equity and Incentive Plan (the "Plan"), the Board of Directors of Pyxis Oncology, Inc. approved a stock option repricing pursuant to which option awards granted under the Plan were amended to reduce the exercise price to $2.21 per share, the closing stock price on the date of Board approval. Except for the modified exercise price, all other terms and conditions of each of the option awards will continue as set forth in the Plan and the applicable award agreements. F4 · derivative.exercise_date: These stock options vested 25% on the first anniversary of the closing of the Issuer's initial public offering, and then vests in 36 substantially-equal monthly installments thereafter, subject to the reporting person's continued employment through the applicable vesting date. Read SEC document |
| March 24, 2023 Filed Mar 28, 2023 16:48 UTC | Pyxis Oncology, Inc. PYXS · Entity 5986 | GrantStock Option (Right to buy) · Derivative | 990,461 | Not disclosed Strike: $2.21 | Not disclosed |
DisclosureSEC source: 0001209191-23-021415 · doc4.xml · derivative · entry 4 Sullivan Lara · CIK 0001769457 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 990,461 Underlying: Common Stock · 990,461 shares Expires 2031-03-30 F2 · derivative.exercise_price: In accordance with the terms of the Pyxis Oncology, Inc. 2019 Equity and Incentive Plan (the "Plan"), the Board of Directors of Pyxis Oncology, Inc. approved a stock option repricing pursuant to which option awards granted under the Plan were amended to reduce the exercise price to $2.21 per share, the closing stock price on the date of Board approval. Except for the modified exercise price, all other terms and conditions of each of the option awards will continue as set forth in the Plan and the applicable award agreements. F2 · price: In accordance with the terms of the Pyxis Oncology, Inc. 2019 Equity and Incentive Plan (the "Plan"), the Board of Directors of Pyxis Oncology, Inc. approved a stock option repricing pursuant to which option awards granted under the Plan were amended to reduce the exercise price to $2.21 per share, the closing stock price on the date of Board approval. Except for the modified exercise price, all other terms and conditions of each of the option awards will continue as set forth in the Plan and the applicable award agreements. F3 · derivative.exercise_date: These stock options vest in 48 substantially-equal monthly installments beginning January 2, 2020, subject to the reporting person's continued employment through the applicable vesting date. Read SEC document |
| March 24, 2023 Filed Mar 28, 2023 16:48 UTC | Pyxis Oncology, Inc. PYXS · Entity 5986 | Disposition to issuerStock Option (Right to buy) · Derivative | 61,825 | Not disclosed Strike: $8.71 | Not disclosed |
DisclosureSEC source: 0001209191-23-021415 · doc4.xml · derivative · entry 3 Sullivan Lara · CIK 0001769457 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 61,825 shares Expires 2031-09-14 F2 · derivative.exercise_price: In accordance with the terms of the Pyxis Oncology, Inc. 2019 Equity and Incentive Plan (the "Plan"), the Board of Directors of Pyxis Oncology, Inc. approved a stock option repricing pursuant to which option awards granted under the Plan were amended to reduce the exercise price to $2.21 per share, the closing stock price on the date of Board approval. Except for the modified exercise price, all other terms and conditions of each of the option awards will continue as set forth in the Plan and the applicable award agreements. F2 · price: In accordance with the terms of the Pyxis Oncology, Inc. 2019 Equity and Incentive Plan (the "Plan"), the Board of Directors of Pyxis Oncology, Inc. approved a stock option repricing pursuant to which option awards granted under the Plan were amended to reduce the exercise price to $2.21 per share, the closing stock price on the date of Board approval. Except for the modified exercise price, all other terms and conditions of each of the option awards will continue as set forth in the Plan and the applicable award agreements. F4 · derivative.exercise_date: These stock options vested 25% on the first anniversary of the closing of the Issuer's initial public offering, and then vests in 36 substantially-equal monthly installments thereafter, subject to the reporting person's continued employment through the applicable vesting date. Read SEC document |
| March 24, 2023 Filed Mar 28, 2023 16:48 UTC | Pyxis Oncology, Inc. PYXS · Entity 5986 | Disposition to issuerStock Option (Right to buy) · Derivative | 990,461 | Not disclosed Strike: $5.34 | Not disclosed |
DisclosureSEC source: 0001209191-23-021415 · doc4.xml · derivative · entry 2 Sullivan Lara · CIK 0001769457 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 990,461 shares Expires 2031-03-30 F2 · derivative.exercise_price: In accordance with the terms of the Pyxis Oncology, Inc. 2019 Equity and Incentive Plan (the "Plan"), the Board of Directors of Pyxis Oncology, Inc. approved a stock option repricing pursuant to which option awards granted under the Plan were amended to reduce the exercise price to $2.21 per share, the closing stock price on the date of Board approval. Except for the modified exercise price, all other terms and conditions of each of the option awards will continue as set forth in the Plan and the applicable award agreements. F2 · price: In accordance with the terms of the Pyxis Oncology, Inc. 2019 Equity and Incentive Plan (the "Plan"), the Board of Directors of Pyxis Oncology, Inc. approved a stock option repricing pursuant to which option awards granted under the Plan were amended to reduce the exercise price to $2.21 per share, the closing stock price on the date of Board approval. Except for the modified exercise price, all other terms and conditions of each of the option awards will continue as set forth in the Plan and the applicable award agreements. F3 · derivative.exercise_date: These stock options vest in 48 substantially-equal monthly installments beginning January 2, 2020, subject to the reporting person's continued employment through the applicable vesting date. Read SEC document |
| March 24, 2023 Filed Mar 28, 2023 16:48 UTC | Pyxis Oncology, Inc. PYXS · Entity 5986 | GrantCommon Stock | 703,379 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-23-021415 · doc4.xml · nonDerivative · entry 1 Sullivan Lara · CIK 0001769457 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,155,699 F1 · shares: Represents restricted stock units that vest 25% on March 24, 2024, and then in 36 substantially-equal monthly installments thereafter, subject to the reporting person's continued employment through the applicable vesting date. Read SEC document |
| January 03, 2023 Filed Jan 3, 2023 19:39 UTC | Pyxis Oncology, Inc. PYXS · Entity 5986 | GrantCommon Stock | 95,684 | $0.00 | $0.00 |
DisclosureSEC source: 0001567619-23-000068 · doc1.xml · nonDerivative · entry 1 Sullivan Lara · CIK 0001769457 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,452,320 F1 · shares: Represents restricted stock units that vest on April 13, 2023, subject to the Reporting Person's continued employment through the vesting date. Read SEC document |
| April 14, 2022 Filed Apr 15, 2022 19:56 UTC | Pyxis Oncology, Inc. PYXS · Entity 5986 | GrantCommon Stock | 315,273 | $0.00 | $0.00 |
DisclosureSEC source: 0001567619-22-008613 · doc1.xml · nonDerivative · entry 1 Sullivan Lara · CIK 0001769457 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,356,636 F1 · shares: Represents restricted stock units ("RSUs") that vest on April 13, 2023, subject to the Reporting Person's continued employment through the vesting date. F2 · shares: The Compensation Committee also approved a grant to the Reporting Person, effective January 3, 2023, of an additional 95,684 RSUs that vest on April 13, 2023, subject to the Reporting Person's continued employment through the grant and vesting dates. F3 · shares: The Compensation Committee also approved a grant to the Reporting Person of $200,000 cash compensation that is payable in full on April 13, 2023, subject to the Reporting Person's continued employment through the payment date. Read SEC document |
| March 31, 2022 Filed Apr 4, 2022 16:15 UTC | Pyxis Oncology, Inc. PYXS · Entity 5986 | GrantCommon Stock | 742,574 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-22-012924 · form4.xml · nonDerivative · entry 1 Sullivan Lara · CIK 0001769457 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,041,363 F1 · shares: Represents restricted stock units that vest over a four-year period, with 25% vesting on the first anniversary of the grant date, and the remaining 75% vesting in 12 substantially-equal quarterly installments thereafter, subject to the reporting person's continued employment through the applicable vesting date. Read SEC document |
| October 07, 2021 Filed Oct 12, 2021 19:47 UTC | Pyxis Oncology, Inc. PYXS · Entity 5986 | GrantStock Option (Right to buy) · Derivative | 962,289 | $0.00 Strike: $16.00 | $0.00 |
DisclosureSEC source: 0001140361-21-034421 · form4.xml · derivative · entry 1 Sullivan Lara · CIK 0001769457 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 962,289 Underlying: Common Stock · 962,289 shares Expires 2031-10-07 F1 · derivative.exercise_date: Two-thirds of these stock options vest 25% on the first anniversary of the October 7, 2021 grant date, and then in 36 substantially-equal monthly installments thereafter, and one-third of these stock options vest in full on the fourth anniversary of the October 7, 2021 grant date, all subject to the reporting person's continued employment through the applicable vesting date. Read SEC document |
| June 06, 2019 Filed Jun 7, 2019 20:17 UTC | Opus Genetics, Inc. RNN · Entity 5892 | GrantStock Option (right to buy) · Derivative | 3,537 | $0.00 Strike: $5.23 | $0.00 |
DisclosureSEC source: 0001140361-19-010673 · form4.xml · derivative · entry 1 Sullivan Lara · CIK 0001769457 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,537 Underlying: Common Stock · 3,537 shares Expires 2029-06-06 Read SEC document |
| February 27, 2019 Filed Mar 1, 2019 22:31 UTC | Opus Genetics, Inc. RNN · Entity 5892 | GrantStock Option (right to buy) · Derivative | 84,968 | $0.00 Strike: $0.53 | $0.00 |
DisclosureSEC source: 0001140361-19-004271 · form4.xml · derivative · entry 1 Sullivan Lara · CIK 0001769457 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 84,968 Underlying: Common Stock · 84,968 shares Expires 2019-02-27 F1 · derivative.exercise_date: Options will vest and become exercisable based on the following schedule: 28,322 on February 27, 2020, 28,323 on February 27, 2021, and 28,323 on February 27, 2022. 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.