Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| HALOZYME THERAPEUTICS, INC.HALO · Entity 793 | SVP, Chief Operating Officer | February 22, 2017 | February 24, 2017 |
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.
HALOZYME THERAPEUTICS, INC.
Report date February 22, 2017 · Filed February 24, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Option to Purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $12.07 · Expires 2027-02-22 | Direct | 72,925 |
Reported balance
After 2017-02-22 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2017-02-22 · Grant · Acquired 72,925 · Balance 72,925 F1: This option vests one-fourth on such date and then 1/48th monthly thereafter. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 45,568 |
Reported balance
After 2017-02-22 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2017-02-22 · Grant · Acquired 45,568 · Balance 45,568 F2: This award vests one-fourth on the first anniversary of the grant date and then one-fourth on each anniversary date thereafter. |
Filing footnotes · ownership attribution and instrument terms
F1: This option vests one-fourth on such date and then 1/48th monthly thereafter.
F2: This award vests one-fourth on the first anniversary of the grant date and then one-fourth on each anniversary date thereafter.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Poseida Therapeutics, Inc.
Report date January 08, 2025 · Filed January 08, 2025
Section 16 reporting ended · disclosed 2025-01-08. 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 2025-01-08 transaction · row 1
1 source rowRow 1 · 2025-01-08 · Other · Disposed 636,726 · Balance 0 F1: Disposed of pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of November 25, 2024, by and among Poseida Therapeutics, Inc. (the "Issuer"), Roche Holdings, Inc. ("Parent") and Blue Giant Acquisition Corp., a wholly owned subsidiary of Parent ("Merger Sub"). On January 8, 2025, Parent and Merger Sub completed a tender offer pursuant to the terms of the Merger Agreement for all outstanding shares of common stock of the Issuer (each, a "Share") for an offer price of (i) $9.00 per Share in cash (the "Cash Amount"), and (ii) one non-tradeable contingent value right (each, a "CVR") representing the right to receive certain contingent payments of up to an aggregate amount of $4.00 per Share, [continues to Footnote 2] F2: [continues from Footnote 1] in cash, upon the achievement of specified milestones, subject to and in accordance with the terms of the Contingent Value Rights Agreement (the "CVR Agreement"), in each case, without interest, and subject to any applicable withholding taxes (the Cash Amount plus one CVR, collectively, the "Offer Price"). Merger Sub thereafter merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Parent (the "Merger"). At the effective time of the Merger, each issued and outstanding Share (other than any Excluded Shares (as such term is defined in the Merger Agreement)) was cancelled in exchange for the right to receive the Offer Price. F3: Includes 3,000 shares acquired by the Reporting Person under the Issuer's 2020 Employee Stock Purchase Plan (the "ESPP") on March 20, 2024 and 3,000 shares acquired by the Reporting Person under the ESPP on September 20, 2024. |
| Employee Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.78 · Expires 2028-03-01 | Direct | 0 |
Reported balance
After 2025-01-08 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2025-01-08 · Disposition to issuer · Disposed 240,721 · Balance 0 F4: As of immediately prior to and conditioned upon the effective time of the effective time of the Merger, pursuant to the Merger Agreement, each outstanding option to purchase Shares (each, an "Option") became fully vested and exercisable, and to the extent not exercised prior to the effective time of the Merger, was cancelled and converted into the right to receive (a) an amount in cash (without interest and subject to deduction for any required withholding tax) equal to the product of (1) the excess, if any, of the Cash Amount over the exercise price per share of each such Option and (2) the number of Shares underlying such Option immediately prior to the effective time of the Merger and (b) one CVR in respect of each Share underlying such Option (the "Option Consideration"); provided, however, that if the exercise price per Share of any Option was equal to or greater than the Cash Amount, but less than $13.00 (any such option, an "Underwater Option"), [continues to Footnote 5] F5: [Continues from Footnote 4] such Underwater Option was not entitled to any payment of the Cash Amount in respect thereof and each Underwater Option was converted into the right to receive the CVR included in the Option Consideration with respect to each Share underlying such Underwater Option and became entitled to receive, at each time a milestone payment becomes due and payable under the terms of the CVR Agreement, an amount in cash equal to the product of (a) the total number of Shares underlying such Underwater Option, multiplied by (b) the amount, if any, by which (1) the Cash Amount plus the amount of such milestone payment plus the amount of any other milestone payments that previously became due and payable under the terms of the CVR Agreement exceeds (2) the exercise price per Share with respect to such Underwater Option plus the Milestone Payment Amounts (as such term is defined in the CVR Agreement), [continues to Footnote 6] F6: [Continues from Footnote 5] if any, previously paid pursuant to the CVR Agreement in respect of each CVR granted in respect of such Underwater Option; provided further, that any Option with an exercise price that was equal to or greater than $13.00, was cancelled immediately prior to the effective time of the Merger without any payment being made in respect thereof. |
| Employee Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $12.23 · Expires 2029-12-10 | Direct | 0 |
Reported balance
After 2025-01-08 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2025-01-08 · Disposition to issuer · Disposed 48,115 · Balance 0 F4: As of immediately prior to and conditioned upon the effective time of the effective time of the Merger, pursuant to the Merger Agreement, each outstanding option to purchase Shares (each, an "Option") became fully vested and exercisable, and to the extent not exercised prior to the effective time of the Merger, was cancelled and converted into the right to receive (a) an amount in cash (without interest and subject to deduction for any required withholding tax) equal to the product of (1) the excess, if any, of the Cash Amount over the exercise price per share of each such Option and (2) the number of Shares underlying such Option immediately prior to the effective time of the Merger and (b) one CVR in respect of each Share underlying such Option (the "Option Consideration"); provided, however, that if the exercise price per Share of any Option was equal to or greater than the Cash Amount, but less than $13.00 (any such option, an "Underwater Option"), [continues to Footnote 5] F5: [Continues from Footnote 4] such Underwater Option was not entitled to any payment of the Cash Amount in respect thereof and each Underwater Option was converted into the right to receive the CVR included in the Option Consideration with respect to each Share underlying such Underwater Option and became entitled to receive, at each time a milestone payment becomes due and payable under the terms of the CVR Agreement, an amount in cash equal to the product of (a) the total number of Shares underlying such Underwater Option, multiplied by (b) the amount, if any, by which (1) the Cash Amount plus the amount of such milestone payment plus the amount of any other milestone payments that previously became due and payable under the terms of the CVR Agreement exceeds (2) the exercise price per Share with respect to such Underwater Option plus the Milestone Payment Amounts (as such term is defined in the CVR Agreement), [continues to Footnote 6] F6: [Continues from Footnote 5] if any, previously paid pursuant to the CVR Agreement in respect of each CVR granted in respect of such Underwater Option; provided further, that any Option with an exercise price that was equal to or greater than $13.00, was cancelled immediately prior to the effective time of the Merger without any payment being made in respect thereof. |
| Employee Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $16.00 · Expires 2030-07-08 | Direct | 0 |
Reported balance
After 2025-01-08 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2025-01-08 · Disposition to issuer · Disposed 75,000 · Balance 0 F4: As of immediately prior to and conditioned upon the effective time of the effective time of the Merger, pursuant to the Merger Agreement, each outstanding option to purchase Shares (each, an "Option") became fully vested and exercisable, and to the extent not exercised prior to the effective time of the Merger, was cancelled and converted into the right to receive (a) an amount in cash (without interest and subject to deduction for any required withholding tax) equal to the product of (1) the excess, if any, of the Cash Amount over the exercise price per share of each such Option and (2) the number of Shares underlying such Option immediately prior to the effective time of the Merger and (b) one CVR in respect of each Share underlying such Option (the "Option Consideration"); provided, however, that if the exercise price per Share of any Option was equal to or greater than the Cash Amount, but less than $13.00 (any such option, an "Underwater Option"), [continues to Footnote 5] F5: [Continues from Footnote 4] such Underwater Option was not entitled to any payment of the Cash Amount in respect thereof and each Underwater Option was converted into the right to receive the CVR included in the Option Consideration with respect to each Share underlying such Underwater Option and became entitled to receive, at each time a milestone payment becomes due and payable under the terms of the CVR Agreement, an amount in cash equal to the product of (a) the total number of Shares underlying such Underwater Option, multiplied by (b) the amount, if any, by which (1) the Cash Amount plus the amount of such milestone payment plus the amount of any other milestone payments that previously became due and payable under the terms of the CVR Agreement exceeds (2) the exercise price per Share with respect to such Underwater Option plus the Milestone Payment Amounts (as such term is defined in the CVR Agreement), [continues to Footnote 6] F6: [Continues from Footnote 5] if any, previously paid pursuant to the CVR Agreement in respect of each CVR granted in respect of such Underwater Option; provided further, that any Option with an exercise price that was equal to or greater than $13.00, was cancelled immediately prior to the effective time of the Merger without any payment being made in respect thereof. |
| Employee Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $9.15 · Expires 2031-02-03 | Direct | 0 |
Reported balance
After 2025-01-08 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2025-01-08 · Disposition to issuer · Disposed 342,000 · Balance 0 F4: As of immediately prior to and conditioned upon the effective time of the effective time of the Merger, pursuant to the Merger Agreement, each outstanding option to purchase Shares (each, an "Option") became fully vested and exercisable, and to the extent not exercised prior to the effective time of the Merger, was cancelled and converted into the right to receive (a) an amount in cash (without interest and subject to deduction for any required withholding tax) equal to the product of (1) the excess, if any, of the Cash Amount over the exercise price per share of each such Option and (2) the number of Shares underlying such Option immediately prior to the effective time of the Merger and (b) one CVR in respect of each Share underlying such Option (the "Option Consideration"); provided, however, that if the exercise price per Share of any Option was equal to or greater than the Cash Amount, but less than $13.00 (any such option, an "Underwater Option"), [continues to Footnote 5] F5: [Continues from Footnote 4] such Underwater Option was not entitled to any payment of the Cash Amount in respect thereof and each Underwater Option was converted into the right to receive the CVR included in the Option Consideration with respect to each Share underlying such Underwater Option and became entitled to receive, at each time a milestone payment becomes due and payable under the terms of the CVR Agreement, an amount in cash equal to the product of (a) the total number of Shares underlying such Underwater Option, multiplied by (b) the amount, if any, by which (1) the Cash Amount plus the amount of such milestone payment plus the amount of any other milestone payments that previously became due and payable under the terms of the CVR Agreement exceeds (2) the exercise price per Share with respect to such Underwater Option plus the Milestone Payment Amounts (as such term is defined in the CVR Agreement), [continues to Footnote 6] F6: [Continues from Footnote 5] if any, previously paid pursuant to the CVR Agreement in respect of each CVR granted in respect of such Underwater Option; provided further, that any Option with an exercise price that was equal to or greater than $13.00, was cancelled immediately prior to the effective time of the Merger without any payment being made in respect thereof. |
| Employee Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $4.75 · Expires 2032-01-31 | Direct | 0 |
Reported balance
After 2025-01-08 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2025-01-08 · Disposition to issuer · Disposed 518,500 · Balance 0 F4: As of immediately prior to and conditioned upon the effective time of the effective time of the Merger, pursuant to the Merger Agreement, each outstanding option to purchase Shares (each, an "Option") became fully vested and exercisable, and to the extent not exercised prior to the effective time of the Merger, was cancelled and converted into the right to receive (a) an amount in cash (without interest and subject to deduction for any required withholding tax) equal to the product of (1) the excess, if any, of the Cash Amount over the exercise price per share of each such Option and (2) the number of Shares underlying such Option immediately prior to the effective time of the Merger and (b) one CVR in respect of each Share underlying such Option (the "Option Consideration"); provided, however, that if the exercise price per Share of any Option was equal to or greater than the Cash Amount, but less than $13.00 (any such option, an "Underwater Option"), [continues to Footnote 5] F5: [Continues from Footnote 4] such Underwater Option was not entitled to any payment of the Cash Amount in respect thereof and each Underwater Option was converted into the right to receive the CVR included in the Option Consideration with respect to each Share underlying such Underwater Option and became entitled to receive, at each time a milestone payment becomes due and payable under the terms of the CVR Agreement, an amount in cash equal to the product of (a) the total number of Shares underlying such Underwater Option, multiplied by (b) the amount, if any, by which (1) the Cash Amount plus the amount of such milestone payment plus the amount of any other milestone payments that previously became due and payable under the terms of the CVR Agreement exceeds (2) the exercise price per Share with respect to such Underwater Option plus the Milestone Payment Amounts (as such term is defined in the CVR Agreement), [continues to Footnote 6] F6: [Continues from Footnote 5] if any, previously paid pursuant to the CVR Agreement in respect of each CVR granted in respect of such Underwater Option; provided further, that any Option with an exercise price that was equal to or greater than $13.00, was cancelled immediately prior to the effective time of the Merger without any payment being made in respect thereof. |
| Employee Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.35 · Expires 2033-02-28 | Direct | 0 |
Reported balance
After 2025-01-08 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2025-01-08 · Disposition to issuer · Disposed 364,060 · Balance 0 F4: As of immediately prior to and conditioned upon the effective time of the effective time of the Merger, pursuant to the Merger Agreement, each outstanding option to purchase Shares (each, an "Option") became fully vested and exercisable, and to the extent not exercised prior to the effective time of the Merger, was cancelled and converted into the right to receive (a) an amount in cash (without interest and subject to deduction for any required withholding tax) equal to the product of (1) the excess, if any, of the Cash Amount over the exercise price per share of each such Option and (2) the number of Shares underlying such Option immediately prior to the effective time of the Merger and (b) one CVR in respect of each Share underlying such Option (the "Option Consideration"); provided, however, that if the exercise price per Share of any Option was equal to or greater than the Cash Amount, but less than $13.00 (any such option, an "Underwater Option"), [continues to Footnote 5] F5: [Continues from Footnote 4] such Underwater Option was not entitled to any payment of the Cash Amount in respect thereof and each Underwater Option was converted into the right to receive the CVR included in the Option Consideration with respect to each Share underlying such Underwater Option and became entitled to receive, at each time a milestone payment becomes due and payable under the terms of the CVR Agreement, an amount in cash equal to the product of (a) the total number of Shares underlying such Underwater Option, multiplied by (b) the amount, if any, by which (1) the Cash Amount plus the amount of such milestone payment plus the amount of any other milestone payments that previously became due and payable under the terms of the CVR Agreement exceeds (2) the exercise price per Share with respect to such Underwater Option plus the Milestone Payment Amounts (as such term is defined in the CVR Agreement), [continues to Footnote 6] F6: [Continues from Footnote 5] if any, previously paid pursuant to the CVR Agreement in respect of each CVR granted in respect of such Underwater Option; provided further, that any Option with an exercise price that was equal to or greater than $13.00, was cancelled immediately prior to the effective time of the Merger without any payment being made in respect thereof. |
| Employee Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.38 · Expires 2034-01-01 | Direct | 0 |
Reported balance
After 2025-01-08 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2025-01-08 · Disposition to issuer · Disposed 172,600 · Balance 0 F4: As of immediately prior to and conditioned upon the effective time of the effective time of the Merger, pursuant to the Merger Agreement, each outstanding option to purchase Shares (each, an "Option") became fully vested and exercisable, and to the extent not exercised prior to the effective time of the Merger, was cancelled and converted into the right to receive (a) an amount in cash (without interest and subject to deduction for any required withholding tax) equal to the product of (1) the excess, if any, of the Cash Amount over the exercise price per share of each such Option and (2) the number of Shares underlying such Option immediately prior to the effective time of the Merger and (b) one CVR in respect of each Share underlying such Option (the "Option Consideration"); provided, however, that if the exercise price per Share of any Option was equal to or greater than the Cash Amount, but less than $13.00 (any such option, an "Underwater Option"), [continues to Footnote 5] F5: [Continues from Footnote 4] such Underwater Option was not entitled to any payment of the Cash Amount in respect thereof and each Underwater Option was converted into the right to receive the CVR included in the Option Consideration with respect to each Share underlying such Underwater Option and became entitled to receive, at each time a milestone payment becomes due and payable under the terms of the CVR Agreement, an amount in cash equal to the product of (a) the total number of Shares underlying such Underwater Option, multiplied by (b) the amount, if any, by which (1) the Cash Amount plus the amount of such milestone payment plus the amount of any other milestone payments that previously became due and payable under the terms of the CVR Agreement exceeds (2) the exercise price per Share with respect to such Underwater Option plus the Milestone Payment Amounts (as such term is defined in the CVR Agreement), [continues to Footnote 6] F6: [Continues from Footnote 5] if any, previously paid pursuant to the CVR Agreement in respect of each CVR granted in respect of such Underwater Option; provided further, that any Option with an exercise price that was equal to or greater than $13.00, was cancelled immediately prior to the effective time of the Merger without any payment being made in respect thereof. |
Filing footnotes · ownership attribution and instrument terms
F1: Disposed of pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of November 25, 2024, by and among Poseida Therapeutics, Inc. (the "Issuer"), Roche Holdings, Inc. ("Parent") and Blue Giant Acquisition Corp., a wholly owned subsidiary of Parent ("Merger Sub"). On January 8, 2025, Parent and Merger Sub completed a tender offer pursuant to the terms of the Merger Agreement for all outstanding shares of common stock of the Issuer (each, a "Share") for an offer price of (i) $9.00 per Share in cash (the "Cash Amount"), and (ii) one non-tradeable contingent value right (each, a "CVR") representing the right to receive certain contingent payments of up to an aggregate amount of $4.00 per Share, [continues to Footnote 2]
F2: [continues from Footnote 1] in cash, upon the achievement of specified milestones, subject to and in accordance with the terms of the Contingent Value Rights Agreement (the "CVR Agreement"), in each case, without interest, and subject to any applicable withholding taxes (the Cash Amount plus one CVR, collectively, the "Offer Price"). Merger Sub thereafter merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Parent (the "Merger"). At the effective time of the Merger, each issued and outstanding Share (other than any Excluded Shares (as such term is defined in the Merger Agreement)) was cancelled in exchange for the right to receive the Offer Price.
F3: Includes 3,000 shares acquired by the Reporting Person under the Issuer's 2020 Employee Stock Purchase Plan (the "ESPP") on March 20, 2024 and 3,000 shares acquired by the Reporting Person under the ESPP on September 20, 2024.
F4: As of immediately prior to and conditioned upon the effective time of the effective time of the Merger, pursuant to the Merger Agreement, each outstanding option to purchase Shares (each, an "Option") became fully vested and exercisable, and to the extent not exercised prior to the effective time of the Merger, was cancelled and converted into the right to receive (a) an amount in cash (without interest and subject to deduction for any required withholding tax) equal to the product of (1) the excess, if any, of the Cash Amount over the exercise price per share of each such Option and (2) the number of Shares underlying such Option immediately prior to the effective time of the Merger and (b) one CVR in respect of each Share underlying such Option (the "Option Consideration"); provided, however, that if the exercise price per Share of any Option was equal to or greater than the Cash Amount, but less than $13.00 (any such option, an "Underwater Option"), [continues to Footnote 5]
F5: [Continues from Footnote 4] such Underwater Option was not entitled to any payment of the Cash Amount in respect thereof and each Underwater Option was converted into the right to receive the CVR included in the Option Consideration with respect to each Share underlying such Underwater Option and became entitled to receive, at each time a milestone payment becomes due and payable under the terms of the CVR Agreement, an amount in cash equal to the product of (a) the total number of Shares underlying such Underwater Option, multiplied by (b) the amount, if any, by which (1) the Cash Amount plus the amount of such milestone payment plus the amount of any other milestone payments that previously became due and payable under the terms of the CVR Agreement exceeds (2) the exercise price per Share with respect to such Underwater Option plus the Milestone Payment Amounts (as such term is defined in the CVR Agreement), [continues to Footnote 6]
F6: [Continues from Footnote 5] if any, previously paid pursuant to the CVR Agreement in respect of each CVR granted in respect of such Underwater Option; provided further, that any Option with an exercise price that was equal to or greater than $13.00, was cancelled immediately prior to the effective time of the Merger without any payment being made in respect thereof.
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 |
|---|---|---|---|---|---|---|
| January 08, 2025 Filed Jan 8, 2025 14:08 UTC | Poseida Therapeutics, Inc. PSTX · Entity 84243 | Disposition to issuerEmployee Stock Option (Right to Buy) · Derivative | 172,600 | $0.00 Strike: $3.38 | $0.00 |
DisclosureSEC source: 0001415889-25-001081 · form4-01082025_070143.xml · derivative · entry 8 Gergen Mark J · CIK 0001373110 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 172,600 shares Expires 2034-01-01 F4 · derivative.exercise_date: As of immediately prior to and conditioned upon the effective time of the effective time of the Merger, pursuant to the Merger Agreement, each outstanding option to purchase Shares (each, an "Option") became fully vested and exercisable, and to the extent not exercised prior to the effective time of the Merger, was cancelled and converted into the right to receive (a) an amount in cash (without interest and subject to deduction for any required withholding tax) equal to the product of (1) the excess, if any, of the Cash Amount over the exercise price per share of each such Option and (2) the number of Shares underlying such Option immediately prior to the effective time of the Merger and (b) one CVR in respect of each Share underlying such Option (the "Option Consideration"); provided, however, that if the exercise price per Share of any Option was equal to or greater than the Cash Amount, but less than $13.00 (any such option, an "Underwater Option"), [continues to Footnote 5] F5 · derivative.exercise_date: [Continues from Footnote 4] such Underwater Option was not entitled to any payment of the Cash Amount in respect thereof and each Underwater Option was converted into the right to receive the CVR included in the Option Consideration with respect to each Share underlying such Underwater Option and became entitled to receive, at each time a milestone payment becomes due and payable under the terms of the CVR Agreement, an amount in cash equal to the product of (a) the total number of Shares underlying such Underwater Option, multiplied by (b) the amount, if any, by which (1) the Cash Amount plus the amount of such milestone payment plus the amount of any other milestone payments that previously became due and payable under the terms of the CVR Agreement exceeds (2) the exercise price per Share with respect to such Underwater Option plus the Milestone Payment Amounts (as such term is defined in the CVR Agreement), [continues to Footnote 6] F6 · derivative.exercise_date: [Continues from Footnote 5] if any, previously paid pursuant to the CVR Agreement in respect of each CVR granted in respect of such Underwater Option; provided further, that any Option with an exercise price that was equal to or greater than $13.00, was cancelled immediately prior to the effective time of the Merger without any payment being made in respect thereof. Read SEC document |
| January 08, 2025 Filed Jan 8, 2025 14:08 UTC | Poseida Therapeutics, Inc. PSTX · Entity 84243 | Disposition to issuerEmployee Stock Option (Right to Buy) · Derivative | 364,060 | $0.00 Strike: $5.35 | $0.00 |
DisclosureSEC source: 0001415889-25-001081 · form4-01082025_070143.xml · derivative · entry 7 Gergen Mark J · CIK 0001373110 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 364,060 shares Expires 2033-02-28 F4 · derivative.exercise_date: As of immediately prior to and conditioned upon the effective time of the effective time of the Merger, pursuant to the Merger Agreement, each outstanding option to purchase Shares (each, an "Option") became fully vested and exercisable, and to the extent not exercised prior to the effective time of the Merger, was cancelled and converted into the right to receive (a) an amount in cash (without interest and subject to deduction for any required withholding tax) equal to the product of (1) the excess, if any, of the Cash Amount over the exercise price per share of each such Option and (2) the number of Shares underlying such Option immediately prior to the effective time of the Merger and (b) one CVR in respect of each Share underlying such Option (the "Option Consideration"); provided, however, that if the exercise price per Share of any Option was equal to or greater than the Cash Amount, but less than $13.00 (any such option, an "Underwater Option"), [continues to Footnote 5] F5 · derivative.exercise_date: [Continues from Footnote 4] such Underwater Option was not entitled to any payment of the Cash Amount in respect thereof and each Underwater Option was converted into the right to receive the CVR included in the Option Consideration with respect to each Share underlying such Underwater Option and became entitled to receive, at each time a milestone payment becomes due and payable under the terms of the CVR Agreement, an amount in cash equal to the product of (a) the total number of Shares underlying such Underwater Option, multiplied by (b) the amount, if any, by which (1) the Cash Amount plus the amount of such milestone payment plus the amount of any other milestone payments that previously became due and payable under the terms of the CVR Agreement exceeds (2) the exercise price per Share with respect to such Underwater Option plus the Milestone Payment Amounts (as such term is defined in the CVR Agreement), [continues to Footnote 6] F6 · derivative.exercise_date: [Continues from Footnote 5] if any, previously paid pursuant to the CVR Agreement in respect of each CVR granted in respect of such Underwater Option; provided further, that any Option with an exercise price that was equal to or greater than $13.00, was cancelled immediately prior to the effective time of the Merger without any payment being made in respect thereof. Read SEC document |
| January 08, 2025 Filed Jan 8, 2025 14:08 UTC | Poseida Therapeutics, Inc. PSTX · Entity 84243 | Disposition to issuerEmployee Stock Option (Right to Buy) · Derivative | 518,500 | $0.00 Strike: $4.75 | $0.00 |
DisclosureSEC source: 0001415889-25-001081 · form4-01082025_070143.xml · derivative · entry 6 Gergen Mark J · CIK 0001373110 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 518,500 shares Expires 2032-01-31 F4 · derivative.exercise_date: As of immediately prior to and conditioned upon the effective time of the effective time of the Merger, pursuant to the Merger Agreement, each outstanding option to purchase Shares (each, an "Option") became fully vested and exercisable, and to the extent not exercised prior to the effective time of the Merger, was cancelled and converted into the right to receive (a) an amount in cash (without interest and subject to deduction for any required withholding tax) equal to the product of (1) the excess, if any, of the Cash Amount over the exercise price per share of each such Option and (2) the number of Shares underlying such Option immediately prior to the effective time of the Merger and (b) one CVR in respect of each Share underlying such Option (the "Option Consideration"); provided, however, that if the exercise price per Share of any Option was equal to or greater than the Cash Amount, but less than $13.00 (any such option, an "Underwater Option"), [continues to Footnote 5] F5 · derivative.exercise_date: [Continues from Footnote 4] such Underwater Option was not entitled to any payment of the Cash Amount in respect thereof and each Underwater Option was converted into the right to receive the CVR included in the Option Consideration with respect to each Share underlying such Underwater Option and became entitled to receive, at each time a milestone payment becomes due and payable under the terms of the CVR Agreement, an amount in cash equal to the product of (a) the total number of Shares underlying such Underwater Option, multiplied by (b) the amount, if any, by which (1) the Cash Amount plus the amount of such milestone payment plus the amount of any other milestone payments that previously became due and payable under the terms of the CVR Agreement exceeds (2) the exercise price per Share with respect to such Underwater Option plus the Milestone Payment Amounts (as such term is defined in the CVR Agreement), [continues to Footnote 6] F6 · derivative.exercise_date: [Continues from Footnote 5] if any, previously paid pursuant to the CVR Agreement in respect of each CVR granted in respect of such Underwater Option; provided further, that any Option with an exercise price that was equal to or greater than $13.00, was cancelled immediately prior to the effective time of the Merger without any payment being made in respect thereof. Read SEC document |
| January 08, 2025 Filed Jan 8, 2025 14:08 UTC | Poseida Therapeutics, Inc. PSTX · Entity 84243 | Disposition to issuerEmployee Stock Option (Right to Buy) · Derivative | 342,000 | $0.00 Strike: $9.15 | $0.00 |
DisclosureSEC source: 0001415889-25-001081 · form4-01082025_070143.xml · derivative · entry 5 Gergen Mark J · CIK 0001373110 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 342,000 shares Expires 2031-02-03 F4 · derivative.exercise_date: As of immediately prior to and conditioned upon the effective time of the effective time of the Merger, pursuant to the Merger Agreement, each outstanding option to purchase Shares (each, an "Option") became fully vested and exercisable, and to the extent not exercised prior to the effective time of the Merger, was cancelled and converted into the right to receive (a) an amount in cash (without interest and subject to deduction for any required withholding tax) equal to the product of (1) the excess, if any, of the Cash Amount over the exercise price per share of each such Option and (2) the number of Shares underlying such Option immediately prior to the effective time of the Merger and (b) one CVR in respect of each Share underlying such Option (the "Option Consideration"); provided, however, that if the exercise price per Share of any Option was equal to or greater than the Cash Amount, but less than $13.00 (any such option, an "Underwater Option"), [continues to Footnote 5] F5 · derivative.exercise_date: [Continues from Footnote 4] such Underwater Option was not entitled to any payment of the Cash Amount in respect thereof and each Underwater Option was converted into the right to receive the CVR included in the Option Consideration with respect to each Share underlying such Underwater Option and became entitled to receive, at each time a milestone payment becomes due and payable under the terms of the CVR Agreement, an amount in cash equal to the product of (a) the total number of Shares underlying such Underwater Option, multiplied by (b) the amount, if any, by which (1) the Cash Amount plus the amount of such milestone payment plus the amount of any other milestone payments that previously became due and payable under the terms of the CVR Agreement exceeds (2) the exercise price per Share with respect to such Underwater Option plus the Milestone Payment Amounts (as such term is defined in the CVR Agreement), [continues to Footnote 6] F6 · derivative.exercise_date: [Continues from Footnote 5] if any, previously paid pursuant to the CVR Agreement in respect of each CVR granted in respect of such Underwater Option; provided further, that any Option with an exercise price that was equal to or greater than $13.00, was cancelled immediately prior to the effective time of the Merger without any payment being made in respect thereof. Read SEC document |
| January 08, 2025 Filed Jan 8, 2025 14:08 UTC | Poseida Therapeutics, Inc. PSTX · Entity 84243 | Disposition to issuerEmployee Stock Option (Right to Buy) · Derivative | 75,000 | $0.00 Strike: $16.00 | $0.00 |
DisclosureSEC source: 0001415889-25-001081 · form4-01082025_070143.xml · derivative · entry 4 Gergen Mark J · CIK 0001373110 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 75,000 shares Expires 2030-07-08 F4 · derivative.exercise_date: As of immediately prior to and conditioned upon the effective time of the effective time of the Merger, pursuant to the Merger Agreement, each outstanding option to purchase Shares (each, an "Option") became fully vested and exercisable, and to the extent not exercised prior to the effective time of the Merger, was cancelled and converted into the right to receive (a) an amount in cash (without interest and subject to deduction for any required withholding tax) equal to the product of (1) the excess, if any, of the Cash Amount over the exercise price per share of each such Option and (2) the number of Shares underlying such Option immediately prior to the effective time of the Merger and (b) one CVR in respect of each Share underlying such Option (the "Option Consideration"); provided, however, that if the exercise price per Share of any Option was equal to or greater than the Cash Amount, but less than $13.00 (any such option, an "Underwater Option"), [continues to Footnote 5] F5 · derivative.exercise_date: [Continues from Footnote 4] such Underwater Option was not entitled to any payment of the Cash Amount in respect thereof and each Underwater Option was converted into the right to receive the CVR included in the Option Consideration with respect to each Share underlying such Underwater Option and became entitled to receive, at each time a milestone payment becomes due and payable under the terms of the CVR Agreement, an amount in cash equal to the product of (a) the total number of Shares underlying such Underwater Option, multiplied by (b) the amount, if any, by which (1) the Cash Amount plus the amount of such milestone payment plus the amount of any other milestone payments that previously became due and payable under the terms of the CVR Agreement exceeds (2) the exercise price per Share with respect to such Underwater Option plus the Milestone Payment Amounts (as such term is defined in the CVR Agreement), [continues to Footnote 6] F6 · derivative.exercise_date: [Continues from Footnote 5] if any, previously paid pursuant to the CVR Agreement in respect of each CVR granted in respect of such Underwater Option; provided further, that any Option with an exercise price that was equal to or greater than $13.00, was cancelled immediately prior to the effective time of the Merger without any payment being made in respect thereof. Read SEC document |
| January 08, 2025 Filed Jan 8, 2025 14:08 UTC | Poseida Therapeutics, Inc. PSTX · Entity 84243 | Disposition to issuerEmployee Stock Option (Right to Buy) · Derivative | 48,115 | $0.00 Strike: $12.23 | $0.00 |
DisclosureSEC source: 0001415889-25-001081 · form4-01082025_070143.xml · derivative · entry 3 Gergen Mark J · CIK 0001373110 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 48,115 shares Expires 2029-12-10 F4 · derivative.exercise_date: As of immediately prior to and conditioned upon the effective time of the effective time of the Merger, pursuant to the Merger Agreement, each outstanding option to purchase Shares (each, an "Option") became fully vested and exercisable, and to the extent not exercised prior to the effective time of the Merger, was cancelled and converted into the right to receive (a) an amount in cash (without interest and subject to deduction for any required withholding tax) equal to the product of (1) the excess, if any, of the Cash Amount over the exercise price per share of each such Option and (2) the number of Shares underlying such Option immediately prior to the effective time of the Merger and (b) one CVR in respect of each Share underlying such Option (the "Option Consideration"); provided, however, that if the exercise price per Share of any Option was equal to or greater than the Cash Amount, but less than $13.00 (any such option, an "Underwater Option"), [continues to Footnote 5] F5 · derivative.exercise_date: [Continues from Footnote 4] such Underwater Option was not entitled to any payment of the Cash Amount in respect thereof and each Underwater Option was converted into the right to receive the CVR included in the Option Consideration with respect to each Share underlying such Underwater Option and became entitled to receive, at each time a milestone payment becomes due and payable under the terms of the CVR Agreement, an amount in cash equal to the product of (a) the total number of Shares underlying such Underwater Option, multiplied by (b) the amount, if any, by which (1) the Cash Amount plus the amount of such milestone payment plus the amount of any other milestone payments that previously became due and payable under the terms of the CVR Agreement exceeds (2) the exercise price per Share with respect to such Underwater Option plus the Milestone Payment Amounts (as such term is defined in the CVR Agreement), [continues to Footnote 6] F6 · derivative.exercise_date: [Continues from Footnote 5] if any, previously paid pursuant to the CVR Agreement in respect of each CVR granted in respect of such Underwater Option; provided further, that any Option with an exercise price that was equal to or greater than $13.00, was cancelled immediately prior to the effective time of the Merger without any payment being made in respect thereof. Read SEC document |
| January 08, 2025 Filed Jan 8, 2025 14:08 UTC | Poseida Therapeutics, Inc. PSTX · Entity 84243 | Disposition to issuerEmployee Stock Option (Right to Buy) · Derivative | 240,721 | $0.00 Strike: $2.78 | $0.00 |
DisclosureSEC source: 0001415889-25-001081 · form4-01082025_070143.xml · derivative · entry 2 Gergen Mark J · CIK 0001373110 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 240,721 shares Expires 2028-03-01 F4 · derivative.exercise_date: As of immediately prior to and conditioned upon the effective time of the effective time of the Merger, pursuant to the Merger Agreement, each outstanding option to purchase Shares (each, an "Option") became fully vested and exercisable, and to the extent not exercised prior to the effective time of the Merger, was cancelled and converted into the right to receive (a) an amount in cash (without interest and subject to deduction for any required withholding tax) equal to the product of (1) the excess, if any, of the Cash Amount over the exercise price per share of each such Option and (2) the number of Shares underlying such Option immediately prior to the effective time of the Merger and (b) one CVR in respect of each Share underlying such Option (the "Option Consideration"); provided, however, that if the exercise price per Share of any Option was equal to or greater than the Cash Amount, but less than $13.00 (any such option, an "Underwater Option"), [continues to Footnote 5] F5 · derivative.exercise_date: [Continues from Footnote 4] such Underwater Option was not entitled to any payment of the Cash Amount in respect thereof and each Underwater Option was converted into the right to receive the CVR included in the Option Consideration with respect to each Share underlying such Underwater Option and became entitled to receive, at each time a milestone payment becomes due and payable under the terms of the CVR Agreement, an amount in cash equal to the product of (a) the total number of Shares underlying such Underwater Option, multiplied by (b) the amount, if any, by which (1) the Cash Amount plus the amount of such milestone payment plus the amount of any other milestone payments that previously became due and payable under the terms of the CVR Agreement exceeds (2) the exercise price per Share with respect to such Underwater Option plus the Milestone Payment Amounts (as such term is defined in the CVR Agreement), [continues to Footnote 6] F6 · derivative.exercise_date: [Continues from Footnote 5] if any, previously paid pursuant to the CVR Agreement in respect of each CVR granted in respect of such Underwater Option; provided further, that any Option with an exercise price that was equal to or greater than $13.00, was cancelled immediately prior to the effective time of the Merger without any payment being made in respect thereof. Read SEC document |
| January 08, 2025 Filed Jan 8, 2025 14:08 UTC | Poseida Therapeutics, Inc. PSTX · Entity 84243 | OtherCommon Stock | 636,726 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001415889-25-001081 · form4-01082025_070143.xml · nonDerivative · entry 1 Gergen Mark J · CIK 0001373110 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 F1 · shares: Disposed of pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of November 25, 2024, by and among Poseida Therapeutics, Inc. (the "Issuer"), Roche Holdings, Inc. ("Parent") and Blue Giant Acquisition Corp., a wholly owned subsidiary of Parent ("Merger Sub"). On January 8, 2025, Parent and Merger Sub completed a tender offer pursuant to the terms of the Merger Agreement for all outstanding shares of common stock of the Issuer (each, a "Share") for an offer price of (i) $9.00 per Share in cash (the "Cash Amount"), and (ii) one non-tradeable contingent value right (each, a "CVR") representing the right to receive certain contingent payments of up to an aggregate amount of $4.00 per Share, [continues to Footnote 2] F2 · shares: [continues from Footnote 1] in cash, upon the achievement of specified milestones, subject to and in accordance with the terms of the Contingent Value Rights Agreement (the "CVR Agreement"), in each case, without interest, and subject to any applicable withholding taxes (the Cash Amount plus one CVR, collectively, the "Offer Price"). Merger Sub thereafter merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Parent (the "Merger"). At the effective time of the Merger, each issued and outstanding Share (other than any Excluded Shares (as such term is defined in the Merger Agreement)) was cancelled in exchange for the right to receive the Offer Price. F3 · shares: Includes 3,000 shares acquired by the Reporting Person under the Issuer's 2020 Employee Stock Purchase Plan (the "ESPP") on March 20, 2024 and 3,000 shares acquired by the Reporting Person under the ESPP on September 20, 2024. F1 · price: Disposed of pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of November 25, 2024, by and among Poseida Therapeutics, Inc. (the "Issuer"), Roche Holdings, Inc. ("Parent") and Blue Giant Acquisition Corp., a wholly owned subsidiary of Parent ("Merger Sub"). On January 8, 2025, Parent and Merger Sub completed a tender offer pursuant to the terms of the Merger Agreement for all outstanding shares of common stock of the Issuer (each, a "Share") for an offer price of (i) $9.00 per Share in cash (the "Cash Amount"), and (ii) one non-tradeable contingent value right (each, a "CVR") representing the right to receive certain contingent payments of up to an aggregate amount of $4.00 per Share, [continues to Footnote 2] F2 · price: [continues from Footnote 1] in cash, upon the achievement of specified milestones, subject to and in accordance with the terms of the Contingent Value Rights Agreement (the "CVR Agreement"), in each case, without interest, and subject to any applicable withholding taxes (the Cash Amount plus one CVR, collectively, the "Offer Price"). Merger Sub thereafter merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Parent (the "Merger"). At the effective time of the Merger, each issued and outstanding Share (other than any Excluded Shares (as such term is defined in the Merger Agreement)) was cancelled in exchange for the right to receive the Offer Price. Read SEC document |
| January 02, 2025 Filed Jan 3, 2025 20:24 UTC | Poseida Therapeutics, Inc. PSTX · Entity 84243 | Tax withholdingCommon Stock | 23,313 | $9.60 | $223,804.80 |
DisclosureSEC source: 0000950170-25-001527 · ownership.xml · nonDerivative · entry 1 Gergen Mark J · CIK 0001373110 · Director · Executive Chairman 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 630,726 F1 · shares: Represents shares withheld by the Issuer to satisfy income tax obligations associated with the vesting of Restricted Stock Unit Awards granted to the Reporting Person on January 2, 2024. F2 · balance_after: Includes 2,748 shares acquired by the Reporting Person under the Issuer's 2020 Employee Stock Purchase Plan (the "ESPP") on January 2, 2025. Read SEC document |
| December 10, 2024 Filed Dec 11, 2024 17:17 UTC | Poseida Therapeutics, Inc. PSTX · Entity 84243 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 30,000 | $0.00 Strike: $2.78 | $0.00 |
DisclosureSEC source: 0000950170-24-135466 · ownership.xml · derivative · entry 3 Gergen Mark J · CIK 0001373110 · Director · Executive Chairman 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 96,372 Underlying: Common Stock · 30,000 shares Expires 2028-03-01 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_date: The stock option is fully vested and exerciseable. Read SEC document |
| December 10, 2024 Filed Dec 11, 2024 17:17 UTC | Poseida Therapeutics, Inc. PSTX · Entity 84243 | SaleCommon Stock | 30,000 | $9.46 | $283,866.00 |
DisclosureSEC source: 0000950170-24-135466 · ownership.xml · nonDerivative · entry 2 Gergen Mark J · CIK 0001373110 · Director · Executive Chairman 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 651,291 F1 · kind: The option exercise and sale reported in this Form 4 were effected pusuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 21, 2024. F2 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $9.44 to $9.49 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| December 10, 2024 Filed Dec 11, 2024 17:17 UTC | Poseida Therapeutics, Inc. PSTX · Entity 84243 | Exercise / conversionCommon Stock | 30,000 | $2.78 | $83,430.00 |
DisclosureSEC source: 0000950170-24-135466 · ownership.xml · nonDerivative · entry 1 Gergen Mark J · CIK 0001373110 · Director · Executive Chairman 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 681,291 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: The option exercise and sale reported in this Form 4 were effected pusuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 21, 2024. Read SEC document |
| November 26, 2024 Filed Nov 27, 2024 19:39 UTC | Poseida Therapeutics, Inc. PSTX · Entity 84243 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 30,000 | $0.00 Strike: $2.78 | $0.00 |
DisclosureSEC source: 0000950170-24-131665 · ownership.xml · derivative · entry 3 Gergen Mark J · CIK 0001373110 · Director · Executive Chairman 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 126,372 Underlying: Common Stock · 30,000 shares Expires 2028-03-01 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 · derivative.exercise_date: The stock option is fully vested and exerciseable. Read SEC document |
| November 26, 2024 Filed Nov 27, 2024 19:39 UTC | Poseida Therapeutics, Inc. PSTX · Entity 84243 | SaleCommon Stock | 30,000 | $9.27 | $278,100.00 |
DisclosureSEC source: 0000950170-24-131665 · ownership.xml · nonDerivative · entry 2 Gergen Mark J · CIK 0001373110 · Director · Executive Chairman 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 651,291 F1 · kind: The option exercise and sale reported in this Form 4 were effected pusuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 21, 2024. Read SEC document |
| November 26, 2024 Filed Nov 27, 2024 19:39 UTC | Poseida Therapeutics, Inc. PSTX · Entity 84243 | Exercise / conversionCommon Stock | 30,000 | $2.78 | $83,430.00 |
DisclosureSEC source: 0000950170-24-131665 · ownership.xml · nonDerivative · entry 1 Gergen Mark J · CIK 0001373110 · Director · Executive Chairman 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 681,291 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: The option exercise and sale reported in this Form 4 were effected pusuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 21, 2024. Read SEC document |
| March 01, 2024 Filed Mar 4, 2024 17:18 UTC | Poseida Therapeutics, Inc. PSTX · Entity 84243 | Tax withholdingCommon Stock | 34,157 | $4.13 | $141,068.41 |
DisclosureSEC source: 0000950170-24-024922 · ownership.xml · nonDerivative · entry 1 Gergen Mark J · CIK 0001373110 · Director · Executive Chairman 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 651,291 F1 · shares: Represents shares withheld by the Issuer to satisfy income tax obligations associated with the vesting of a Restricted Stock Unit Award granted to the Reporting Person on March 1, 2023. Read SEC document |
| February 01, 2024 Filed Feb 2, 2024 20:51 UTC | Poseida Therapeutics, Inc. PSTX · Entity 84243 | Tax withholdingCommon Stock | 47,162 | $3.41 | $160,822.42 |
DisclosureSEC source: 0000950170-24-010943 · ownership.xml · nonDerivative · entry 1 Gergen Mark J · CIK 0001373110 · Director · Executive Chairman 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 685,448 F1 · shares: Represents shares withheld by the Issuer to satisfy income tax obligations associated with the vesting of a Restricted Stock Unit Award granted to the Reporting Person on February 1, 2022. Read SEC document |
| January 02, 2024 Filed Jan 4, 2024 16:02 UTC | Poseida Therapeutics, Inc. PSTX · Entity 84243 | GrantStock Option (Right to buy) · Derivative | 172,600 | $0.00 Strike: $3.38 | $0.00 |
DisclosureSEC source: 0000950170-24-001831 · ownership.xml · derivative · entry 2 Gergen Mark J · CIK 0001373110 · Director · Executive Chairman 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 172,600 Underlying: Common Stock · 172,600 shares Expires 2034-01-01 F3 · derivative.exercise_date: 25% of the shares subject to the stock option will vest and become exercisable on the six-month anniversary of January 1, 2024, and the remaining shares will vest in 18 equal monthly installments thereafter. Read SEC document |
| January 02, 2024 Filed Jan 4, 2024 16:02 UTC | Poseida Therapeutics, Inc. PSTX · Entity 84243 | GrantCommon Stock | 125,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000950170-24-001831 · ownership.xml · nonDerivative · entry 1 Gergen Mark J · CIK 0001373110 · Director · Executive Chairman 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 732,610 F1 · kind: Represents shares issuable upon the vesting of restricted stock units granted pursuant to the Issuer's Equity Incentive Plan. The RSUs are scheduled to vest 50% on each of the one-year and two-year anniversary of January 1, 2024. F2 · balance_after: Includes 3,000 shares acquired by the Reporting Person under the Issuer's 2020 Employee Stock Purchase Plan (the "ESPP") on March 20, 2023 and 3,000 shares acquired by the Reporting Person under the ESPP on September 20, 2023. Read SEC document |
| March 01, 2023 Filed Mar 2, 2023 18:17 UTC | Poseida Therapeutics, Inc. PSTX · Entity 84243 | GrantEmployee Stock Option (Right to Buy) · Derivative | 364,060 | $0.00 Strike: $5.35 | $0.00 |
DisclosureSEC source: 0001209191-23-014898 · doc4.xml · derivative · entry 2 Gergen Mark J · CIK 0001373110 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 364,060 Underlying: Common Stock · 364,060 shares Expires 2033-02-28 F3 · derivative.exercise_date: 12.5% of the shares subject to the stock option will vest and become exercisable on the six-month anniversary of the grant date listed in column 3 above, and the remaining shares will vest in 42 equal monthly installments thereafter. Read SEC document |
| March 01, 2023 Filed Mar 2, 2023 18:17 UTC | Poseida Therapeutics, Inc. PSTX · Entity 84243 | GrantCommon Stock | 269,586 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-23-014898 · doc4.xml · nonDerivative · entry 1 Gergen Mark J · CIK 0001373110 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 601,610 F1 · kind: Represents shares issuable upon the vesting of restricted stock units granted pursuant to the Issuer's Equity Incentive Plan. The RSUs are scheduled to vest in four equal annual installments. F2 · balance_after: Includes 1,710 shares acquired by the Reporting Person under the Issuer's 2020 Employee Stock Purchase Plan on September 20, 2021. Read SEC document |
| February 01, 2023 Filed Feb 3, 2023 16:16 UTC | Poseida Therapeutics, Inc. PSTX · Entity 84243 | Tax withholdingCommon Stock | 31,819 | $7.00 | $222,733.00 |
DisclosureSEC source: 0001209191-23-006818 · doc4.xml · nonDerivative · entry 1 Gergen Mark J · CIK 0001373110 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 330,314 F1 · shares: Represents shares withheld by the Issuer to satisfy income tax obligations associated with the vesting of a Restricted Stock Unit Award granted to the Reporting Person on February 1, 2022. F2 · balance_after: Includes 3,000 shares acquired by the Reporting Person under the Issuer's 2020 Employee Stock Purchase Plan (the "ESPP") on March 18, 2022 and 1,933 shares acquired by the Reporting Person under the ESPP on September 20, 2022. Read SEC document |
| February 01, 2022 Filed Feb 1, 2022 21:49 UTC | Poseida Therapeutics, Inc. PSTX · Entity 84243 | GrantStock Option (Right to Buy) · Derivative | 518,500 | $0.00 Strike: $4.75 | $0.00 |
DisclosureSEC source: 0001209191-22-006171 · doc4.xml · derivative · entry 2 Gergen Mark J · CIK 0001373110 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 518,500 Underlying: Common Stock · 518,500 shares Expires 2032-01-31 F2 · derivative.exercise_date: 12.5% of the shares subject to the stock option will vest and become exercisable on the first anniversary of the grant date listed in column 3 above, and the remaining shares will vest in 42 equal monthly installments thereafter. Read SEC document |
| February 01, 2022 Filed Feb 1, 2022 21:49 UTC | Poseida Therapeutics, Inc. PSTX · Entity 84243 | GrantCommon Stock | 357,200 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-006171 · doc4.xml · nonDerivative · entry 1 Gergen Mark J · CIK 0001373110 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 357,200 F1 · kind: Represents shares issuable upon the vesting of restricted stock units granted pursuant to the Issuer's Equity Incentive Plan. The RSUs are scheduled to vest in four equal annual installments. Read SEC document |
| February 04, 2021 Filed Feb 5, 2021 16:52 UTC | Poseida Therapeutics, Inc. PSTX · Entity 84243 | GrantEmployee Stock Option (Right to Buy) · Derivative | 342,000 | $0.00 Strike: $9.15 | $0.00 |
DisclosureSEC source: 0001209191-21-008131 · doc4.xml · derivative · entry 1 Gergen Mark J · CIK 0001373110 · Director · President and CBO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 342,000 Underlying: Common Stock · 342,000 shares Expires 2031-02-03 F1 · derivative.exercise_date: 12.5% of the shares subject to the stock option will vest and become exercisable on the six-month anniversary of the grant date listed in column 3 above, and the remaining shares will vest in 42 equal monthly installments thereafter. Read SEC document |
| July 09, 2020 Filed Jul 13, 2020 19:00 UTC | Poseida Therapeutics, Inc. PSTX · Entity 84243 | GrantStock Option (Right to Buy) · Derivative | 75,000 | $0.00 Strike: $16.00 | $0.00 |
DisclosureSEC source: 0001209191-20-042315 · doc4.xml · derivative · entry 1 Gergen Mark J · CIK 0001373110 · Director · President and CBO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,000 Underlying: Common Stock · 75,000 shares Expires 2030-07-08 F1 · derivative.exercise_date: 12.5% of the shares subject to the stock option will vest and become exercisable on the 6 month anniversary of the grant date listed in column 3 above, and the remaining shares will vest in 42 equal monthly installments thereafter. Read SEC document |
| February 22, 2017 Filed Feb 24, 2017 21:05 UTC | HALOZYME THERAPEUTICS, INC. HALO · Entity 793 | GrantRestricted Stock Units · Derivative | 45,568 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001179110-17-003118 · edgar.xml · derivative · entry 2 Gergen Mark J · CIK 0001373110 · SVP, Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,568 Underlying: Common Stock · 45,568 shares Expires not disclosed F2 · derivative.exercise_date: This award vests one-fourth on the first anniversary of the grant date and then one-fourth on each anniversary date thereafter. F2 · derivative.expiration_date: This award vests one-fourth on the first anniversary of the grant date and then one-fourth on each anniversary date thereafter. Read SEC document |
| February 22, 2017 Filed Feb 24, 2017 21:05 UTC | HALOZYME THERAPEUTICS, INC. HALO · Entity 793 | GrantOption to Purchase Common Stock · Derivative | 72,925 | $0.00 Strike: $12.07 | $0.00 |
DisclosureSEC source: 0001179110-17-003118 · edgar.xml · derivative · entry 1 Gergen Mark J · CIK 0001373110 · SVP, Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 72,925 Underlying: Common Stock · 72,925 shares Expires 2027-02-22 F1 · derivative.exercise_date: This option vests one-fourth on such date and then 1/48th monthly thereafter. 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.