Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Ayala Pharmaceuticals, Inc.ADXS · Entity 93434 | Director | May 04, 2020 | May 05, 2020 |
| BIOVIE INC.BIVI · Entity 7702 | Director | November 20, 2024 | January 07, 2025 |
| COMSovereign Holding Corp.COMS · Entity 114048 | Director | April 01, 2021 | April 06, 2021 |
| Celularity IncCELU · Entity 7145 | Director | December 19, 2024 | January 06, 2025 |
| Context Therapeutics Inc.CNTX · Entity 7406 | Director | June 13, 2024 | June 14, 2024 |
| Cryoport, Inc.CYRX · Entity 5125 | Director | May 17, 2024 | May 21, 2024 |
| Cuentas Inc.CUEN · Entity 8361 | Director | September 13, 2018 | December 21, 2018 |
| Frontier Investment CorpFICV · Entity 111626 | Director | June 30, 2021 | July 12, 2021 |
| LISATA THERAPEUTICS, INC.CLBS · Entity 7814 | Director | January 09, 2017 | January 31, 2017 |
| MetaStat, Inc.MTST.OB · Entity 170270 | Director | April 04, 2017 | April 06, 2017 |
| Ontrak, Inc.OTRK · Entity 78207 | Director | February 11, 2021 | February 16, 2021 |
| Sidus Space Inc.SIDU · Entity 6254 | Director | January 18, 2024 | January 24, 2024 |
| Titan Environmental Solutions Inc.TRIQ · Entity 80360 | Director | April 05, 2021 | April 06, 2021 |
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.
Ayala Pharmaceuticals, Inc.
Report date May 04, 2020 · Filed May 05, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| OptionSEC Table II · derivative / convertible security · Conversion / exercise price $0.66 · Expires 2030-05-04 | Direct | 13,000 |
Reported balance
After 2020-05-04 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2020-05-04 · Grant · Acquired 13,000 · Balance 13,000 F1: This award relates to an incentive grant awarded by the Compensation Committee and is subject to the terms of our 2015 Incentive Plan. The award vests one-third on May 4, 2021, one-third on May 4, 2022, and will be fully vested on May 4, 2023. |
Filing footnotes · ownership attribution and instrument terms
F1: This award relates to an incentive grant awarded by the Compensation Committee and is subject to the terms of our 2015 Incentive Plan. The award vests one-third on May 4, 2021, one-third on May 4, 2022, and will be fully vested on May 4, 2023.
BIOVIE INC.
Report date November 20, 2024 · Filed January 07, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 40,643 |
Reported balance
After 2024-11-20 transaction · row 1
1 source rowRow 1 · 2024-11-20 · Grant · Acquired 34,200 · Balance 40,643 F1: Represents a restricted stock unit ("RSU") grant, which was approved by the compensation committee of the issuer's board of directors, subject to board approval, which was obtained on November 20, 2024. Each RSU represents a contingent right to receive one share of the issuer's Class A common stock. The RSUs vest in four equal installments on February 8, 2025, May 8, 2025, August 8, 2025 and the earlier of November 8, 2025 and the date of the issuer's 2025 annual shareholders' meeting. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.90 · Expires 2029-12-20 | Direct | 23,155 |
Reported balance
After 2024-12-20 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2024-12-20 · Grant · Acquired 23,155 · Balance 23,155 F2: The options vest in three equal installments on December 20, 2024, December 20, 2025 and December 20, 2026. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents a restricted stock unit ("RSU") grant, which was approved by the compensation committee of the issuer's board of directors, subject to board approval, which was obtained on November 20, 2024. Each RSU represents a contingent right to receive one share of the issuer's Class A common stock. The RSUs vest in four equal installments on February 8, 2025, May 8, 2025, August 8, 2025 and the earlier of November 8, 2025 and the date of the issuer's 2025 annual shareholders' meeting.
F2: The options vest in three equal installments on December 20, 2024, December 20, 2025 and December 20, 2026.
COMSovereign Holding Corp.
Report date April 01, 2021 · Filed April 06, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Options (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.75 · Expires 2026-04-01 | Direct | 225,000 |
Reported balance
After 2021-04-01 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2021-04-01 · Grant · Acquired 225,000 · Balance 225,000 F1: Consists of Stock Option awards made pursuant to the COMS 2020 Long-Term Incentive Plan. F2: The Stock Option awards vest over a two-year period, at a rate of one-half on each anniversary of the grant date. |
Filing footnotes · ownership attribution and instrument terms
F1: Consists of Stock Option awards made pursuant to the COMS 2020 Long-Term Incentive Plan.
F2: The Stock Option awards vest over a two-year period, at a rate of one-half on each anniversary of the grant date.
Celularity Inc
Report date December 19, 2024 · Filed January 06, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | Direct | 67,416 |
Reported balance
After 2024-12-19 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2024-12-19 · Grant · Acquired 67,416 · Balance 67,416 F1: These shares represent restricted stock units ("RSUs") granted under the Celularity Inc. 2021 Equity Incentive Plan (the "2021 Plan"), with each RSU representing a right to receive one share of the Issuer's Class A common stock. The RSUs shall vest and become exercisable on the earlier of the one-year anniversary of the date of grant, December 19, 2024, and the next annual stockholder meeting, subject to the Reporting Person's continuous service with the Issuer through such date. F2: Includes 67,416 RSUs granted under the 2021 Plan, with each RSU representing a right to receive one share of the Issuer's Class A common stock. The RSUs shall vest and become exercisable on the earlier of the one-year anniversary of the date of grant, December 19, 2024, and the next annual stockholder meeting, subject to the Reporting Person's continuous service with the Issuer through such date. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.23 · Expires 2034-12-19 | Direct | 202,857 |
Reported balance
After 2024-12-19 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2024-12-19 · Grant · Acquired 84,746 · Balance 202,857 F3: This option was granted under the 2021 Plan and shall vest and become exercisable on the earlier of the one-year anniversary of the date of grant, December 19, 2024, and the next annual stockholder meeting, subject to the Reporting Person's continuous service with the Issuer through such date. |
Filing footnotes · ownership attribution and instrument terms
F1: These shares represent restricted stock units ("RSUs") granted under the Celularity Inc. 2021 Equity Incentive Plan (the "2021 Plan"), with each RSU representing a right to receive one share of the Issuer's Class A common stock. The RSUs shall vest and become exercisable on the earlier of the one-year anniversary of the date of grant, December 19, 2024, and the next annual stockholder meeting, subject to the Reporting Person's continuous service with the Issuer through such date.
F2: Includes 67,416 RSUs granted under the 2021 Plan, with each RSU representing a right to receive one share of the Issuer's Class A common stock. The RSUs shall vest and become exercisable on the earlier of the one-year anniversary of the date of grant, December 19, 2024, and the next annual stockholder meeting, subject to the Reporting Person's continuous service with the Issuer through such date.
F3: This option was granted under the 2021 Plan and shall vest and become exercisable on the earlier of the one-year anniversary of the date of grant, December 19, 2024, and the next annual stockholder meeting, subject to the Reporting Person's continuous service with the Issuer through such date.
Context Therapeutics Inc.
Report date June 13, 2024 · Filed June 14, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.97 · Expires 2034-06-12 | Direct | 50,000 |
Reported balance
After 2024-06-13 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2024-06-13 · Grant · Acquired 50,000 · Balance 50,000 F1: The option vests and becomes exercisable on the earlier of (i) June 13, 2025 (the one-year anniversary of the date of grant) or (ii) the Issuer's 2025 annual meeting of stockholders, subject to continued service with the Issuer. |
Filing footnotes · ownership attribution and instrument terms
F1: The option vests and becomes exercisable on the earlier of (i) June 13, 2025 (the one-year anniversary of the date of grant) or (ii) the Issuer's 2025 annual meeting of stockholders, subject to continued service with the Issuer.
Cryoport, Inc.
Report date May 17, 2024 · Filed May 21, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 112,845 |
Reported balance
After 2024-05-17 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2024-05-17 · Grant · Acquired 12,845 · Balance 112,845 F1: Reflects grant of restricted stock rights that vest in full on May 17, 2025, and upon vesting automatically convert to shares of common stock on a one-for-one basis. |
| Option (Right to Buy Common Stock)SEC Table II · derivative / convertible security · Conversion / exercise price $12.65 · Expires 2031-05-17 | Direct | 23,830 |
Reported balance
After 2024-05-17 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2024-05-17 · Grant · Acquired 23,830 · Balance 23,830 F2: 1/12th of the options vest on the 17th of the month for twelve months beginning June 17, 2024. |
Filing footnotes · ownership attribution and instrument terms
F1: Reflects grant of restricted stock rights that vest in full on May 17, 2025, and upon vesting automatically convert to shares of common stock on a one-for-one basis.
F2: 1/12th of the options vest on the 17th of the month for twelve months beginning June 17, 2024.
Cuentas Inc.
Report date September 13, 2018 · Filed December 21, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Option to purchase Common Stock*SEC Table II · derivative / convertible security · Conversion / exercise price $3.00 · Expires 2023-09-13 | Direct | 30,000 |
Reported balance
After 2018-09-13 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2018-09-13 · Grant · Acquired 30,000 · Balance 30,000 F1: The 30,000 options to purchase shares of the Issuer's common stock were issued in connection with a grant under the Issuer's 2018 Equity Stock Incentive Plan. F2: 10,000 options are exercisable at 9/13/2018; 10,000 options are exercisable at 9/13/2019; 10,000 options are exercisable at 9/13/2020. |
Filing footnotes · ownership attribution and instrument terms
F1: The 30,000 options to purchase shares of the Issuer's common stock were issued in connection with a grant under the Issuer's 2018 Equity Stock Incentive Plan.
F2: 10,000 options are exercisable at 9/13/2018; 10,000 options are exercisable at 9/13/2019; 10,000 options are exercisable at 9/13/2020.
Frontier Investment Corp
Report date June 30, 2021 · Filed July 12, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Ordinary Shares, $0.0001 par valueSEC Table I · non-derivative | IndirectIndirect economic interest for the value of the identified amount of shares. | 31,250 |
Reported balance
Holding disclosure · report date 2021-06-30 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 31,250 |
LISATA THERAPEUTICS, INC.
Report date January 09, 2017 · Filed January 31, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 7,177 |
Reported balance
After 2017-01-09 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2017-01-09 · Grant · Acquired 1,650 · Balance 7,177 F1: Represents 1,650 shares of restricted stock granted under the Issuer's 2015 Equity Compensation Plan that will vest on January 9, 2018. F2: Includes 2,775 shares of unvested restricted stock granted under the Issuer's compensation plans. |
| Options to Purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $3.54 · Expires 2027-01-09 | Direct | 2,750 |
Reported balance
After 2017-01-09 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2017-01-09 · Grant · Acquired 2,750 · Balance 2,750 |
Filing footnotes · ownership attribution and instrument terms
F1: Represents 1,650 shares of restricted stock granted under the Issuer's 2015 Equity Compensation Plan that will vest on January 9, 2018.
F2: Includes 2,775 shares of unvested restricted stock granted under the Issuer's compensation plans.
MetaStat, Inc.
Report date April 04, 2017 · Filed April 06, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 52,696 |
Reported balance
After 2017-04-04 transaction · row 1
1 source rowRow 1 · 2017-04-04 · Purchase · Acquired 20,000 · Balance 52,696 F1: Reflects the issuance of 20,000 restricted shares of fully vested common stock approved by the board of directors on April 4, 2017. |
Filing footnotes · ownership attribution and instrument terms
F1: Reflects the issuance of 20,000 restricted shares of fully vested common stock approved by the board of directors on April 4, 2017.
Ontrak, Inc.
Report date February 11, 2021 · Filed February 16, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $86.57 · Expires 2026-02-11 | Direct | 4,882 |
Reported balance
After 2021-02-11 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2021-02-11 · Grant · Acquired 4,882 · Balance 4,882 F1: These securities were granted to Mr. Berman for his services as a member of the Company's Board of Directors and Chairman of the Audit Committee. F2: 1,220 shares shall vest at the end of each quarter beginning January 1, 2021, such that all shares pursuant to the option shall be vested on December 31, 2021. Quarterly vesting of the options will be subject to Mr. Berman attending board meetings, unless such absence is excused by the Chairman of the Board. |
Filing footnotes · ownership attribution and instrument terms
F1: These securities were granted to Mr. Berman for his services as a member of the Company's Board of Directors and Chairman of the Audit Committee.
F2: 1,220 shares shall vest at the end of each quarter beginning January 1, 2021, such that all shares pursuant to the option shall be vested on December 31, 2021. Quarterly vesting of the options will be subject to Mr. Berman attending board meetings, unless such absence is excused by the Chairman of the Board.
Sidus Space Inc.
Report date January 18, 2024 · Filed January 24, 2024
This filing explicitly reported no securities owned.
Titan Environmental Solutions Inc.
Report date April 05, 2021 · Filed April 06, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common stockSEC Table I · non-derivative | Direct | 350,000 |
Reported balance
After 2021-04-05 transaction · row 1
1 source rowRow 1 · 2021-04-05 · Grant · Acquired 250,000 · Balance 350,000 |
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 25, 2018 Filed May 31, 2018 15:40 UTC | Cryoport, Inc. CYRX · Entity 5125 | SaleCOMMON STOCK | 2,000 | $11.91 | $23,825.40 |
DisclosureSEC source: 0001144204-18-031966 · tv495454_4.xml · nonDerivative · entry 1 BERMAN RICHARD J · CIK 0001111620 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · BY SPOUSE Disclosed balance after: 6,138 Read SEC document |
| May 17, 2018 Filed May 21, 2018 21:00 UTC | Cryoport, Inc. CYRX · Entity 5125 | GrantOptions to purchase common stock · Derivative | 35,000 | $0.00 Strike: $9.29 | $0.00 |
DisclosureSEC source: 0001144204-18-030144 · tv494661_4.xml · derivative · entry 2 BERMAN RICHARD J · CIK 0001111620 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,000 Underlying: Common Stock · 35,000 shares Expires 2028-05-17 F2 · derivative.exercise_date: 1/12 of these options vest and become exercisable in equal monthly installments on the 17th of each month for the next twelve (12) months beginning on 06/17/2018. Options issued under the compensation plan for non-employee directors for services as director during the 2018/19 term. Read SEC document |
| December 19, 2017 Filed Mar 15, 2018 08:15 UTC | Ontrak, Inc. CATS · Entity 78207 | GrantStock Option to purchase Common Stock · Derivative | 49,459 | Not disclosed Strike: $7.50 | Not disclosed |
DisclosureSEC source: 0001437749-18-004698 · rdgdoc.xml · derivative · entry 1 BERMAN RICHARD J · CIK 0001111620 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,459 Underlying: Common Stock · 49,459 shares Expires 2022-12-19 F1 · kind: These options were granted to Mr. Berman for his services as a member of the Company's Board of Directors. F1 · price: These options were granted to Mr. Berman for his services as a member of the Company's Board of Directors. F2 · derivative.exercise_date: These options have a three-year vesting period out of which 14,235 shares vested on December 19, 2017, the grant date, and 35,224 shares shall vest at the end of each calendar quarter for the 2018 and 2019 calendar years, such that all shares shall vest on December 31, 2019. Quarterly vesting of the option will be subject to Mr. Berman attending board meetings, unless such absence is excused by the Chairman of the board. All unvested options will immediately vest in the event of termination without cause. Read SEC document |
| November 02, 2017 Filed Nov 6, 2017 18:00 UTC | Ayala Pharmaceuticals, Inc. ADXS · Entity 93434 | GrantOption · Derivative | 25,000 | $0.00 Strike: $3.19 | $0.00 |
DisclosureSEC source: 0001493152-17-012498 · form4.xml · derivative · entry 1 BERMAN RICHARD J · CIK 0001111620 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 Underlying: Common Stock · 25,000 shares Expires 2027-11-02 F1 · shares: This award relates to the annual long term incentive grant awarded by the Compensation Committee following the completion of our 2017 Fiscal Year and is subject to the terms of our 2015 Incentive Plan. The award fully vests on November 2, 2018. Read SEC document |
| August 15, 2017 Filed Aug 22, 2017 21:29 UTC | Cryoport, Inc. CYRX · Entity 5125 | SaleCommon Stock | 10,000 | $7.65 | $76,500.00 |
DisclosureSEC source: 0001144204-17-044660 · v473884_4.xml · nonDerivative · entry 2 BERMAN RICHARD J · CIK 0001111620 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Read SEC document |
| August 14, 2017 Filed Aug 22, 2017 21:29 UTC | Cryoport, Inc. CYRX · Entity 5125 | SaleCommon Stock | 11,396 | $7.80 | $88,888.80 |
DisclosureSEC source: 0001144204-17-044660 · v473884_4.xml · nonDerivative · entry 1 BERMAN RICHARD J · CIK 0001111620 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Read SEC document |
| June 23, 2017 Filed May 21, 2018 21:00 UTC | Cryoport, Inc. CYRX · Entity 5125 | GrantOptions to purchase common stock · Derivative | 35,000 | $0.00 Strike: $4.80 | $0.00 |
DisclosureSEC source: 0001144204-18-030144 · tv494661_4.xml · derivative · entry 1 BERMAN RICHARD J · CIK 0001111620 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,000 Underlying: Common Stock · 35,000 shares Expires 2027-06-23 F1 · derivative.exercise_date: 1/12 of these options vested and became exercisable in equal monthly installments on the 23rd of each month for the next twelve (12) months beginning on 07/23/2017. Options issued under the compensation plan for non-employee directors for services as director during the 2017/18 term. Read SEC document |
| April 04, 2017 Filed Apr 6, 2017 20:00 UTC | MetaStat, Inc. MTST.OB · Entity 170270 | PurchaseCommon Stock | 20,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-17-000621 · form4-04062017_080401.xml · nonDerivative · entry 1 BERMAN RICHARD J · CIK 0001111620 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,696 F1 · shares: Reflects the issuance of 20,000 restricted shares of fully vested common stock approved by the board of directors on April 4, 2017. Read SEC document |
| January 09, 2017 Filed Jan 31, 2017 23:50 UTC | LISATA THERAPEUTICS, INC. CLBS · Entity 7814 | GrantOptions to Purchase Common Stock · Derivative | 2,750 | $0.00 Strike: $3.54 | $0.00 |
DisclosureSEC source: 0001144204-17-005181 · v457999_4.xml · derivative · entry 2 BERMAN RICHARD J · CIK 0001111620 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,750 Underlying: Common Stock · 2,750 shares Expires 2027-01-09 Read SEC document |
| January 09, 2017 Filed Jan 31, 2017 23:50 UTC | LISATA THERAPEUTICS, INC. CLBS · Entity 7814 | GrantCommon Stock | 1,650 | $0.00 | $0.00 |
DisclosureSEC source: 0001144204-17-005181 · v457999_4.xml · nonDerivative · entry 1 BERMAN RICHARD J · CIK 0001111620 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,177 F1 · shares: Represents 1,650 shares of restricted stock granted under the Issuer's 2015 Equity Compensation Plan that will vest on January 9, 2018. F2 · balance_after: Includes 2,775 shares of unvested restricted stock granted under the Issuer's compensation plans. Read SEC document |
| November 30, 2016 Filed Dec 5, 2016 17:30 UTC | MetaStat, Inc. MTST.OB · Entity 170270 | OtherStock Options · Derivative | 100,000 | $0.00 Strike: $2.00 | $0.00 |
DisclosureSEC source: 0001415889-16-007522 · form4-12052016_021245.xml · derivative · entry 5 BERMAN RICHARD J · CIK 0001111620 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 100,000 shares Expires 2026-07-07 F1 · kind: Effective October 30, 2016 Mr. Berman exchanged 10.0460 shares of Series B Preferred Stock plus accrued and unpaid dividends of 1,480.78 and 4,546 common stock purchase warrants with an exercise price of $10.50 per share into 28,367 shares of common stock and 14,184 common stock purchase warrants with an exercise price of $3.00 per share. F3 · shares: Effective November 30, 2016, Mr. Berman and the Issuer cancelled 100,000 stock options with a strike price of $2.00 per share that were originally granted on July 7, 2016. 33,334 of these options had vested and 66,666 were unvested. F3 · derivative.exercise_date: Effective November 30, 2016, Mr. Berman and the Issuer cancelled 100,000 stock options with a strike price of $2.00 per share that were originally granted on July 7, 2016. 33,334 of these options had vested and 66,666 were unvested. Read SEC document |
| November 03, 2016 Filed Nov 7, 2016 16:31 UTC | Ayala Pharmaceuticals, Inc. ADXS · Entity 93434 | GrantOption · Derivative | 25,000 | $0.00 Strike: $7.71 | $0.00 |
DisclosureSEC source: 0001493152-16-014581 · form4.xml · derivative · entry 1 BERMAN RICHARD J · CIK 0001111620 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 Underlying: Common Stock · 25,000 shares Expires 2026-11-03 F1 · shares: This award relates to an annual grant awarded by the Compensation Committee following the completion of our 2016 Fiscal Year and is subject to the terms of our 2015 Incentive Plan. The award vests one-third on November 3, 2017, one-third on November 3, 2018, and will be fully vested on November 3, 2019. Read SEC document |
| October 30, 2016 Filed Dec 5, 2016 17:30 UTC | MetaStat, Inc. MTST.OB · Entity 170270 | PurchaseWarrants · Derivative | 14,184 | $0.00 Strike: $3.00 | $0.00 |
DisclosureSEC source: 0001415889-16-007522 · form4-12052016_021245.xml · derivative · entry 4 BERMAN RICHARD J · CIK 0001111620 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,171 Underlying: Common Stock · 14,184 shares Expires 2021-10-29 F1 · kind: Effective October 30, 2016 Mr. Berman exchanged 10.0460 shares of Series B Preferred Stock plus accrued and unpaid dividends of 1,480.78 and 4,546 common stock purchase warrants with an exercise price of $10.50 per share into 28,367 shares of common stock and 14,184 common stock purchase warrants with an exercise price of $3.00 per share. F1 · shares: Effective October 30, 2016 Mr. Berman exchanged 10.0460 shares of Series B Preferred Stock plus accrued and unpaid dividends of 1,480.78 and 4,546 common stock purchase warrants with an exercise price of $10.50 per share into 28,367 shares of common stock and 14,184 common stock purchase warrants with an exercise price of $3.00 per share. Read SEC document |
| October 30, 2016 Filed Dec 5, 2016 17:30 UTC | MetaStat, Inc. MTST.OB · Entity 170270 | OtherWarrants · Derivative | 4,546 | $0.00 Strike: $10.50 | $0.00 |
DisclosureSEC source: 0001415889-16-007522 · form4-12052016_021245.xml · derivative · entry 3 BERMAN RICHARD J · CIK 0001111620 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 4,546 shares Expires 2020-03-30 F1 · kind: Effective October 30, 2016 Mr. Berman exchanged 10.0460 shares of Series B Preferred Stock plus accrued and unpaid dividends of 1,480.78 and 4,546 common stock purchase warrants with an exercise price of $10.50 per share into 28,367 shares of common stock and 14,184 common stock purchase warrants with an exercise price of $3.00 per share. F1 · shares: Effective October 30, 2016 Mr. Berman exchanged 10.0460 shares of Series B Preferred Stock plus accrued and unpaid dividends of 1,480.78 and 4,546 common stock purchase warrants with an exercise price of $10.50 per share into 28,367 shares of common stock and 14,184 common stock purchase warrants with an exercise price of $3.00 per share. Read SEC document |
| October 30, 2016 Filed Dec 5, 2016 17:30 UTC | MetaStat, Inc. MTST.OB · Entity 170270 | OtherSeries B Preferred Stock · Derivative | 10.0371 | $2.00 Strike: $2.00 | $20.07 |
DisclosureSEC source: 0001415889-16-007522 · form4-12052016_021245.xml · derivative · entry 2 BERMAN RICHARD J · CIK 0001111620 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 28,367 shares Expires not disclosed F1 · kind: Effective October 30, 2016 Mr. Berman exchanged 10.0460 shares of Series B Preferred Stock plus accrued and unpaid dividends of 1,480.78 and 4,546 common stock purchase warrants with an exercise price of $10.50 per share into 28,367 shares of common stock and 14,184 common stock purchase warrants with an exercise price of $3.00 per share. F1 · shares: Effective October 30, 2016 Mr. Berman exchanged 10.0460 shares of Series B Preferred Stock plus accrued and unpaid dividends of 1,480.78 and 4,546 common stock purchase warrants with an exercise price of $10.50 per share into 28,367 shares of common stock and 14,184 common stock purchase warrants with an exercise price of $3.00 per share. F2 · derivative.expiration_date: The Series B Preferred Stock does not expire. Read SEC document |
| October 30, 2016 Filed Dec 5, 2016 17:30 UTC | MetaStat, Inc. MTST.OB · Entity 170270 | PurchaseCommon Stock | 28,367 | $2.00 | $56,734.00 |
DisclosureSEC source: 0001415889-16-007522 · form4-12052016_021245.xml · nonDerivative · entry 1 BERMAN RICHARD J · CIK 0001111620 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,696 F1 · shares: Effective October 30, 2016 Mr. Berman exchanged 10.0460 shares of Series B Preferred Stock plus accrued and unpaid dividends of 1,480.78 and 4,546 common stock purchase warrants with an exercise price of $10.50 per share into 28,367 shares of common stock and 14,184 common stock purchase warrants with an exercise price of $3.00 per share. 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.