Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| BIORA THERAPEUTICS, INC.BIOR · Entity 85047 | Chief Financial Officer | August 15, 2024 | August 16, 2024 |
| Innoviva, Inc.INVA · Entity 4679 | SVP and CFO | May 20, 2018 | May 22, 2018 |
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.
BIORA THERAPEUTICS, INC.
Report date August 15, 2024 · Filed August 16, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 575,832 |
Reported balance
After 2024-08-15 transaction · row 1
1 source rowRow 1 · 2024-08-15 · Tax withholding · Disposed 27,830 · Balance 575,832 F1: Represents shares withheld by the Issuer to satisfy tax withholding obligations in connection with the release of vested restricted stock units. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents shares withheld by the Issuer to satisfy tax withholding obligations in connection with the release of vested restricted stock units.
Innoviva, Inc.
Report date May 20, 2018 · Filed May 22, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 376,965 |
Reported balance
After 2018-05-20 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2018-05-20 · Tax withholding · Disposed 7,901 · Balance 376,965 F1: The shares were withheld by the Issuer to satisfy income tax withholding obligations associated with the quarterly vesting of previously granted employee equity grants. |
| Common StockSEC Table I · non-derivative | Direct | 373,081 |
Reported balance
After 2018-05-21 transaction · row 2
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 2 · 2018-05-21 · Sale · Disposed 5,808 · Balance 373,081 F2: This sale was effected for tax planning purposes. F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.3 to $14.62, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (3) to this Form 4. F4: Includes 1,924 shares of common stock acquired under the Innoviva, Inc. Employee Stock Purchase Plan on May 15, 2018. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares were withheld by the Issuer to satisfy income tax withholding obligations associated with the quarterly vesting of previously granted employee equity grants.
F2: This sale was effected for tax planning purposes.
F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.3 to $14.62, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (3) to this Form 4.
F4: Includes 1,924 shares of common stock acquired under the Innoviva, Inc. Employee Stock Purchase Plan on May 15, 2018.
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 |
|---|---|---|---|---|---|---|
| August 15, 2024 Filed Aug 16, 2024 16:05 UTC | BIORA THERAPEUTICS, INC. BIOR · Entity 85047 | Tax withholdingCommon Stock | 27,830 | $0.67 | $18,646.10 |
DisclosureSEC source: 0000950170-24-098046 · ownership.xml · nonDerivative · entry 1 dEsparbes Eric · CIK 0001622268 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 575,832 F1 · shares: Represents shares withheld by the Issuer to satisfy tax withholding obligations in connection with the release of vested restricted stock units. Read SEC document |
| February 15, 2024 Filed Feb 15, 2024 16:05 UTC | BIORA THERAPEUTICS, INC. BIOR · Entity 85047 | GrantCommon Stock | 325,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000950170-24-015862 · ownership.xml · nonDerivative · entry 1 dEsparbes Eric · CIK 0001622268 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 603,662 F1 · shares: Consists of 325,000 restricted stock units, 25% of which will vest on February 15, 2025, with the remaining shares vesting in equal semi-annual installments through February 15, 2028, subject to the Reporting Person's continued service to the Issuer. Read SEC document |
| August 15, 2023 Filed Aug 17, 2023 16:22 UTC | BIORA THERAPEUTICS, INC. BIOR · Entity 85047 | GrantCommon Stock | 219,650 | $0.00 | $0.00 |
DisclosureSEC source: 0000950170-23-043225 · ownership.xml · nonDerivative · entry 2 dEsparbes Eric · CIK 0001622268 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 278,662 F2 · shares: Consists of 219,650 restricted stock units, 25% of which will vest on August 15, 2024, with the remaining shares vesting in equal semi-annual installments through August 15, 2027, subject to the Reporting Person's continued service to the Issuer. Read SEC document |
| August 15, 2023 Filed Aug 17, 2023 16:22 UTC | BIORA THERAPEUTICS, INC. BIOR · Entity 85047 | Tax withholdingCommon Stock | 40,022 | $3.14 | $125,669.08 |
DisclosureSEC source: 0000950170-23-043225 · ownership.xml · nonDerivative · entry 1 dEsparbes Eric · CIK 0001622268 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 59,012 F1 · shares: Represents shares withheld by the Issuer to satisfy tax withholding obligations in connection with the release of vested RSUs. Read SEC document |
| May 15, 2023 Filed May 17, 2023 16:56 UTC | BIORA THERAPEUTICS, INC. BIOR · Entity 85047 | Tax withholdingCommon Stock | 2,807 | $3.35 | $9,403.45 |
DisclosureSEC source: 0000950170-23-022773 · ownership.xml · nonDerivative · entry 1 dEsparbes Eric · CIK 0001622268 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 99,034 F1 · shares: Represents shares withheld by the Issuer to satisfy tax withholding obligations in connection with the release of vested RSUs. Read SEC document |
| March 15, 2023 Filed Mar 17, 2023 21:16 UTC | BIORA THERAPEUTICS, INC. BIOR · Entity 85047 | Tax withholdingCommon Stock | 11,216 | $2.56 | $28,712.96 |
DisclosureSEC source: 0000899243-23-009032 · doc4.xml · nonDerivative · entry 3 dEsparbes Eric · CIK 0001622268 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 101,841 F3 · shares: Represents shares withheld by the Issuer to satisfy tax withholding obligations in connection with the release of vested RSUs. Read SEC document |
| March 15, 2023 Filed Mar 17, 2023 21:16 UTC | BIORA THERAPEUTICS, INC. BIOR · Entity 85047 | GrantCommon Stock | 22,692 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-23-009032 · doc4.xml · nonDerivative · entry 2 dEsparbes Eric · CIK 0001622268 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 113,057 F2 · shares: Consists of 22,692 RSUs, which vested upon grant. Read SEC document |
| March 15, 2023 Filed Mar 17, 2023 21:16 UTC | BIORA THERAPEUTICS, INC. BIOR · Entity 85047 | GrantCommon Stock | 62,225 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-23-009032 · doc4.xml · nonDerivative · entry 1 dEsparbes Eric · CIK 0001622268 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 90,365 F1 · shares: Consists of 62,225 restricted stock units ("RSUs"), 25% of which will vest on May 15, 2024, with the remaining shares vesting in equal semi-annual installments through May 15, 2027, subject to the Reporting Person's continued service to the Issuer. Read SEC document |
| February 15, 2023 Filed Feb 17, 2023 16:15 UTC | BIORA THERAPEUTICS, INC. BIOR · Entity 85047 | Tax withholdingCommon Stock | 269 | $3.46 | $930.74 |
DisclosureSEC source: 0000899243-23-005465 · doc4.xml · nonDerivative · entry 1 dEsparbes Eric · CIK 0001622268 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,140 F1 · shares: Represents shares withheld by the Issuer to satisfy tax withholding obligations in connection with the release of 479 vested restricted stock units on February 15, 2023. Read SEC document |
| January 03, 2023 Filed Jan 5, 2023 16:05 UTC | BIORA THERAPEUTICS, INC. BIOR · Entity 85047 | Disposition to issuerSeries X Preferred Stock | 95 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-23-000958 · doc4.xml · nonDerivative · entry 1 dEsparbes Eric · CIK 0001622268 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · shares: On November 10, 2022, the Company's board of directors (the "Board") declared a dividend of one one-thousandth of a share of Series X Preferred Stock, par value $0.001 per share (the "Preferred Stock"), for each outstanding share of common stock to common stockholders of record at 5:00 p.m. Eastern Time on November 21, 2022, in a transaction exempt from Section 16 under Rule 16a-9. The shares of Preferred Stock were distributed on November 21, 2022. As a result, the Reporting Person received the shares of Preferred Stock set forth above. The Preferred Stock was not convertible into, or exchangeable for, shares of any other class or series of stock or other securities of the Company. F2 · shares: On January 3, 2023, in connection with the Company's reverse stock split for the common stock, the shares of Preferred Stock were redeemed automatically in accordance with the certificate of designation of the Preferred Stock. Each share of Preferred Stock was redeemed in consideration for the right to receive an amount equal to $0.001 in cash (rounded to the nearest cent) for each whole share of Preferred Stock. F2 · price: On January 3, 2023, in connection with the Company's reverse stock split for the common stock, the shares of Preferred Stock were redeemed automatically in accordance with the certificate of designation of the Preferred Stock. Each share of Preferred Stock was redeemed in consideration for the right to receive an amount equal to $0.001 in cash (rounded to the nearest cent) for each whole share of Preferred Stock. Read SEC document |
| November 15, 2022 Filed Nov 16, 2022 21:48 UTC | BIORA THERAPEUTICS, INC. BIOR · Entity 85047 | Tax withholdingCommon Stock | 5,194 | $0.27 | $1,402.38 |
DisclosureSEC source: 0000899243-22-036077 · doc4.xml · nonDerivative · entry 1 dEsparbes Eric · CIK 0001622268 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 710,122 F1 · shares: Represents shares withheld by the Issuer to satisfy tax withholding obligations in connection with the release of 10,474 vested restricted stock units on November 15, 2022. F2 · balance_after: Includes 6,887 shares acquired by the Reporting Person under the Issuer's 2020 Employee Stock Purchase Plan on May 31, 2021. Read SEC document |
| August 15, 2022 Filed Aug 16, 2022 17:58 UTC | BIORA THERAPEUTICS, INC. BIOR · Entity 85047 | Tax withholdingCommon Stock | 5,952 | $1.04 | $6,190.08 |
DisclosureSEC source: 0000899243-22-028839 · doc4.xml · nonDerivative · entry 1 dEsparbes Eric · CIK 0001622268 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 708,429 F1 · shares: Represents shares withheld by the Issuer to satisfy tax withholding obligations in connection with the release of 12,000 vested restricted stock units on August 15, 2022. F2 · balance_after: Includes 9,191 shares acquired by the Reporting Person under the Issuer's 2020 Employee Stock Purchase Plan on May 31, 2022. Read SEC document |
| May 15, 2022 Filed May 17, 2022 17:18 UTC | BIORA THERAPEUTICS, INC. BIOR · Entity 85047 | GrantStock Option (Right to Buy) · Derivative | 472,495 | $0.00 Strike: $0.75 | $0.00 |
DisclosureSEC source: 0000899243-22-018428 · doc4.xml · derivative · entry 3 dEsparbes Eric · CIK 0001622268 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 472,495 Underlying: Common Stock · 472,495 shares Expires 2032-05-15 F3 · derivative.exercise_date: This option represents the right to purchase 472,495 shares of the Issuer's common stock, 9,843 of which vested upon grant, with the remaining shares vesting in equal monthly installments through April 15, 2026, subject to the Reporting Person's continued service to the Issuer. Read SEC document |
| May 15, 2022 Filed May 17, 2022 17:18 UTC | BIORA THERAPEUTICS, INC. BIOR · Entity 85047 | GrantCommon Stock | 292,406 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-22-018428 · doc4.xml · nonDerivative · entry 2 dEsparbes Eric · CIK 0001622268 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 705,190 F2 · shares: Consists of 292,406 restricted stock units, 25% of which will vest on May 15, 2023, with the remaining shares vesting in equal semi-annual installments through May 15, 2026, subject to the Reporting Person's continued service to the Issuer. Read SEC document |
| May 15, 2022 Filed May 17, 2022 17:18 UTC | BIORA THERAPEUTICS, INC. BIOR · Entity 85047 | Tax withholdingCommon Stock | 10,387 | $0.75 | $7,790.25 |
DisclosureSEC source: 0000899243-22-018428 · doc4.xml · nonDerivative · entry 1 dEsparbes Eric · CIK 0001622268 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 412,784 F1 · shares: Represents shares withheld by the Issuer to satisfy tax withholding obligations in connection with the release of 20,948 vested restricted stock units on May 15, 2022. Read SEC document |
| April 15, 2022 Filed Apr 19, 2022 16:23 UTC | BIORA THERAPEUTICS, INC. PROG · Entity 85047 | GrantStock Option (Right to Buy) · Derivative | 375,032 | $0.00 Strike: $1.00 | $0.00 |
DisclosureSEC source: 0000899243-22-015063 · doc4.xml · derivative · entry 2 dEsparbes Eric · CIK 0001622268 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 375,032 Underlying: Common Stock · 375,032 shares Expires 2032-04-15 F2 · derivative.exercise_date: This option represents the right to purchase 375,032 shares of the Issuer's common stock, 7,813 of which vested upon grant, with the remaining shares vesting in equal monthly installments through March 15, 2026, subject to the Reporting Person's continued service to the Issuer. Read SEC document |
| April 15, 2022 Filed Apr 19, 2022 16:23 UTC | BIORA THERAPEUTICS, INC. PROG · Entity 85047 | GrantCommon Stock | 231,693 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-22-015063 · doc4.xml · nonDerivative · entry 1 dEsparbes Eric · CIK 0001622268 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 423,171 F1 · shares: Consists of 231,693 restricted stock units, 25% of which will vest on May 15, 2023, with the remaining shares vesting in equal semi-annual installments through May 15, 2026, subject to the Reporting Person's continued service to the Issuer. Read SEC document |
| February 15, 2022 Filed Feb 17, 2022 16:05 UTC | BIORA THERAPEUTICS, INC. PROG · Entity 85047 | Tax withholdingCommon Stock | 4,919 | $1.90 | $9,346.10 |
DisclosureSEC source: 0000899243-22-006785 · doc4.xml · nonDerivative · entry 1 dEsparbes Eric · CIK 0001622268 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 191,478 F1 · shares: Represents shares withheld by the Issuer to satisfy tax withholding obligations in connection with the release of 12,001 vested restricted stock units on February 15, 2022. Read SEC document |
| August 15, 2021 Filed Aug 17, 2021 16:00 UTC | BIORA THERAPEUTICS, INC. PROG · Entity 85047 | Tax withholdingCommon Stock | 5,718 | $1.66 | $9,491.88 |
DisclosureSEC source: 0000899243-21-033252 · doc4.xml · nonDerivative · entry 1 dEsparbes Eric · CIK 0001622268 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 196,397 F1 · shares: Represents shares withheld by the Issuer to satisfy tax withholding obligations in connection with the release of 16,530 vested restricted stock units on August 15, 2021. Read SEC document |
| April 15, 2021 Filed Apr 19, 2021 21:32 UTC | BIORA THERAPEUTICS, INC. PROG · Entity 85047 | GrantStock Option (Right to Buy) · Derivative | 175,790 | $0.00 Strike: $3.41 | $0.00 |
DisclosureSEC source: 0000899243-21-016315 · doc4.xml · derivative · entry 3 dEsparbes Eric · CIK 0001622268 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 175,790 Underlying: Common Stock · 175,790 shares Expires 2031-04-15 F3 · deemedExecutionDate: This option represents the right to purchase 175,790 shares of the Issuer's common stock, 3,661 of which vested upon grant, with the remaining shares vesting in equal monthly installments through March 15, 2025, subject to the Reporting Person's continued service to the Issuer. F3 · derivative.exercise_date: This option represents the right to purchase 175,790 shares of the Issuer's common stock, 3,661 of which vested upon grant, with the remaining shares vesting in equal monthly installments through March 15, 2025, subject to the Reporting Person's continued service to the Issuer. Read SEC document |
| April 15, 2021 Filed Apr 19, 2021 21:32 UTC | BIORA THERAPEUTICS, INC. PROG · Entity 85047 | Tax withholdingCommon Stock | 13,690 | $3.41 | $46,682.90 |
DisclosureSEC source: 0000899243-21-016315 · doc4.xml · nonDerivative · entry 2 dEsparbes Eric · CIK 0001622268 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 202,115 F2 · shares: Represents shares withheld by the Issuer to satisfy tax withholding obligations in connection with the release of 39,589 vested restricted stock units on April 15, 2021. Read SEC document |
| April 15, 2021 Filed Apr 19, 2021 21:32 UTC | BIORA THERAPEUTICS, INC. PROG · Entity 85047 | GrantCommon Stock | 123,382 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-21-016315 · doc4.xml · nonDerivative · entry 1 dEsparbes Eric · CIK 0001622268 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 215,805 F1 · shares: Consists of 123,382 restricted stock units, 39,589 of which vested on the grant date and 20,948 of which will vest on May 15, 2022, with the remaining shares vesting in equal semi-annual installments through May 15, 2025, subject to the Reporting Person's continued service to the Issuer. Read SEC document |
| March 15, 2021 Filed Mar 17, 2021 17:38 UTC | BIORA THERAPEUTICS, INC. PROG · Entity 85047 | GrantStock Option (Right to Buy) · Derivative | 67,953 | $0.00 Strike: $4.73 | $0.00 |
DisclosureSEC source: 0000899243-21-012227 · doc4.xml · derivative · entry 1 dEsparbes Eric · CIK 0001622268 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 67,953 Underlying: Common Stock · 67,953 shares Expires 2031-03-15 F1 · derivative.exercise_date: This option represents the right to purchase 67,953 shares of the Issuer's common stock, and will vest in full on March 15, 2022. Read SEC document |
| March 04, 2021 Filed Mar 8, 2021 17:14 UTC | BIORA THERAPEUTICS, INC. PROG · Entity 85047 | Tax withholdingCommon Stock | 1,608 | $4.05 | $6,512.40 |
DisclosureSEC source: 0000899243-21-010405 · doc4.xml · nonDerivative · entry 1 dEsparbes Eric · CIK 0001622268 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 92,423 F1 · shares: Represents shares withheld by the Issuer to satisfy tax withholding obligations in connection with the release of 4,610 vested restricted stock units on March 4, 2021. Read SEC document |
| February 15, 2021 Filed Feb 17, 2021 17:04 UTC | BIORA THERAPEUTICS, INC. PROG · Entity 85047 | Tax withholdingCommon Stock | 5,361 | $5.60 | $30,021.60 |
DisclosureSEC source: 0000899243-21-006918 · doc4.xml · nonDerivative · entry 1 dEsparbes Eric · CIK 0001622268 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 94,031 F1 · shares: Represents shares withheld by the Issuer to satisfy tax withholding obligations in connection with the release of 13,166 vested restricted stock units on February 15, 2021. Read SEC document |
| December 19, 2020 Filed Dec 22, 2020 19:19 UTC | BIORA THERAPEUTICS, INC. PROG · Entity 85047 | Tax withholdingCommon Stock | 1,228 | $6.32 | $7,760.96 |
DisclosureSEC source: 0000899243-20-034873 · doc4.xml · nonDerivative · entry 1 dEsparbes Eric · CIK 0001622268 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 99,392 F1 · shares: Represents shares withheld by the Issuer to satisfy tax withholding obligations in connection with the release of 3,550 vested restricted stock units on December 19, 2020. Read SEC document |
| August 15, 2020 Filed Aug 18, 2020 21:42 UTC | BIORA THERAPEUTICS, INC. PROG · Entity 85047 | GrantStock Option (Right to Buy) · Derivative | 73,863 | $0.00 Strike: $7.71 | $0.00 |
DisclosureSEC source: 0000899243-20-022858 · doc4.xml · derivative · entry 2 dEsparbes Eric · CIK 0001622268 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 73,863 Underlying: Common Stock · 73,863 shares Expires 2030-08-15 F3 · derivative.exercise_date: This option represents the right to purchase 73,863 shares of the Issuer's common stock, which will vest in equal monthly installments from August 15, 2020 through July 15, 2024, subject to the Reporting Person's continued service to the Issuer. Read SEC document |
| August 15, 2020 Filed Aug 18, 2020 21:42 UTC | BIORA THERAPEUTICS, INC. PROG · Entity 85047 | GrantCommon Stock | 36,243 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-20-022858 · doc4.xml · nonDerivative · entry 1 dEsparbes Eric · CIK 0001622268 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,620 F1 · shares: Consists of 36,243 restricted stock units ("RSUs"), one quarter of which will vest on August 15, 2021, with the remaining three quarters vesting in semi-annual installments beginning on February 15, 2022 and ending on August 15, 2024, subject to the Reporting Person's continued service to the Issuer. F2 · balance_after: Consists of 100,620 RSUs. Read SEC document |
| June 15, 2019 Filed Aug 18, 2020 21:42 UTC | BIORA THERAPEUTICS, INC. PROG · Entity 85047 | GrantStock Option (Right to Buy) · Derivative | 28,406 | $0.00 Strike: $9.88 | $0.00 |
DisclosureSEC source: 0000899243-20-022858 · doc4.xml · derivative · entry 3 dEsparbes Eric · CIK 0001622268 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,406 Underlying: Common Stock · 28,406 shares Expires 2029-06-15 F4 · derivative.exercise_date: This option represents the right to purchase 28,406 shares of the Issuer's common stock, 8,285 of which have vested as of June 18, 2020, with the remaining shares vesting in equal monthly installments through June 15, 2023, subject to the Reporting Person's continued service to the Issuer. The Reporting Person's Form 3 filed on June 18, 2020 reported the total number of shares underlying the derivative security as 28,407 due to a rounding error. Read SEC document |
| May 21, 2018 Filed May 22, 2018 23:53 UTC | Innoviva, Inc. INVA · Entity 4679 | SaleCommon Stock | 5,808 | $14.40 | $83,623.00 |
DisclosureSEC source: 0001179110-18-007383 · edgar.xml · nonDerivative · entry 2 dEsparbes Eric · CIK 0001622268 · SVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 373,081 F2 · shares: This sale was effected for tax planning purposes. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.3 to $14.62, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (3) to this Form 4. F4 · balance_after: Includes 1,924 shares of common stock acquired under the Innoviva, Inc. Employee Stock Purchase Plan on May 15, 2018. Read SEC document |
| May 20, 2018 Filed May 22, 2018 23:53 UTC | Innoviva, Inc. INVA · Entity 4679 | Tax withholdingCommon Stock | 7,901 | $14.59 | $115,275.59 |
DisclosureSEC source: 0001179110-18-007383 · edgar.xml · nonDerivative · entry 1 dEsparbes Eric · CIK 0001622268 · SVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 376,965 F1 · shares: The shares were withheld by the Issuer to satisfy income tax withholding obligations associated with the quarterly vesting of previously granted employee equity grants. Read SEC document |
| March 02, 2018 Filed Mar 6, 2018 21:14 UTC | Innoviva, Inc. INVA · Entity 4679 | GrantCommon Stock | 93,056 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-18-003604 · edgar.xml · nonDerivative · entry 1 dEsparbes Eric · CIK 0001622268 · Interim PEO, SVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 384,866 F1 · shares: Includes 31,018 shares of common stock granted pursuant to a time-based restricted stock award (RSA). Twenty-five percent of the shares subject to the RSA shall vest on February 20, 2019, and 6.25% of the shares subject to the RSA shall vest quarterly thereafter on the Issuer's standard vesting dates until February 20, 2022, provided the Reporting Person has provided continuous service to the Issuer through the applicable vesting date. F2 · shares: Includes shares of common stock granted pursuant to a performance-based restricted stock award (PSA). The shares vest pursuant to the PSA over a three-year period upon, and subject to a formula related to, the Issuer's achievement of certain levels of relative total shareholder return (TSR). The "target" number of shares that may vest is 31,019, but the actual number of shares that may vest will range from 0 to 62,038 shares based on the Issuer's relative TSR over the performance period. Subject to achievement of the performance-based vesting conditions, the shares eligible to vest based on achievement will vest on February 20, 2021 provided that the Reporting Person has provided continuous service to the Issuer through the applicable vesting date. Read SEC document |
| February 21, 2018 Filed Feb 22, 2018 21:24 UTC | Innoviva, Inc. INVA · Entity 4679 | SaleCommon Stock | 5,378 | $16.52 | $88,825.20 |
DisclosureSEC source: 0001179110-18-002589 · edgar.xml · nonDerivative · entry 2 dEsparbes Eric · CIK 0001622268 · Interim PEO, SVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 291,810 F2 · shares: This sale was effected for tax planning purposes pursuant to the Reporting Person's Rule 10b5-1 Trading Plan dated September 20, 2017. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.31 to $16.62, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (3) to this Form 4. F4 · balance_after: Includes 322 shares of common stock acquired under the Innoviva, Inc. Employee Stock Purchase Plan on November 15, 2017. Read SEC document |
| February 20, 2018 Filed Feb 22, 2018 21:24 UTC | Innoviva, Inc. INVA · Entity 4679 | Tax withholdingCommon Stock | 24,876 | $16.44 | $408,961.44 |
DisclosureSEC source: 0001179110-18-002589 · edgar.xml · nonDerivative · entry 1 dEsparbes Eric · CIK 0001622268 · Interim PEO, SVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 297,188 F1 · shares: The shares were withheld by the Issuer to satisfy income tax withholding obligations associated with the quarterly vesting of previously granted employee equity grants. Read SEC document |
| November 21, 2017 Filed Nov 22, 2017 21:51 UTC | Innoviva, Inc. INVA · Entity 4679 | SaleCommon Stock | 13,460 | $13.31 | $179,171.44 |
DisclosureSEC source: 0001179110-17-014573 · edgar.xml · nonDerivative · entry 3 dEsparbes Eric · CIK 0001622268 · SVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 321,742 F3 · shares: This sale was effected for tax planning purposes pursuant to the Reporting Person's Rule 10b5-1 Trading Plan dated September 20, 2017. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.21 to $13.46, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (3) to this Form 4. Read SEC document |
| November 20, 2017 Filed Nov 22, 2017 21:51 UTC | Innoviva, Inc. INVA · Entity 4679 | SaleCommon Stock | 1,825 | $13.04 | $23,798.00 |
DisclosureSEC source: 0001179110-17-014573 · edgar.xml · nonDerivative · entry 2 dEsparbes Eric · CIK 0001622268 · SVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 335,202 F2 · shares: This sale was effected for tax planning purposes pursuant to the Reporting Person's Rule 10b5-1 Trading Plan dated December 15, 2016. Read SEC document |
| November 20, 2017 Filed Nov 22, 2017 21:51 UTC | Innoviva, Inc. INVA · Entity 4679 | Tax withholdingCommon Stock | 6,141 | $13.17 | $80,876.97 |
DisclosureSEC source: 0001179110-17-014573 · edgar.xml · nonDerivative · entry 1 dEsparbes Eric · CIK 0001622268 · SVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 337,027 F1 · shares: The shares were withheld by the Issuer to satisfy income tax withholding obligations associated with the quarterly vesting of previously granted employee equity grants. Read SEC document |
| August 21, 2017 Filed Aug 22, 2017 20:37 UTC | Innoviva, Inc. INVA · Entity 4679 | SaleCommon Stock | 1,825 | $12.20 | $22,265.00 |
DisclosureSEC source: 0001179110-17-011728 · edgar.xml · nonDerivative · entry 2 dEsparbes Eric · CIK 0001622268 · SVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 343,168 F2 · shares: This sale was effected for tax planning purposes pursuant to the Reporting Person's Rule 10b5-1 Trading Plan dated December 15, 2016. Read SEC document |
| August 20, 2017 Filed Aug 22, 2017 20:37 UTC | Innoviva, Inc. INVA · Entity 4679 | Tax withholdingCommon Stock | 5,770 | $12.28 | $70,855.60 |
DisclosureSEC source: 0001179110-17-011728 · edgar.xml · nonDerivative · entry 1 dEsparbes Eric · CIK 0001622268 · SVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 344,993 F1 · shares: The shares were withheld by the Company to satisfy income tax withholding obligations associated with the quarterly vesting of previously granted employee equity awards. Read SEC document |
| May 22, 2017 Filed May 23, 2017 20:15 UTC | Innoviva, Inc. INVA · Entity 4679 | SaleCommon Stock | 1,825 | $11.85 | $21,626.25 |
DisclosureSEC source: 0001179110-17-007830 · edgar.xml · nonDerivative · entry 2 dEsparbes Eric · CIK 0001622268 · SVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 350,763 F2 · shares: This sale was effected for tax planning purposes pursuant to the Reporting Person's Rule 10b5-1 Trading Plan dated December 15, 2016. F3 · balance_after: Includes 2,500 shares of common stock acquired under the Innoviva, Inc. Employee Stock Purchase Plan on May 15, 2017. Read SEC document |
| May 20, 2017 Filed May 23, 2017 20:15 UTC | Innoviva, Inc. INVA · Entity 4679 | Tax withholdingCommon Stock | 4,208 | $11.86 | $49,906.88 |
DisclosureSEC source: 0001179110-17-007830 · edgar.xml · nonDerivative · entry 1 dEsparbes Eric · CIK 0001622268 · SVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 352,588 F1 · shares: The shares were withheld by the Issuer to satisfy income tax withholding obligations associated with the quarterly vesting of previously granted employee equity awards. Read SEC document |
| February 21, 2017 Filed Feb 22, 2017 21:30 UTC | Innoviva, Inc. INVA · Entity 4679 | SaleCommon Stock | 1,825 | $12.07 | $22,027.75 |
DisclosureSEC source: 0001179110-17-002898 · edgar.xml · nonDerivative · entry 2 dEsparbes Eric · CIK 0001622268 · SVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 354,296 F2 · shares: This sale was effected for tax planning purposes pursuant to the Reporting Person's Rule 10b5-1 Trading Plan dated December 15, 2016. Read SEC document |
| February 20, 2017 Filed Feb 22, 2017 21:30 UTC | Innoviva, Inc. INVA · Entity 4679 | Tax withholdingCommon Stock | 8,604 | $12.04 | $103,592.16 |
DisclosureSEC source: 0001179110-17-002898 · edgar.xml · nonDerivative · entry 1 dEsparbes Eric · CIK 0001622268 · SVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 356,121 F1 · shares: The shares were withheld by the Issuer to satisfy income tax withholding obligations associated with the quarterly vesting of previously granted employee equity awards. Read SEC document |
| January 17, 2017 Filed Jan 20, 2017 01:22 UTC | Innoviva, Inc. INVA · Entity 4679 | GrantCommon Stock | 133,398 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-17-001081 · edgar.xml · nonDerivative · entry 1 dEsparbes Eric · CIK 0001622268 · SVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 364,725 F1 · shares: Includes 66,698 shares of common stock granted pursuant to a time-based restricted stock award (RSA). Twenty-five percent of the shares subject to the RSA shall vest on February 20, 2018, and 6.25% of the shares subject to the RSA shall vest quarterly thereafter on the Issuer's standard vesting dates until February 20, 2021, provided that the Reporting Person has provided continuous service to the Issuer through the applicable vesting date. F2 · shares: Includes shares of common stock granted pursuant to a performance-based restricted stock award (PSA). The shares vest pursuant to the PSA over a two-year and three-year performance period upon, and subject to a formula related to, the Issuer's achievement of certain levels of relative total shareholder return (TSR). The "target" number of shares that may vest is 33,350 but the actual number of shares that may vest will range from 0 to 66,700 shares based on the Issuer's relative TSR over the performance periods. Subject to achievement of the performance-based vesting conditions, (i) two-thirds of the shares eligible to vest based on achievement for the two-year performance period will vest on February 20, 2019 and the remaining one-third of such shares will vest on February 20, 2020 and (ii) the share eligible to vest based on achievement for the three-year performance period will vest on February 20, 2020, in each case, (continued in Footnote 3) F3 · shares: (continued from Footnote 2) provided that the Reporting Person has provided continuous service to the Issuer through the applicable vesting date. Read SEC document |
| November 21, 2016 Filed Nov 22, 2016 22:45 UTC | Innoviva, Inc. INVA · Entity 4679 | SaleCommon Stock | 1,800 | $10.89 | $19,602.00 |
DisclosureSEC source: 0001179110-16-031973 · edgar.xml · nonDerivative · entry 2 dEsparbes Eric · CIK 0001622268 · SVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 231,327 F3 · shares: This sale was effected for tax planning purposes pursuant to the Reporting Person's Rule 10b5-1 Trading Plan dated May 20, 2016. Read SEC document |
| November 20, 2016 Filed Nov 22, 2016 22:45 UTC | Innoviva, Inc. INVA · Entity 4679 | Tax withholdingCommon Stock | 3,832 | $10.91 | $41,807.12 |
DisclosureSEC source: 0001179110-16-031973 · edgar.xml · nonDerivative · entry 1 dEsparbes Eric · CIK 0001622268 · SVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 233,127 F1 · shares: The shares were withheld by the Issuer to satisfy income tax withholding obligations associated with the quarterly vesting of previously granted employee equity awards. F2 · balance_after: Includes 766 shares of common stock acquired under the Innoviva, Inc. Employee Stock Purchase Plan on November 15, 2016. 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.