Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| HilleVax, Inc.HLVX · Entity 75097 | CFO & Chief Business Officer | April 28, 2022 | April 28, 2022 |
| Phathom Pharmaceuticals, Inc.PHAT · Entity 5177 | Director | May 23, 2024 | May 24, 2024 |
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.
HilleVax, Inc.
Report date April 28, 2022 · Filed April 28, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 769,055 |
Reported balance
Holding disclosure · report date 2022-04-28 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 769,055 F1: Includes 425,175 shares of restricted stock subject to repurchase by the Issuer. F2: Consists of (i) 510,183 shares of common stock held in the David A. Socks 2013 Revocable Trust of which Mr. Socks is a trustee; and (ii) 258,872 shares of common stock held by family trusts for which Mr. Socks is a trustee. |
Filing footnotes · ownership attribution and instrument terms
F1: Includes 425,175 shares of restricted stock subject to repurchase by the Issuer.
F2: Consists of (i) 510,183 shares of common stock held in the David A. Socks 2013 Revocable Trust of which Mr. Socks is a trustee; and (ii) 258,872 shares of common stock held by family trusts for which Mr. Socks is a trustee.
Phathom Pharmaceuticals, Inc.
Report date May 23, 2024 · Filed May 24, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 19,500 |
Reported balance
After 2024-05-23 transaction · row 1
1 source rowRow 1 · 2024-05-23 · Grant · Acquired 10,500 · Balance 19,500 F1: The Restricted Stock Units ("RSUs") were granted on May 23, 2024, pursuant to the Issuer's Non-Employee Director Compensation Program. 100% of the total number of RSUs granted shall vest on the first to occur of (A) the first anniversary of the date of grant or (B) the next occurring annual meeting of the Issuer's stockholders, subject to the Reporting Person's continuing service on the Board through such vesting date. Each RSU represents a contingent right to receive one share of common stock of the Issuer. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $10.30 · Expires 2034-05-22 | Direct | 17,500 |
Reported balance
After 2024-05-23 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2024-05-23 · Grant · Disposed 17,500 · Balance 17,500 F2: The option was granted pursuant to the Issuer's Non-Employee Director Compensation Program. The option shall vest and/or become exercisable on the first to occur of (A) the first anniversary of the date of grant or (B) the next occurring annual meeting of the Issuer's stockholders, subject to Reporting Person's continuing in service on the Board through such vesting date. |
| Common StockSEC Table I · non-derivative | IndirectDavid A. Socks Family Trust | 1,211,346 |
Reported balance
Holding disclosure · report date 2024-05-23 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 1,211,346 |
| Common StockSEC Table I · non-derivative | IndirectBy 401(k) | 409.73 |
Reported balance
Holding disclosure · report date 2024-05-23 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 409.73 |
Filing footnotes · ownership attribution and instrument terms
F1: The Restricted Stock Units ("RSUs") were granted on May 23, 2024, pursuant to the Issuer's Non-Employee Director Compensation Program. 100% of the total number of RSUs granted shall vest on the first to occur of (A) the first anniversary of the date of grant or (B) the next occurring annual meeting of the Issuer's stockholders, subject to the Reporting Person's continuing service on the Board through such vesting date. Each RSU represents a contingent right to receive one share of common stock of the Issuer.
F2: The option was granted pursuant to the Issuer's Non-Employee Director Compensation Program. The option shall vest and/or become exercisable on the first to occur of (A) the first anniversary of the date of grant or (B) the next occurring annual meeting of the Issuer's stockholders, subject to Reporting Person's continuing in service on the Board through such vesting date.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| December 16, 2020 Filed Dec 18, 2020 20:01 UTC | Phathom Pharmaceuticals, Inc. PHAT · Entity 5177 | SaleCommon Stock | 200 | $48.99 | $9,798.00 |
DisclosureSEC source: 0001209191-20-064565 · doc4.xml · nonDerivative · entry 4 Socks David A · CIK 0001378847 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · David A. Socks 2013 Revocable Trust Disclosed balance after: 1,621,157 Read SEC document |
| December 16, 2020 Filed Dec 18, 2020 20:01 UTC | Phathom Pharmaceuticals, Inc. PHAT · Entity 5177 | SaleCommon Stock | 12,954 | $48.19 | $624,253.26 |
DisclosureSEC source: 0001209191-20-064565 · doc4.xml · nonDerivative · entry 3 Socks David A · CIK 0001378847 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · David A. Socks 2013 Revocable Trust Disclosed balance after: 1,621,357 F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $47.74 to $48.71. The reporting person undertakes to provide Phathom Pharmaceuticals, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| December 16, 2020 Filed Dec 18, 2020 20:01 UTC | Phathom Pharmaceuticals, Inc. PHAT · Entity 5177 | SaleCommon Stock | 13,292 | $47.35 | $629,365.57 |
DisclosureSEC source: 0001209191-20-064565 · doc4.xml · nonDerivative · entry 2 Socks David A · CIK 0001378847 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · David A. Socks 2013 Revocable Trust Disclosed balance after: 1,634,311 F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $46.74 to $47.7308. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| December 16, 2020 Filed Dec 18, 2020 20:01 UTC | Phathom Pharmaceuticals, Inc. PHAT · Entity 5177 | SaleCommon Stock | 5,000 | $46.22 | $231,102.50 |
DisclosureSEC source: 0001209191-20-064565 · doc4.xml · nonDerivative · entry 1 Socks David A · CIK 0001378847 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · David A. Socks 2013 Revocable Trust Disclosed balance after: 1,647,603 F1 · kind: All sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $45.72 to $46.70. The reporting person undertakes to provide Phathom Pharmaceuticals, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| December 01, 2020 Filed Feb 12, 2021 16:46 UTC | Phathom Pharmaceuticals, Inc. PHAT · Entity 5177 | GiftCommon Stock | 27,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-010174 · doc5.xml · nonDerivative · entry 1 Socks David A · CIK 0001378847 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · David A. Socks 2013 Revocable Trust Disclosed balance after: 1,505,945 Read SEC document |
| November 11, 2020 Filed Nov 12, 2020 16:13 UTC | Phathom Pharmaceuticals, Inc. PHAT · Entity 5177 | SaleCommon Stock | 903 | $40.36 | $36,445.53 |
DisclosureSEC source: 0001209191-20-057921 · doc4.xml · nonDerivative · entry 9 Socks David A · CIK 0001378847 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · David A. Socks 2013 Revocable Trust Disclosed balance after: 1,652,603 F9 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $39.95 to $40.90. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| November 11, 2020 Filed Nov 12, 2020 16:13 UTC | Phathom Pharmaceuticals, Inc. PHAT · Entity 5177 | SaleCommon Stock | 3,354 | $39.22 | $131,557.30 |
DisclosureSEC source: 0001209191-20-057921 · doc4.xml · nonDerivative · entry 8 Socks David A · CIK 0001378847 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · David A. Socks 2013 Revocable Trust Disclosed balance after: 1,653,506 F8 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $38.71 to $39.69. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| November 11, 2020 Filed Nov 12, 2020 16:13 UTC | Phathom Pharmaceuticals, Inc. PHAT · Entity 5177 | SaleCommon Stock | 2,620 | $38.17 | $100,017.71 |
DisclosureSEC source: 0001209191-20-057921 · doc4.xml · nonDerivative · entry 7 Socks David A · CIK 0001378847 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · David A. Socks 2013 Revocable Trust Disclosed balance after: 1,656,860 F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $37.71 to $38.70. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| November 10, 2020 Filed Nov 12, 2020 16:13 UTC | Phathom Pharmaceuticals, Inc. PHAT · Entity 5177 | SaleCommon Stock | 200 | $43.07 | $8,614.00 |
DisclosureSEC source: 0001209191-20-057921 · doc4.xml · nonDerivative · entry 6 Socks David A · CIK 0001378847 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · David A. Socks 2013 Revocable Trust Disclosed balance after: 1,659,480 Read SEC document |
| November 10, 2020 Filed Nov 12, 2020 16:13 UTC | Phathom Pharmaceuticals, Inc. PHAT · Entity 5177 | SaleCommon Stock | 4,601 | $42.31 | $194,674.75 |
DisclosureSEC source: 0001209191-20-057921 · doc4.xml · nonDerivative · entry 5 Socks David A · CIK 0001378847 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · David A. Socks 2013 Revocable Trust Disclosed balance after: 1,664,081 F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $41.89 to $42.75. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| November 10, 2020 Filed Nov 12, 2020 16:13 UTC | Phathom Pharmaceuticals, Inc. PHAT · Entity 5177 | SaleCommon Stock | 7,880 | $41.29 | $325,383.32 |
DisclosureSEC source: 0001209191-20-057921 · doc4.xml · nonDerivative · entry 4 Socks David A · CIK 0001378847 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · David A. Socks 2013 Revocable Trust Disclosed balance after: 1,668,682 F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $40.89 to $41.88. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| November 09, 2020 Filed Nov 12, 2020 16:13 UTC | Phathom Pharmaceuticals, Inc. PHAT · Entity 5177 | SaleCommon Stock | 100 | $44.00 | $4,400.00 |
DisclosureSEC source: 0001209191-20-057921 · doc4.xml · nonDerivative · entry 3 Socks David A · CIK 0001378847 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · David A. Socks 2013 Revocable Trust Disclosed balance after: 1,676,562 Read SEC document |
| November 09, 2020 Filed Nov 12, 2020 16:13 UTC | Phathom Pharmaceuticals, Inc. PHAT · Entity 5177 | SaleCommon Stock | 5,477 | $42.67 | $233,683.33 |
DisclosureSEC source: 0001209191-20-057921 · doc4.xml · nonDerivative · entry 2 Socks David A · CIK 0001378847 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · David A. Socks 2013 Revocable Trust Disclosed balance after: 1,676,662 F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $42.36 to $43.29. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| November 09, 2020 Filed Nov 12, 2020 16:13 UTC | Phathom Pharmaceuticals, Inc. PHAT · Entity 5177 | SaleCommon Stock | 5,207 | $41.95 | $218,422.19 |
DisclosureSEC source: 0001209191-20-057921 · doc4.xml · nonDerivative · entry 1 Socks David A · CIK 0001378847 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · David A. Socks 2013 Revocable Trust Disclosed balance after: 1,682,139 F1 · kind: All sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $41.35 to $42.33. The reporting person undertakes to provide Phathom Pharmaceuticals, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F3 · balance_after: Includes 642 shares of common stock of the Issuer received by the Reporting Person in a pro-rata, distribution in-kind exempt under Rule 16a-9. 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.