Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Alphatec Holdings, Inc.ATEC · Entity 4720 | EVP & CFO | March 09, 2021 | March 10, 2021 |
| EXAGEN INC.XGN · Entity 935 | Chief Financial Officer | September 01, 2026 | September 02, 2026 |
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.
Alphatec Holdings, Inc.
Report date March 09, 2021 · Filed March 10, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 620,770 |
Reported balance
After 2021-03-09 transaction · row 1
1 source rowRow 1 · 2021-03-09 · Sale · Disposed 7,000 · Balance 620,770 F1: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 5, 2019, as amended November 27, 2020, to satisfy certain tax withholding obligations of the reporting person resulting from the vesting of previously granted restricted stock unit awards. F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.12 to $17.10, 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 ranges set forth in this footnote. |
| Common StockSEC Table I · non-derivative | IndirectBy IRA | 49,874 |
Reported balance
Holding disclosure · report date 2021-03-09 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 49,874 |
Filing footnotes · ownership attribution and instrument terms
F1: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 5, 2019, as amended November 27, 2020, to satisfy certain tax withholding obligations of the reporting person resulting from the vesting of previously granted restricted stock unit awards.
F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.12 to $17.10, 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 ranges set forth in this footnote.
EXAGEN INC.
Report date September 01, 2026 · Filed September 02, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 323,339 |
Reported balance
After 2026-09-01 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2026-09-01 · Sale · Disposed 20,614 · Balance 323,339 F1: The sale reported on this Form 4 represents shares sold by the Reporting Person, at the direction of the Issuer, to cover tax withholding obligations in connection with the vesting and settlement of Restricted Stock Units. The sale is mandated solely by the Issuer and does not represent a discretionary transaction by the Reporting Person. |
| Common StockSEC Table I · non-derivative | Direct | 324,910 |
Reported balance
After 2026-09-01 transaction · row 2
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 2 · 2026-09-01 · Grant · Acquired 1,571 · Balance 324,910 F2: The reporting person is voluntarily reporting the acquisition of the common stock pursuant to the Issuer's Employee Stock Purchase Plan ("ESPP"). F3: Represents shares of common stock purchased through the ESPP in transactions that were exempt under both Rule 16b-3(d) and Rule 16b-3(c). |
Filing footnotes · ownership attribution and instrument terms
F1: The sale reported on this Form 4 represents shares sold by the Reporting Person, at the direction of the Issuer, to cover tax withholding obligations in connection with the vesting and settlement of Restricted Stock Units. The sale is mandated solely by the Issuer and does not represent a discretionary transaction by the Reporting Person.
F2: The reporting person is voluntarily reporting the acquisition of the common stock pursuant to the Issuer's Employee Stock Purchase Plan ("ESPP").
F3: Represents shares of common stock purchased through the ESPP in transactions that were exempt under both Rule 16b-3(d) and Rule 16b-3(c).
Past disclosures · reporting ended (2)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Apollo Endosurgery, Inc.
Report date April 04, 2023 · Filed April 04, 2023
Section 16 reporting ended · disclosed 2023-04-04. 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 2023-04-04 transaction · row 1
1 source rowRow 1 · 2023-04-04 · Disposition to issuer · Disposed 335,330 · Balance 0 F1: Reflects the disposition of the reporting person's 103,750 shares of Issuer common stock, par value $0.001 per share ("Issuer Common Stock"), upon the consummation of the transactions contemplated by the Agreement and Plan of Merger (the "Merger Agreement"), dated as of November 29, 2022, among the Issuer, Boston Scientific Corporation ("Parent") and Textile Merger Sub, Inc., an indirect wholly owned subsidiary of Parent ("Merger Sub"), including the consummation of the merger between Issuer and Merger Sub on April 4, 2023 (the "Merger"). Pursuant to the Merger Agreement, at the effective time of the Merger (the "Effective Time"), each outstanding share of Issuer Common Stock, was canceled and converted automatically into the right to receive $10.00 in cash, without interest (the "Merger Consideration"), less applicable taxes and authorized deductions. F2: Reflects the disposition of the reporting person's 82,680 shares of Issuer PSUs upon the consummation of the Merger. Pursuant to the Merger Agreement, at the Effective Time, each outstanding performance restricted stock unit award granted under any Issuer Stock Plan that vests based on achievement of any performance condition and the passage of time (each, an "Issuer PSU"), whether vested but unsettled or unvested, was canceled and converted into the right to receive an amount in cash, without interest, equal to the product of (1) the Merger Consideration and (2) the aggregate number of shares of Issuer Common Stock underlying such Issuer PSU (determined as if all performance conditions in the applicable award agreements relating to such Issuer PSU have been satisfied as of immediately prior to the Effective Time), less applicable taxes and authorized deductions. F3: Includes 2,680 Issuer PSUs which were previously withheld in error by the Issuer in connection with the net settlement of the reporting person's Issuer PSUs. F4: Reflects the disposition of the reporting person's 148,900 shares of Issuer RSUs upon the consummation of the Merger. Pursuant to the Merger Agreement, at the Effective Time, each outstanding restricted stock unit award granted under any Issuer Stock Plan (each, an "Issuer RSU"), whether vested but unsettled or unvested, was canceled and converted into the right to receive an amount in cash, without interest, equal to the product of (1) the Merger Consideration and (2) the aggregate number of shares of Issuer Common Stock underlying such Issuer RSU, less applicable taxes and authorized deductions. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $8.69 · Expires 2031-08-09 | Direct | 0 |
Reported balance
After 2023-04-04 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2023-04-04 · Disposition to issuer · Disposed 150,000 · Balance 0 F5: Pursuant to the Merger Agreement, at the Effective Time, each outstanding and unexercised option to purchase shares of Issuer Common Stock granted under the Issuer's 2006 Stock Option Plan, 2016 Equity Incentive Plan or 2017 Equity Incentive Plan or pursuant to the "inducement" grant exception under Rule 5635(c)(4) of the Nasdaq Listing Rules (collectively, the "Issuer Stock Plans", and each such option, an "Issuer Option"), whether vested or unvested, was canceled and converted into the right to receive an amount in cash, without interest, equal to the product of (1) the amount by which the Merger Consideration exceeds the exercise price per share applicable to such Issuer Option and (2) the aggregate number of shares of Issuer Common Stock issuable upon exercise of such Issuer Option, less applicable taxes and authorized deductions. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.95 · Expires 2032-06-14 | Direct | 0 |
Reported balance
After 2023-04-04 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2023-04-04 · Disposition to issuer · Disposed 120,834 · Balance 0 F5: Pursuant to the Merger Agreement, at the Effective Time, each outstanding and unexercised option to purchase shares of Issuer Common Stock granted under the Issuer's 2006 Stock Option Plan, 2016 Equity Incentive Plan or 2017 Equity Incentive Plan or pursuant to the "inducement" grant exception under Rule 5635(c)(4) of the Nasdaq Listing Rules (collectively, the "Issuer Stock Plans", and each such option, an "Issuer Option"), whether vested or unvested, was canceled and converted into the right to receive an amount in cash, without interest, equal to the product of (1) the amount by which the Merger Consideration exceeds the exercise price per share applicable to such Issuer Option and (2) the aggregate number of shares of Issuer Common Stock issuable upon exercise of such Issuer Option, less applicable taxes and authorized deductions. |
Filing footnotes · ownership attribution and instrument terms
F1: Reflects the disposition of the reporting person's 103,750 shares of Issuer common stock, par value $0.001 per share ("Issuer Common Stock"), upon the consummation of the transactions contemplated by the Agreement and Plan of Merger (the "Merger Agreement"), dated as of November 29, 2022, among the Issuer, Boston Scientific Corporation ("Parent") and Textile Merger Sub, Inc., an indirect wholly owned subsidiary of Parent ("Merger Sub"), including the consummation of the merger between Issuer and Merger Sub on April 4, 2023 (the "Merger"). Pursuant to the Merger Agreement, at the effective time of the Merger (the "Effective Time"), each outstanding share of Issuer Common Stock, was canceled and converted automatically into the right to receive $10.00 in cash, without interest (the "Merger Consideration"), less applicable taxes and authorized deductions.
F2: Reflects the disposition of the reporting person's 82,680 shares of Issuer PSUs upon the consummation of the Merger. Pursuant to the Merger Agreement, at the Effective Time, each outstanding performance restricted stock unit award granted under any Issuer Stock Plan that vests based on achievement of any performance condition and the passage of time (each, an "Issuer PSU"), whether vested but unsettled or unvested, was canceled and converted into the right to receive an amount in cash, without interest, equal to the product of (1) the Merger Consideration and (2) the aggregate number of shares of Issuer Common Stock underlying such Issuer PSU (determined as if all performance conditions in the applicable award agreements relating to such Issuer PSU have been satisfied as of immediately prior to the Effective Time), less applicable taxes and authorized deductions.
F3: Includes 2,680 Issuer PSUs which were previously withheld in error by the Issuer in connection with the net settlement of the reporting person's Issuer PSUs.
F4: Reflects the disposition of the reporting person's 148,900 shares of Issuer RSUs upon the consummation of the Merger. Pursuant to the Merger Agreement, at the Effective Time, each outstanding restricted stock unit award granted under any Issuer Stock Plan (each, an "Issuer RSU"), whether vested but unsettled or unvested, was canceled and converted into the right to receive an amount in cash, without interest, equal to the product of (1) the Merger Consideration and (2) the aggregate number of shares of Issuer Common Stock underlying such Issuer RSU, less applicable taxes and authorized deductions.
F5: Pursuant to the Merger Agreement, at the Effective Time, each outstanding and unexercised option to purchase shares of Issuer Common Stock granted under the Issuer's 2006 Stock Option Plan, 2016 Equity Incentive Plan or 2017 Equity Incentive Plan or pursuant to the "inducement" grant exception under Rule 5635(c)(4) of the Nasdaq Listing Rules (collectively, the "Issuer Stock Plans", and each such option, an "Issuer Option"), whether vested or unvested, was canceled and converted into the right to receive an amount in cash, without interest, equal to the product of (1) the amount by which the Merger Consideration exceeds the exercise price per share applicable to such Issuer Option and (2) the aggregate number of shares of Issuer Common Stock issuable upon exercise of such Issuer Option, less applicable taxes and authorized deductions.
STANDARD BIOTOOLS INC.
Report date August 20, 2024 · Filed September 05, 2024
Section 16 reporting ended · disclosed 2024-09-05. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 421,608 |
Reported balance
After 2024-08-20 transaction · row 1
1 source rowRow 1 · 2024-08-20 · Tax withholding · Disposed 6,690 · Balance 421,608 F1: The shares were withheld from the reporting person to satisfy the tax withholding obligations that arose upon the vesting of restricted stock units granted to the reporting person on May 20, 2024, which grant was originally reported on Form 4 filed with the U.S. Securities and Exchange Commission on May 21, 2024. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares were withheld from the reporting person to satisfy the tax withholding obligations that arose upon the vesting of restricted stock units granted to the reporting person on May 20, 2024, which grant was originally reported on Form 4 filed with the U.S. Securities and Exchange Commission on May 21, 2024.
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 |
|---|---|---|---|---|---|---|
| September 01, 2026 Filed Sep 2, 2026 21:39 UTC | EXAGEN INC. XGN · Entity 935 | GrantCommon Stock | 1,571 | $3.02 | $4,740.49 |
DisclosureSEC source: 0001449439-26-000007 · wk-form4_1788385162.xml · nonDerivative · entry 2 Black Jeffrey G. · CIK 0001449439 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 324,910 F2 · security: The reporting person is voluntarily reporting the acquisition of the common stock pursuant to the Issuer's Employee Stock Purchase Plan ("ESPP"). F3 · price: Represents shares of common stock purchased through the ESPP in transactions that were exempt under both Rule 16b-3(d) and Rule 16b-3(c). Read SEC document |
| September 01, 2026 Filed Sep 2, 2026 21:39 UTC | EXAGEN INC. XGN · Entity 935 | SaleCommon Stock | 20,614 | $7.22 | $148,781.55 |
DisclosureSEC source: 0001449439-26-000007 · wk-form4_1788385162.xml · nonDerivative · entry 1 Black Jeffrey G. · CIK 0001449439 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 323,339 F1 · kind: The sale reported on this Form 4 represents shares sold by the Reporting Person, at the direction of the Issuer, to cover tax withholding obligations in connection with the vesting and settlement of Restricted Stock Units. The sale is mandated solely by the Issuer and does not represent a discretionary transaction by the Reporting Person. Read SEC document |
| March 12, 2026 Filed Mar 16, 2026 19:17 UTC | EXAGEN INC. XGN · Entity 935 | GrantStock Option(right to buy) · Derivative | 50,000 | $3.16 Strike: $3.16 | $158,000.00 |
DisclosureSEC source: 0001449439-26-000005 · wk-form4_1773703046.xml · derivative · entry 3 Black Jeffrey G. · CIK 0001449439 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 60,000 Underlying: Common Stock · 50,000 shares Expires 2036-03-11 F4 · derivative.exercise_date: The option is exercisable as it vests. 25% of the shares subject to the option vest on February 21, 2027, and 1/48th of the total number of shares subject to the option vest at the end of each calendar month thereafter, subject to the Reporting Person's continued service to the Issuer through each such vesting date. In addition, the stock option may become fully vested upon a qualifying termination of employment in connection with a change in control. Read SEC document |
| March 12, 2026 Filed Mar 16, 2026 19:17 UTC | EXAGEN INC. XGN · Entity 935 | GrantCommon Stock | 75,000 | $3.16 | $237,000.00 |
DisclosureSEC source: 0001449439-26-000005 · wk-form4_1773703046.xml · nonDerivative · entry 1 Black Jeffrey G. · CIK 0001449439 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 342,442 F1 · kind: The securities awarded are in the form of restricted stock units under the issuer's 2019 Incentive Award Plan. Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. The restricted stock unit will vest with respect to 25% of the restricted stock units on each of the first, second, third and fourth anniversaries of February 21, 2026, subject to the Reporting Person's continued service through the applicable vesting date. In addition, the award may become fully vested upon a qualifying termination of employment in connection with a change in control. Read SEC document |
| February 27, 2026 Filed Mar 16, 2026 19:17 UTC | EXAGEN INC. XGN · Entity 935 | GrantCommon Stock | 1,511 | $3.08 | $4,649.35 |
DisclosureSEC source: 0001449439-26-000005 · wk-form4_1773703046.xml · nonDerivative · entry 2 Black Jeffrey G. · CIK 0001449439 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 343,953 F2 · security: The reporting person is voluntarily reporting the acquisition of the Issuer's common stock pursuant to the Employee Stock Purchase Plan ("ESPP"). F3 · shares: Represents shares of common stock purchased through ESPP in transactions that were exempt under both Rule 16b-3(d) and Rule 16b-3(c). Read SEC document |
| February 24, 2026 Filed Feb 25, 2026 19:11 UTC | EXAGEN INC. XGN · Entity 935 | SaleCommon Stock | 1,584 | $3.61 | $5,718.24 |
DisclosureSEC source: 0001449439-26-000003 · wk-form4_1772064661.xml · nonDerivative · entry 1 Black Jeffrey G. · CIK 0001449439 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 267,442 F1 · kind: The sale reported on this Form 4 represents shares sold by the Reporting Person, at the direction of the Issuer, to cover tax withholding obligations in connection with the vesting and settlement of Restricted Stock Units. The sale is mandated solely by the Issuer and does not represent a discretionary transaction by the Reporting Person. Read SEC document |
| September 02, 2025 Filed Sep 4, 2025 19:40 UTC | EXAGEN INC. XGN · Entity 935 | SaleCommon Stock | 20,466 | $9.79 | $200,362.14 |
DisclosureSEC source: 0001628280-25-041688 · wk-form4_1757029236.xml · nonDerivative · entry 1 Black Jeffrey G. · CIK 0001449439 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 269,026 F1 · kind: The sale reported on this Form 4 represents shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of Restricted Stock Units ("RSUs"). The sale is mandated by the Issuer's election to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary transaction by the Reporting Person. Read SEC document |
| February 21, 2025 Filed Feb 25, 2025 20:59 UTC | EXAGEN INC. XGN · Entity 935 | GrantStock Option(right to buy) · Derivative | 10,000 | $3.58 Strike: $3.58 | $35,800.00 |
DisclosureSEC source: 0001274737-25-000011 · wk-form4_1740535163.xml · derivative · entry 2 Black Jeffrey G. · CIK 0001449439 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 10,000 Underlying: Common Stock · 10,000 shares Expires 2035-02-20 F2 · derivative.exercise_date: The option is exercisable as it vests. 25% of the shares subject to the option vest on February 21, 2026, and 1/48th of the total number of shares subject to the option vest at the end of each calendar month thereafter, subject to the Reporting Person's continued service to the Issuer through each such vesting date. In addition, the stock option may become fully vested upon a qualifying termination of employment in connection with a change in control. Read SEC document |
| February 21, 2025 Filed Feb 25, 2025 20:59 UTC | EXAGEN INC. XGN · Entity 935 | GrantCommon Stock | 15,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001274737-25-000011 · wk-form4_1740535163.xml · nonDerivative · entry 1 Black Jeffrey G. · CIK 0001449439 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 289,492 F1 · shares: The securities awarded are in the form of restricted stock units under the issuer's 2019 Incentive Award Plan. Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. The restricted stock unit will vest with respect to 25% of the restricted stock units on each of the first, second, third and fourth anniversaries of February 21, 2025, subject to the Reporting Person's continued service through the applicable vesting date. In addition, the award may become fully vested upon a qualifying termination of employment in connection with a change in control. Read SEC document |
| November 15, 2024 Filed Nov 19, 2024 19:24 UTC | EXAGEN INC. XGN · Entity 935 | PurchaseCommon Stock | 22,298 | $2.98 | $66,448.04 |
DisclosureSEC source: 0001274737-24-000096 · wk-form4_1732062271.xml · nonDerivative · entry 1 Black Jeffrey G. · CIK 0001449439 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 274,492 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.84 to $3.25, inclusive. The reporting person undertakes to provide Exagen Inc., any security holder of Exagen Inc., 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 ranges set forth in footnote (1) to this form 4. Read SEC document |
| September 01, 2024 Filed Sep 4, 2024 18:12 UTC | EXAGEN INC. XGN · Entity 935 | GrantCommon Stock | 225,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001274737-24-000084 · wk-form4_1725484460.xml · nonDerivative · entry 1 Black Jeffrey G. · CIK 0001449439 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 252,194 F1 · shares: The securities awarded are in the form of restricted stock units under the issuer's 2019 Incentive Award Plan. Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. The restricted stock unit will vest with respect to 25% of the restricted stock units on each of the first, second, third and fourth anniversaries of September 1, 2024, subject to the Reporting Person's continued service through the applicable vesting date. In addition, the award may become fully vested upon a qualifying termination of employment in connection with a change in control. Read SEC document |
| August 20, 2024 Filed Sep 5, 2024 22:00 UTC | STANDARD BIOTOOLS INC. LAB · Entity 6116 | Tax withholdingCommon Stock | 6,690 | $1.91 | $12,777.90 |
DisclosureSEC source: 0000950170-24-104133 · ownership.xml · nonDerivative · entry 1 Black Jeffrey G. · CIK 0001449439 · SVP & Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 421,608 F1 · shares: The shares were withheld from the reporting person to satisfy the tax withholding obligations that arose upon the vesting of restricted stock units granted to the reporting person on May 20, 2024, which grant was originally reported on Form 4 filed with the U.S. Securities and Exchange Commission on May 21, 2024. Read SEC document |
| August 15, 2024 Filed Aug 19, 2024 21:30 UTC | STANDARD BIOTOOLS INC. LAB · Entity 6116 | Exercise / conversionRestricted Stock Units · Derivative | 13,157 | $0.00 | $0.00 |
DisclosureSEC source: 0000950170-24-098700 · ownership.xml · derivative · entry 3 Black Jeffrey G. · CIK 0001449439 · SVP & Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 144,738 Underlying: Common Stock · 13,157 shares Expires not disclosed 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_price: Each RSU represents the contingent right to receive one share of the Issuer's common stock. F3 · derivative.exercise_date: On May 15, 2023, the Reporting Person was granted 210,526 RSUs. 1/4th of the RSUs vested on May 15, 2024 and 1/16th of the RSUs vested on August 15, 2024. The remaining unvested RSUs will be forfeited due to the resignation of the Reporting Person effective as of August 31, 2024. F3 · derivative.expiration_date: On May 15, 2023, the Reporting Person was granted 210,526 RSUs. 1/4th of the RSUs vested on May 15, 2024 and 1/16th of the RSUs vested on August 15, 2024. The remaining unvested RSUs will be forfeited due to the resignation of the Reporting Person effective as of August 31, 2024. Read SEC document |
| August 15, 2024 Filed Aug 19, 2024 21:30 UTC | STANDARD BIOTOOLS INC. LAB · Entity 6116 | Tax withholdingCommon Stock | 4,695 | $1.55 | $7,277.25 |
DisclosureSEC source: 0000950170-24-098700 · ownership.xml · nonDerivative · entry 2 Black Jeffrey G. · CIK 0001449439 · SVP & Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 428,298 F1 · shares: The shares were withheld from the reporting person to satisfy the tax withholding obligations that arose upon the vesting of restricted stock units ("RSUs") granted to the reporting person on May 15, 2023, which grant was originally reported on Form 4 filed with the U.S. Securities and Exchange Commission on May 17, 2023. Read SEC document |
| August 15, 2024 Filed Aug 19, 2024 21:30 UTC | STANDARD BIOTOOLS INC. LAB · Entity 6116 | Exercise / conversionCommon Stock | 13,157 | $0.00 | $0.00 |
DisclosureSEC source: 0000950170-24-098700 · ownership.xml · nonDerivative · entry 1 Black Jeffrey G. · CIK 0001449439 · SVP & Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 432,993 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. Read SEC document |
| May 20, 2024 Filed May 21, 2024 21:35 UTC | STANDARD BIOTOOLS INC. LAB · Entity 6116 | GrantStock Option (Right to Buy) · Derivative | 400,000 | $0.00 Strike: $2.58 | $0.00 |
DisclosureSEC source: 0000950170-24-063094 · ownership.xml · derivative · entry 2 Black Jeffrey G. · CIK 0001449439 · SVP & Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 400,000 Underlying: Common Stock · 400,000 shares Expires 2034-05-20 F2 · derivative.exercise_date: The Option becomes exercisable as to 1/16th of the underlying shares on August 20, 2024, with the remaining shares vesting in equal quarterly installments over four years thereafter, subject to the Reporting Person's continued service through the applicable vesting date. Read SEC document |
| May 20, 2024 Filed May 21, 2024 21:35 UTC | STANDARD BIOTOOLS INC. LAB · Entity 6116 | GrantCommon Stock | 300,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000950170-24-063094 · ownership.xml · nonDerivative · entry 1 Black Jeffrey G. · CIK 0001449439 · SVP & Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 419,836 F1 · shares: Represents Restricted Stock Units ("RSUs") that vest as to 1/16th of the RSUs on August 20, 2024, with the remaining RSUs vesting in equally quarterly installments over four years thereafter, subject to the Reporting Person's continued service through the applicable vesting date. Each RSU represents the right to receive one share of common stock upon vesting. Read SEC document |
| May 15, 2024 Filed May 17, 2024 01:07 UTC | STANDARD BIOTOOLS INC. LAB · Entity 6116 | Exercise / conversionCommon Stock · Derivative | 52,631 | $0.00 | $0.00 |
DisclosureSEC source: 0000950170-24-061315 · ownership.xml · derivative · entry 3 Black Jeffrey G. · CIK 0001449439 · SVP & Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 157,895 Underlying: Common Stock · 52,631 shares Expires not disclosed 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_price: Each RSU represents the contingent right to receive one share of the Issuer's common stock. F3 · derivative.exercise_date: On May 15, 2023, the Reporting Person was granted 210,526 RSUs. 1/4th of the RSUs vested on May 15, 2024 and the remaining RSUs will vest in twelve equal quarterly installments thereafter. F3 · derivative.expiration_date: On May 15, 2023, the Reporting Person was granted 210,526 RSUs. 1/4th of the RSUs vested on May 15, 2024 and the remaining RSUs will vest in twelve equal quarterly installments thereafter. Read SEC document |
| May 15, 2024 Filed May 17, 2024 01:07 UTC | STANDARD BIOTOOLS INC. LAB · Entity 6116 | Tax withholdingCommon Stock | 18,779 | $2.54 | $47,698.66 |
DisclosureSEC source: 0000950170-24-061315 · ownership.xml · nonDerivative · entry 2 Black Jeffrey G. · CIK 0001449439 · SVP & Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 119,836 F1 · shares: The shares were withheld from the reporting person to satisfy the tax withholding obligations that arose upon the vesting of restricted stock units ("RSUs") granted to the reporting person on May 15, 2023, which grant was originally reported on Form 4 filed with the U.S. Securities and Exchange Commission on May 17, 2023. Read SEC document |
| May 15, 2024 Filed May 17, 2024 01:07 UTC | STANDARD BIOTOOLS INC. LAB · Entity 6116 | Exercise / conversionCommon Stock | 52,631 | $0.00 | $0.00 |
DisclosureSEC source: 0000950170-24-061315 · ownership.xml · nonDerivative · entry 1 Black Jeffrey G. · CIK 0001449439 · SVP & Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 138,615 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. Read SEC document |
| May 19, 2023 Filed May 22, 2023 22:49 UTC | STANDARD BIOTOOLS INC. LAB · Entity 6116 | PurchaseCommon Stock | 42,492 | $2.29 | $97,213.20 |
DisclosureSEC source: 0001162194-23-000030 · wf-form4_168479578184518.xml · nonDerivative · entry 2 Black Jeffrey G. · CIK 0001449439 · SVP & Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 85,984 F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions within the range of $2.23 to $2.32. Full information regarding the number of shares purchased at each price shall be provided upon request to the staff of the U.S. Securities and Exchange Commission, the Issuer, or a security holder of the Issuer. Read SEC document |
| May 18, 2023 Filed May 22, 2023 22:49 UTC | STANDARD BIOTOOLS INC. LAB · Entity 6116 | PurchaseCommon Stock | 43,492 | $2.22 | $96,365.22 |
DisclosureSEC source: 0001162194-23-000030 · wf-form4_168479578184518.xml · nonDerivative · entry 1 Black Jeffrey G. · CIK 0001449439 · SVP & Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 43,492 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions within the range of $2.14 to $2.28. Full information regarding the number of shares purchased at each price shall be provided upon request to the staff of the U.S. Securities and Exchange Commission, the Issuer, or a security holder of the Issuer. Read SEC document |
| May 15, 2023 Filed May 18, 2023 01:10 UTC | STANDARD BIOTOOLS INC. LAB · Entity 6116 | GrantStock Option (Right to Buy) · Derivative | 400,000 | $0.00 Strike: $1.90 | $0.00 |
DisclosureSEC source: 0001162194-23-000028 · wf-form4_168437220935635.xml · derivative · entry 2 Black Jeffrey G. · CIK 0001449439 · SVP & Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 400,000 Underlying: Common Stock · 400,000 shares Expires 2033-05-15 F3 · derivative.exercise_date: The Option becomes exercisable as to 1/4th of the underlying shares on May 15, 2024, and as to an additional 1/48th of the total number of shares each month thereafter, subject to Mr. Black's continued service through the applicable vesting date. Read SEC document |
| May 15, 2023 Filed May 18, 2023 01:10 UTC | STANDARD BIOTOOLS INC. LAB · Entity 6116 | GrantRestricted Stock Units · Derivative | 210,526 | $0.00 | $0.00 |
DisclosureSEC source: 0001162194-23-000028 · wf-form4_168437220935635.xml · derivative · entry 1 Black Jeffrey G. · CIK 0001449439 · SVP & Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 210,526 Underlying: Common Stock · 210,526 shares Expires not disclosed F1 · derivative.exercise_price: Each Restricted Stock Unit represents the contingent right to receive one share of LAB common stock. F2 · derivative.exercise_date: Restricted Stock Units vest as to 1/4 of the underlying shares on May 15, 2024, and as to an additional 1/16th of the total number of shares every three months thereafter, subject to Mr. Black's continued service through the applicable vesting date. F2 · derivative.expiration_date: Restricted Stock Units vest as to 1/4 of the underlying shares on May 15, 2024, and as to an additional 1/16th of the total number of shares every three months thereafter, subject to Mr. Black's continued service through the applicable vesting date. Read SEC document |
| April 04, 2023 Filed Apr 4, 2023 19:54 UTC | Apollo Endosurgery, Inc. APEN · Entity 114713 | Disposition to issuerStock Option (Right to Buy) · Derivative | 120,834 | Not disclosed Strike: $3.95 | Not disclosed |
DisclosureSEC source: 0001251769-23-000022 · wf-form4_168065245438395.xml · derivative · entry 3 Black Jeffrey G. · CIK 0001449439 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 120,834 shares Expires 2032-06-14 F5 · price: Pursuant to the Merger Agreement, at the Effective Time, each outstanding and unexercised option to purchase shares of Issuer Common Stock granted under the Issuer's 2006 Stock Option Plan, 2016 Equity Incentive Plan or 2017 Equity Incentive Plan or pursuant to the "inducement" grant exception under Rule 5635(c)(4) of the Nasdaq Listing Rules (collectively, the "Issuer Stock Plans", and each such option, an "Issuer Option"), whether vested or unvested, was canceled and converted into the right to receive an amount in cash, without interest, equal to the product of (1) the amount by which the Merger Consideration exceeds the exercise price per share applicable to such Issuer Option and (2) the aggregate number of shares of Issuer Common Stock issuable upon exercise of such Issuer Option, less applicable taxes and authorized deductions. F5 · derivative.exercise_date: Pursuant to the Merger Agreement, at the Effective Time, each outstanding and unexercised option to purchase shares of Issuer Common Stock granted under the Issuer's 2006 Stock Option Plan, 2016 Equity Incentive Plan or 2017 Equity Incentive Plan or pursuant to the "inducement" grant exception under Rule 5635(c)(4) of the Nasdaq Listing Rules (collectively, the "Issuer Stock Plans", and each such option, an "Issuer Option"), whether vested or unvested, was canceled and converted into the right to receive an amount in cash, without interest, equal to the product of (1) the amount by which the Merger Consideration exceeds the exercise price per share applicable to such Issuer Option and (2) the aggregate number of shares of Issuer Common Stock issuable upon exercise of such Issuer Option, less applicable taxes and authorized deductions. Read SEC document |
| April 04, 2023 Filed Apr 4, 2023 19:54 UTC | Apollo Endosurgery, Inc. APEN · Entity 114713 | Disposition to issuerStock Option (Right to Buy) · Derivative | 150,000 | Not disclosed Strike: $8.69 | Not disclosed |
DisclosureSEC source: 0001251769-23-000022 · wf-form4_168065245438395.xml · derivative · entry 2 Black Jeffrey G. · CIK 0001449439 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 150,000 shares Expires 2031-08-09 F5 · price: Pursuant to the Merger Agreement, at the Effective Time, each outstanding and unexercised option to purchase shares of Issuer Common Stock granted under the Issuer's 2006 Stock Option Plan, 2016 Equity Incentive Plan or 2017 Equity Incentive Plan or pursuant to the "inducement" grant exception under Rule 5635(c)(4) of the Nasdaq Listing Rules (collectively, the "Issuer Stock Plans", and each such option, an "Issuer Option"), whether vested or unvested, was canceled and converted into the right to receive an amount in cash, without interest, equal to the product of (1) the amount by which the Merger Consideration exceeds the exercise price per share applicable to such Issuer Option and (2) the aggregate number of shares of Issuer Common Stock issuable upon exercise of such Issuer Option, less applicable taxes and authorized deductions. F5 · derivative.exercise_date: Pursuant to the Merger Agreement, at the Effective Time, each outstanding and unexercised option to purchase shares of Issuer Common Stock granted under the Issuer's 2006 Stock Option Plan, 2016 Equity Incentive Plan or 2017 Equity Incentive Plan or pursuant to the "inducement" grant exception under Rule 5635(c)(4) of the Nasdaq Listing Rules (collectively, the "Issuer Stock Plans", and each such option, an "Issuer Option"), whether vested or unvested, was canceled and converted into the right to receive an amount in cash, without interest, equal to the product of (1) the amount by which the Merger Consideration exceeds the exercise price per share applicable to such Issuer Option and (2) the aggregate number of shares of Issuer Common Stock issuable upon exercise of such Issuer Option, less applicable taxes and authorized deductions. Read SEC document |
| April 04, 2023 Filed Apr 4, 2023 19:54 UTC | Apollo Endosurgery, Inc. APEN · Entity 114713 | Disposition to issuerCommon Stock | 335,330 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001251769-23-000022 · wf-form4_168065245438395.xml · nonDerivative · entry 1 Black Jeffrey G. · CIK 0001449439 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 F1 · shares: Reflects the disposition of the reporting person's 103,750 shares of Issuer common stock, par value $0.001 per share ("Issuer Common Stock"), upon the consummation of the transactions contemplated by the Agreement and Plan of Merger (the "Merger Agreement"), dated as of November 29, 2022, among the Issuer, Boston Scientific Corporation ("Parent") and Textile Merger Sub, Inc., an indirect wholly owned subsidiary of Parent ("Merger Sub"), including the consummation of the merger between Issuer and Merger Sub on April 4, 2023 (the "Merger"). Pursuant to the Merger Agreement, at the effective time of the Merger (the "Effective Time"), each outstanding share of Issuer Common Stock, was canceled and converted automatically into the right to receive $10.00 in cash, without interest (the "Merger Consideration"), less applicable taxes and authorized deductions. F2 · shares: Reflects the disposition of the reporting person's 82,680 shares of Issuer PSUs upon the consummation of the Merger. Pursuant to the Merger Agreement, at the Effective Time, each outstanding performance restricted stock unit award granted under any Issuer Stock Plan that vests based on achievement of any performance condition and the passage of time (each, an "Issuer PSU"), whether vested but unsettled or unvested, was canceled and converted into the right to receive an amount in cash, without interest, equal to the product of (1) the Merger Consideration and (2) the aggregate number of shares of Issuer Common Stock underlying such Issuer PSU (determined as if all performance conditions in the applicable award agreements relating to such Issuer PSU have been satisfied as of immediately prior to the Effective Time), less applicable taxes and authorized deductions. F3 · shares: Includes 2,680 Issuer PSUs which were previously withheld in error by the Issuer in connection with the net settlement of the reporting person's Issuer PSUs. F4 · shares: Reflects the disposition of the reporting person's 148,900 shares of Issuer RSUs upon the consummation of the Merger. Pursuant to the Merger Agreement, at the Effective Time, each outstanding restricted stock unit award granted under any Issuer Stock Plan (each, an "Issuer RSU"), whether vested but unsettled or unvested, was canceled and converted into the right to receive an amount in cash, without interest, equal to the product of (1) the Merger Consideration and (2) the aggregate number of shares of Issuer Common Stock underlying such Issuer RSU, less applicable taxes and authorized deductions. F1 · price: Reflects the disposition of the reporting person's 103,750 shares of Issuer common stock, par value $0.001 per share ("Issuer Common Stock"), upon the consummation of the transactions contemplated by the Agreement and Plan of Merger (the "Merger Agreement"), dated as of November 29, 2022, among the Issuer, Boston Scientific Corporation ("Parent") and Textile Merger Sub, Inc., an indirect wholly owned subsidiary of Parent ("Merger Sub"), including the consummation of the merger between Issuer and Merger Sub on April 4, 2023 (the "Merger"). Pursuant to the Merger Agreement, at the effective time of the Merger (the "Effective Time"), each outstanding share of Issuer Common Stock, was canceled and converted automatically into the right to receive $10.00 in cash, without interest (the "Merger Consideration"), less applicable taxes and authorized deductions. F2 · price: Reflects the disposition of the reporting person's 82,680 shares of Issuer PSUs upon the consummation of the Merger. Pursuant to the Merger Agreement, at the Effective Time, each outstanding performance restricted stock unit award granted under any Issuer Stock Plan that vests based on achievement of any performance condition and the passage of time (each, an "Issuer PSU"), whether vested but unsettled or unvested, was canceled and converted into the right to receive an amount in cash, without interest, equal to the product of (1) the Merger Consideration and (2) the aggregate number of shares of Issuer Common Stock underlying such Issuer PSU (determined as if all performance conditions in the applicable award agreements relating to such Issuer PSU have been satisfied as of immediately prior to the Effective Time), less applicable taxes and authorized deductions. F4 · price: Reflects the disposition of the reporting person's 148,900 shares of Issuer RSUs upon the consummation of the Merger. Pursuant to the Merger Agreement, at the Effective Time, each outstanding restricted stock unit award granted under any Issuer Stock Plan (each, an "Issuer RSU"), whether vested but unsettled or unvested, was canceled and converted into the right to receive an amount in cash, without interest, equal to the product of (1) the Merger Consideration and (2) the aggregate number of shares of Issuer Common Stock underlying such Issuer RSU, less applicable taxes and authorized deductions. Read SEC document |
| November 04, 2022 Filed Nov 4, 2022 18:22 UTC | Apollo Endosurgery, Inc. APEN · Entity 114713 | Tax withholdingCommon Stock | 15,060 | $6.46 | $97,287.60 |
DisclosureSEC source: 0001251769-22-000085 · wf-form4_166760052642987.xml · nonDerivative · entry 1 Black Jeffrey G. · CIK 0001449439 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 332,650 F1 · kind: This transaction is not a sale of shares by the Reporting Person in the open market. Instead, this represents shares that have been withheld by the Issuer to satisfy the Reporting Person's income tax and withholding obligation in connection with the vesting of the first tranche of previously reported performance-based vesting restricted stock units reported on the Form 4 dated August 11, 2021. This net settlement was approved by the Issuer's compensation committee. Read SEC document |
| August 05, 2022 Filed Aug 5, 2022 18:06 UTC | Apollo Endosurgery, Inc. APEN · Entity 114713 | Tax withholdingCommon Stock | 6,190 | $6.46 | $39,987.40 |
DisclosureSEC source: 0001251769-22-000074 · wf-form4_165973719247854.xml · nonDerivative · entry 1 Black Jeffrey G. · CIK 0001449439 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 347,710 F1 · kind: This transaction is not a sale of shares by the Reporting Person in the open market. Instead, this represents shares that have been withheld by the Issuer to satisfy the Reporting Person's income tax and withholding obligation in connection with the vesting of the previously reported time-based vesting restricted stock units reported on the Form 4 dated August 11, 2021. This net settlement was approved by the Issuer's compensation committee. Read SEC document |
| June 14, 2022 Filed Jun 16, 2022 21:18 UTC | Apollo Endosurgery, Inc. APEN · Entity 114713 | GrantStock Option (Right to Buy) · Derivative | 120,834 | $0.00 Strike: $3.95 | $0.00 |
DisclosureSEC source: 0001251769-22-000055 · wf-form4_165542868589457.xml · derivative · entry 2 Black Jeffrey G. · CIK 0001449439 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 120,834 Underlying: Common Stock · 120,834 shares Expires 2032-06-14 F2 · derivative.exercise_date: The shares underlying the option shall vest as to 25% on the first anniversary of the grant date and the remainder will vest in equal monthly installments over the following three years, subject to the Reporting Person providing continuous service to the Issuer through each such date. Accelerated vesting may occur in the event of a Change in Control, as that term is defined in the Apollo Endosurgery, Inc. 2017 Equity Incentive Plan. Read SEC document |
| June 14, 2022 Filed Jun 16, 2022 21:18 UTC | Apollo Endosurgery, Inc. APEN · Entity 114713 | GrantCommon Stock | 88,900 | $0.00 | $0.00 |
DisclosureSEC source: 0001251769-22-000055 · wf-form4_165542868589457.xml · nonDerivative · entry 1 Black Jeffrey G. · CIK 0001449439 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 353,900 F1 · shares: Represents the grant of Restricted Stock Units ("RSUs"). Each RSU provides the Reporting Person with a contingent right to receive one share of the Issuer's common stock pursuant to the Issuer's 2017 Equity Incentive Plan (the "Plan"). The RSUs vest in equal annual installments over four years commencing on the grant date, subject to the Reporting Person providing continuous service to the Issuer through each such date. Accelerated vesting may occur in the event of a Change in Control, as that term is defined in the Plan. Read SEC document |
| March 01, 2022 Filed Mar 1, 2022 18:22 UTC | Apollo Endosurgery, Inc. APEN · Entity 114713 | PurchaseCommon Stock | 10,000 | $6.20 | $62,000.00 |
DisclosureSEC source: 0001251769-22-000020 · wf-form4_164617694654276.xml · nonDerivative · entry 3 Black Jeffrey G. · CIK 0001449439 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 265,000 F3 · price: Represents weighted average price of shares purchased. Prices ranged between $5.80 - $6.30, inclusive. The holder undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. Read SEC document |
| February 28, 2022 Filed Mar 1, 2022 18:22 UTC | Apollo Endosurgery, Inc. APEN · Entity 114713 | PurchaseCommon Stock | 15,000 | $5.66 | $84,900.00 |
DisclosureSEC source: 0001251769-22-000020 · wf-form4_164617694654276.xml · nonDerivative · entry 2 Black Jeffrey G. · CIK 0001449439 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 255,000 F2 · price: Represents weighted average price of shares purchased. Prices ranged between $5.58 - $5.76, inclusive. The holder undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. Read SEC document |
| February 25, 2022 Filed Mar 1, 2022 18:22 UTC | Apollo Endosurgery, Inc. APEN · Entity 114713 | PurchaseCommon Stock | 15,000 | $5.48 | $82,200.00 |
DisclosureSEC source: 0001251769-22-000020 · wf-form4_164617694654276.xml · nonDerivative · entry 1 Black Jeffrey G. · CIK 0001449439 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 240,000 F1 · price: Represents weighted average price of shares purchased. Prices ranged between $5.40 - $5.50, inclusive. The holder undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. Read SEC document |
| August 11, 2021 Filed Aug 11, 2021 20:25 UTC | Apollo Endosurgery, Inc. APEN · Entity 114713 | PurchaseCommon Stock | 25,000 | $8.75 | $218,750.00 |
DisclosureSEC source: 0001251769-21-000103 · wf-form4_162872789954355.xml · nonDerivative · entry 1 Black Jeffrey G. · CIK 0001449439 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 F1 · price: Represents weighted average price of shares purchased. Prices ranged between $8.40 - $9.00, inclusive. The holder undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares purchase at each separate price within the range set forth in this footnote. Read SEC document |
| August 09, 2021 Filed Aug 11, 2021 20:25 UTC | Apollo Endosurgery, Inc. APEN · Entity 114713 | GrantStock Option (Right to Buy) · Derivative | 150,000 | $8.69 Strike: $8.69 | $1,303,500.00 |
DisclosureSEC source: 0001251769-21-000103 · wf-form4_162872789954355.xml · derivative · entry 4 Black Jeffrey G. · CIK 0001449439 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 150,000 Underlying: Common Stock · 150,000 shares Expires 2031-08-09 F4 · date: The shares underlying the option shall vest as to 25% on the first anniversary of the effective date (August 3, 2021) and the remainder will vest in equal monthly installments over the following three years, subject to the Reporting Person providing continuous service to the Issuer through each such date. Accelerated vesting may occur in the event of a Change in Control, as that term is defined in the Apollo Endosurgery, Inc. 2017 Equity Incentive Plan. F4 · derivative.exercise_date: The shares underlying the option shall vest as to 25% on the first anniversary of the effective date (August 3, 2021) and the remainder will vest in equal monthly installments over the following three years, subject to the Reporting Person providing continuous service to the Issuer through each such date. Accelerated vesting may occur in the event of a Change in Control, as that term is defined in the Apollo Endosurgery, Inc. 2017 Equity Incentive Plan. Read SEC document |
| August 09, 2021 Filed Aug 11, 2021 20:25 UTC | Apollo Endosurgery, Inc. APEN · Entity 114713 | GrantCommon Stock | 80,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001251769-21-000103 · wf-form4_162872789954355.xml · nonDerivative · entry 3 Black Jeffrey G. · CIK 0001449439 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 225,000 F3 · date: Represents the grant of RSUs. Each RSU provides the Reporting Person with a contingent right to receive one share of the Issuer's common stock. One quarter of the RSU grant will vest on the first anniversary of the effective date (August 3, 2021) and the remainder will vest in equal annual installments over the following three years, subject to the Reporting Person providing continuous service to the Issuer through each such date. Accelerated vesting may occur in the event of a Change in Control, as that term is defined in the Apollo Endosurgery, Inc. 2017 Equity Incentive Plan. The RSU grant will be governed by the terms of the 2017 Equity Incentive Plan. Read SEC document |
| August 09, 2021 Filed Aug 11, 2021 20:25 UTC | Apollo Endosurgery, Inc. APEN · Entity 114713 | GrantCommon Stock | 120,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001251769-21-000103 · wf-form4_162872789954355.xml · nonDerivative · entry 2 Black Jeffrey G. · CIK 0001449439 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 145,000 F2 · date: Represents the grant of Restricted Stock Units ("RSU"). Each RSU provides the Reporting Person with a contingent right to receive one share of the Issuer's common stock. One third of the RSU grant will vest upon the achievement of revenue for the trailing four quarters equal to each of $70 million, $90 million and $110 million, subject to the Reporting Person providing continuous service to the Issuer through each such date. Accelerated vesting may occur in the event of a Change in Control, as that term is defined in the Apollo Endosurgery, Inc. 2017 Equity Incentive Plan. The RSU grant will be governed by the terms of the 2017 Equity Incentive Plan. Read SEC document |
| March 09, 2021 Filed Mar 10, 2021 21:14 UTC | Alphatec Holdings, Inc. ATEC · Entity 4720 | SaleCommon Stock | 7,000 | $16.69 | $116,830.00 |
DisclosureSEC source: 0001179110-21-003246 · edgar.xml · nonDerivative · entry 1 Black Jeffrey G. · CIK 0001449439 · EVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 620,770 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 5, 2019, as amended November 27, 2020, to satisfy certain tax withholding obligations of the reporting person resulting from the vesting of previously granted restricted stock unit awards. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.12 to $17.10, 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 ranges set forth in this footnote. Read SEC document |
| February 16, 2021 Filed Feb 18, 2021 10:51 UTC | Alphatec Holdings, Inc. ATEC · Entity 4720 | SaleCommon Stock | 25,000 | $16.28 | $407,000.00 |
DisclosureSEC source: 0001179110-21-001849 · edgar.xml · nonDerivative · entry 1 Black Jeffrey G. · CIK 0001449439 · EVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 627,770 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 5, 2019, as amended November 27, 2020. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.10 to $16.50, 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 ranges set forth in this footnote. Read SEC document |
| August 11, 2020 Filed Aug 13, 2020 18:07 UTC | Alphatec Holdings, Inc. ATEC · Entity 4720 | SaleCommon Stock | 5,000 | $6.42 | $32,100.00 |
DisclosureSEC source: 0001179110-20-009015 · edgar.xml · nonDerivative · entry 1 Black Jeffrey G. · CIK 0001449439 · EVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 652,770 Read SEC document |
| August 04, 2020 Filed Aug 6, 2020 18:20 UTC | Alphatec Holdings, Inc. ATEC · Entity 4720 | SaleCommon Stock | 8,929 | $5.03 | $44,912.87 |
DisclosureSEC source: 0001179110-20-008785 · edgar.xml · nonDerivative · entry 1 Black Jeffrey G. · CIK 0001449439 · EVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 657,770 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 5, 2019 to satisfy certain tax withholding obligations of the reporting person resulting from the vesting of previously granted restricted stock unit awards. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.96 to $5.07, 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 ranges set forth in this footnote. Read SEC document |
| May 14, 2020 Filed May 15, 2020 18:37 UTC | Alphatec Holdings, Inc. ATEC · Entity 4720 | Tax withholdingCommon Stock | 23,774 | $4.06 | $96,522.44 |
DisclosureSEC source: 0001179110-20-006120 · edgar.xml · nonDerivative · entry 1 Black Jeffrey G. · CIK 0001449439 · EVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 666,699 F1 · kind: Shares withheld by issuer to satisfy tax withholding obligations of reporting person resulting from vesting of restricted stock units. F1 · shares: Shares withheld by issuer to satisfy tax withholding obligations of reporting person resulting from vesting of restricted stock units. Read SEC document |
| April 22, 2020 Filed Apr 24, 2020 21:28 UTC | Alphatec Holdings, Inc. ATEC · Entity 4720 | GrantCommon Stock | 179,178 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-20-005125 · edgar.xml · nonDerivative · entry 1 Black Jeffrey G. · CIK 0001449439 · EVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 690,473 F1 · date: On April 22, 2020, issuer granted to the reporting person 179,178 restricted stock units (RSUs), subject to receipt of required approval of an amendment to issuer's 2016 Equity Incentive Plan to increase the number of shares authorized for issuance under the plan by at least such number as is necessary to vest all of the awards granted on April 22, 2020. The RSUs vest in three equal installments on each of the first three anniversaries of the grant date; provided, however, that the vesting of 50% of these RSUs is subject to the additional condition that the publicly-traded stock price for the issuer's common stock reaches a 30-day average trading price equal to or above $7.52 per share during the first three years following the grant date. Should the publicly-traded stock price for the issuer's common stock reach a 30-day average trading price at or above $7.52 per share at any time during such three year period, this pricing condition will be satisfied and will terminate. F2 · date: Each RSU represents a contingent right to receive one share of the issuer's common stock. F1 · shares: On April 22, 2020, issuer granted to the reporting person 179,178 restricted stock units (RSUs), subject to receipt of required approval of an amendment to issuer's 2016 Equity Incentive Plan to increase the number of shares authorized for issuance under the plan by at least such number as is necessary to vest all of the awards granted on April 22, 2020. The RSUs vest in three equal installments on each of the first three anniversaries of the grant date; provided, however, that the vesting of 50% of these RSUs is subject to the additional condition that the publicly-traded stock price for the issuer's common stock reaches a 30-day average trading price equal to or above $7.52 per share during the first three years following the grant date. Should the publicly-traded stock price for the issuer's common stock reach a 30-day average trading price at or above $7.52 per share at any time during such three year period, this pricing condition will be satisfied and will terminate. F2 · shares: Each RSU represents a contingent right to receive one share of the issuer's common stock. F1 · balance_after: On April 22, 2020, issuer granted to the reporting person 179,178 restricted stock units (RSUs), subject to receipt of required approval of an amendment to issuer's 2016 Equity Incentive Plan to increase the number of shares authorized for issuance under the plan by at least such number as is necessary to vest all of the awards granted on April 22, 2020. The RSUs vest in three equal installments on each of the first three anniversaries of the grant date; provided, however, that the vesting of 50% of these RSUs is subject to the additional condition that the publicly-traded stock price for the issuer's common stock reaches a 30-day average trading price equal to or above $7.52 per share during the first three years following the grant date. Should the publicly-traded stock price for the issuer's common stock reach a 30-day average trading price at or above $7.52 per share at any time during such three year period, this pricing condition will be satisfied and will terminate. F2 · balance_after: Each RSU represents a contingent right to receive one share of the issuer's common stock. Read SEC document |
| April 06, 2020 Filed Apr 8, 2020 16:01 UTC | Alphatec Holdings, Inc. ATEC · Entity 4720 | GrantCommon Stock | 5,996 | $3.93 | $23,564.28 |
DisclosureSEC source: 0001179110-20-004798 · edgar.xml · nonDerivative · entry 1 Black Jeffrey G. · CIK 0001449439 · EVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 511,295 F1 · date: On April 6, 2020, the restricted stock units (RSUs) were granted to the reporting person in connection with the reporting person's election to participate in the issuer's employee salary conversion plan, which was adopted by the Compensation Committee of the issuer's board of directors on April 1, 2020 in response to the novel coronavirus (COVID-19) and the financial impact on the issuer resulting therefrom. Under the terms of the plan, the reporting person is being granted RSUs in lieu of a percentage of the reporting person's cash compensation for the period between April 6, 2020 and July 10, 2020. F2 · date: Each RSU represents a contingent right to receive one share of the issuer's common stock. The RSUs vest in full on July 10, 2020. F1 · shares: On April 6, 2020, the restricted stock units (RSUs) were granted to the reporting person in connection with the reporting person's election to participate in the issuer's employee salary conversion plan, which was adopted by the Compensation Committee of the issuer's board of directors on April 1, 2020 in response to the novel coronavirus (COVID-19) and the financial impact on the issuer resulting therefrom. Under the terms of the plan, the reporting person is being granted RSUs in lieu of a percentage of the reporting person's cash compensation for the period between April 6, 2020 and July 10, 2020. F2 · shares: Each RSU represents a contingent right to receive one share of the issuer's common stock. The RSUs vest in full on July 10, 2020. F3 · price: The conversion price (cash for equity) is based on a 30-day volume weighted average price of the issuer's common stock as of close of market on Friday, April 3, 2020. F1 · balance_after: On April 6, 2020, the restricted stock units (RSUs) were granted to the reporting person in connection with the reporting person's election to participate in the issuer's employee salary conversion plan, which was adopted by the Compensation Committee of the issuer's board of directors on April 1, 2020 in response to the novel coronavirus (COVID-19) and the financial impact on the issuer resulting therefrom. Under the terms of the plan, the reporting person is being granted RSUs in lieu of a percentage of the reporting person's cash compensation for the period between April 6, 2020 and July 10, 2020. F2 · balance_after: Each RSU represents a contingent right to receive one share of the issuer's common stock. The RSUs vest in full on July 10, 2020. Read SEC document |
| March 10, 2020 Filed Mar 12, 2020 12:55 UTC | Alphatec Holdings, Inc. ATEC · Entity 4720 | SaleCommon Stock | 6,563 | $5.08 | $33,307.23 |
DisclosureSEC source: 0001179110-20-003537 · edgar.xml · nonDerivative · entry 1 Black Jeffrey G. · CIK 0001449439 · EVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 505,299 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 5, 2019 to satisfy certain tax withholding obligations of the reporting person resulting from the vesting of previously granted restricted stock unit awards. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.00 to $5.22, 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 ranges set forth in this footnote. Read SEC document |
| August 02, 2019 Filed Aug 2, 2019 21:01 UTC | Alphatec Holdings, Inc. ATEC · Entity 4720 | SaleCommon Stock | 8,929 | $4.75 | $42,368.11 |
DisclosureSEC source: 0001179110-19-009056 · edgar.xml · nonDerivative · entry 1 Black Jeffrey G. · CIK 0001449439 · EVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 511,862 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 5, 2019 to satisfy certain tax withholding obligations of the reporting person resulting from the vesting of previously granted restricted stock awards. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.66 to $4.84, 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 ranges set forth in this footnote. Read SEC document |
| May 13, 2019 Filed May 15, 2019 20:13 UTC | Alphatec Holdings, Inc. ATEC · Entity 4720 | GrantCommon Stock | 68,750 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-19-006131 · edgar.xml · nonDerivative · entry 2 Black Jeffrey G. · CIK 0001449439 · EVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 520,791 F2 · date: On May 13, 2019, issuer granted to the reporting person 68,750 restricted stock units, subject to stockholder approval of an amendment to issuer's 2016 Equity Incentive Plan to increase the number of shares authorized for issuance under the plan by 4,000,000 shares. The restricted stock units vest on the fourth anniversary of grant date; provided, however, that no portion of such restricted stock units shall vest unless the publicly-traded stock price for the issuer's common stock at the close of the market on such fourth anniversary date is equal to or greater than $6.18 per share (representing a 50% increase in the price per share as of the grant date). F2 · shares: On May 13, 2019, issuer granted to the reporting person 68,750 restricted stock units, subject to stockholder approval of an amendment to issuer's 2016 Equity Incentive Plan to increase the number of shares authorized for issuance under the plan by 4,000,000 shares. The restricted stock units vest on the fourth anniversary of grant date; provided, however, that no portion of such restricted stock units shall vest unless the publicly-traded stock price for the issuer's common stock at the close of the market on such fourth anniversary date is equal to or greater than $6.18 per share (representing a 50% increase in the price per share as of the grant date). F3 · shares: Each restricted stock unit represents a contingent right to receive one share of issuer's common stock. F2 · balance_after: On May 13, 2019, issuer granted to the reporting person 68,750 restricted stock units, subject to stockholder approval of an amendment to issuer's 2016 Equity Incentive Plan to increase the number of shares authorized for issuance under the plan by 4,000,000 shares. The restricted stock units vest on the fourth anniversary of grant date; provided, however, that no portion of such restricted stock units shall vest unless the publicly-traded stock price for the issuer's common stock at the close of the market on such fourth anniversary date is equal to or greater than $6.18 per share (representing a 50% increase in the price per share as of the grant date). F3 · balance_after: Each restricted stock unit represents a contingent right to receive one share of issuer's common stock. Read SEC document |
| May 13, 2019 Filed May 15, 2019 20:13 UTC | Alphatec Holdings, Inc. ATEC · Entity 4720 | GrantCommon Stock | 275,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-19-006131 · edgar.xml · nonDerivative · entry 1 Black Jeffrey G. · CIK 0001449439 · EVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 452,041 F1 · date: On May 13, 2019, issuer granted to the reporting person 275,000 restricted stock units, subject to stockholder approval of an amendment to issuer's 2016 Equity Incentive Plan to increase the number of shares authorized for issuance under the plan by 4,000,000 shares. The restricted stock units vest in four equal installments on each of the first four anniversaries of the grant date; provided, however, that no portion of the restricted stock units shall vest at any time during the first four years following the grant date unless and until the publicly-traded stock price for the issuer's common stock reaches a 30-day average trading price equal to or above $5.36 per share (representing a 30% increase in the price per share as of the grant date). Should the publicly traded stock price for the issuer's common stock reach a 30-day average trading price at or above $5.36 per share, this pricing condition on the vesting of the restricted stock units shall be satisfied, and shall terminate. F1 · shares: On May 13, 2019, issuer granted to the reporting person 275,000 restricted stock units, subject to stockholder approval of an amendment to issuer's 2016 Equity Incentive Plan to increase the number of shares authorized for issuance under the plan by 4,000,000 shares. The restricted stock units vest in four equal installments on each of the first four anniversaries of the grant date; provided, however, that no portion of the restricted stock units shall vest at any time during the first four years following the grant date unless and until the publicly-traded stock price for the issuer's common stock reaches a 30-day average trading price equal to or above $5.36 per share (representing a 30% increase in the price per share as of the grant date). Should the publicly traded stock price for the issuer's common stock reach a 30-day average trading price at or above $5.36 per share, this pricing condition on the vesting of the restricted stock units shall be satisfied, and shall terminate. F3 · shares: Each restricted stock unit represents a contingent right to receive one share of issuer's common stock. F1 · balance_after: On May 13, 2019, issuer granted to the reporting person 275,000 restricted stock units, subject to stockholder approval of an amendment to issuer's 2016 Equity Incentive Plan to increase the number of shares authorized for issuance under the plan by 4,000,000 shares. The restricted stock units vest in four equal installments on each of the first four anniversaries of the grant date; provided, however, that no portion of the restricted stock units shall vest at any time during the first four years following the grant date unless and until the publicly-traded stock price for the issuer's common stock reaches a 30-day average trading price equal to or above $5.36 per share (representing a 30% increase in the price per share as of the grant date). Should the publicly traded stock price for the issuer's common stock reach a 30-day average trading price at or above $5.36 per share, this pricing condition on the vesting of the restricted stock units shall be satisfied, and shall terminate. F3 · balance_after: Each restricted stock unit represents a contingent right to receive one share of issuer's common stock. Read SEC document |
| July 30, 2018 Filed Aug 1, 2018 20:31 UTC | Alphatec Holdings, Inc. ATEC · Entity 4720 | GrantEmployee Stock Option (right to buy) · Derivative | 148,445 | $0.00 Strike: $2.69 | $0.00 |
DisclosureSEC source: 0001179110-18-010079 · edgar.xml · derivative · entry 3 Black Jeffrey G. · CIK 0001449439 · EVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 148,445 Underlying: Common Stock · 148,445 shares Expires 2028-07-30 F3 · derivative.exercise_date: The option will vest 25% on the first anniversary of the grant date and thereafter in 36 equal monthly installments; provided, however, that no portion of the option shall be exercisable at any time during the first four years following the grant date unless and until the publicly-traded stock price for the securities underlying the option reaches a 30-day average trading price equal to or above $4.20 per share. Should the publicly-traded stock price for the securities underlying the option reach a 30-day average trading price at or above $4.20 per share, this pricing condition on the exercise of the option shall be satisfied, and shall terminate. 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.