Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| PULSE BIOSCIENCES, INC.PLSE · Entity 1151 | CFO & SVP Admin. and Finance | May 16, 2017 | May 18, 2017 |
| ProSomnus, Inc.OSA · Entity 94197 | CHIEF FINANCIAL OFFICER | February 15, 2024 | February 16, 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.
PULSE BIOSCIENCES, INC.
Report date May 16, 2017 · Filed May 18, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $27.14 · Expires 2027-05-16 | Direct | 95,000 |
Reported balance
After 2017-05-16 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2017-05-16 · Grant · Acquired 95,000 · Balance 95,000 F1: The shares subject to the option will vest in equal monthly installments over a four year period that began on February 15, 2017, subject to the Reporting Person's continued service through each vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares subject to the option will vest in equal monthly installments over a four year period that began on February 15, 2017, subject to the Reporting Person's continued service through each vesting date.
ProSomnus, Inc.
Report date February 15, 2024 · Filed February 16, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 409,492 |
Reported balance
After 2024-02-15 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2024-02-15 · Grant · Acquired 315,742 · Balance 409,492 F1: Each share is represented by a Restricted Stock Unit ("RSU"). The RSUs will fully vest upon the earlier of a change in control event or on March 10, 2027. F2: These securities are represented by RSUs. |
Filing footnotes · ownership attribution and instrument terms
F1: Each share is represented by a Restricted Stock Unit ("RSU"). The RSUs will fully vest upon the earlier of a change in control event or on March 10, 2027.
F2: These securities are represented by RSUs.
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 |
|---|---|---|---|---|---|---|
| February 15, 2024 Filed Feb 16, 2024 18:16 UTC | ProSomnus, Inc. OSA · Entity 94197 | GrantCommon Stock | 315,742 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-24-004226 · form4-02162024_110234.xml · nonDerivative · entry 1 Dow Brian B · CIK 0001453424 · CHIEF FINANCIAL OFFICER 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 409,492 F1 · shares: Each share is represented by a Restricted Stock Unit ("RSU"). The RSUs will fully vest upon the earlier of a change in control event or on March 10, 2027. F2 · balance_after: These securities are represented by RSUs. Read SEC document |
| October 16, 2023 Filed Oct 18, 2023 19:35 UTC | ProSomnus, Inc. OSA · Entity 94197 | GrantCommon Stock | 93,750 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-23-053136 · doc4.xml · nonDerivative · entry 1 Dow Brian B · CIK 0001453424 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 93,750 F1 · shares: Each share is represented by a Restricted Stock Unit ("RSU"). The RSUs will fully vest on October 15, 2025, subject to the Reporting Person's continued service as of that date. Read SEC document |
| September 20, 2023 Filed Sep 21, 2023 21:04 UTC | ProSomnus, Inc. OSA · Entity 94197 | GrantWarrants (right to buy) · Derivative | 50,000 | Not disclosed Strike: $1.00 | Not disclosed |
DisclosureSEC source: 0001209191-23-050334 · doc4.xml · derivative · entry 2 Dow Brian B · CIK 0001453424 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Stock · 50,000 shares Expires 2028-09-20 F2 · kind: The Reporting Person acquired the shares and warrants pursuant to the terms of that certain Securities Purchase Agreement by and among the Issuer and the investors named therein, as disclosed in the Current Report on Form 8-K filed by the Issuer with the SEC on September 21, 2023 (the "SPA"). F2 · price: The Reporting Person acquired the shares and warrants pursuant to the terms of that certain Securities Purchase Agreement by and among the Issuer and the investors named therein, as disclosed in the Current Report on Form 8-K filed by the Issuer with the SEC on September 21, 2023 (the "SPA"). F3 · derivative.exercise_date: The warrants become exercisable upon the Issuer obtaining shareholder approval of the transactions contemplated by the SPA. Read SEC document |
| September 20, 2023 Filed Sep 21, 2023 21:04 UTC | ProSomnus, Inc. OSA · Entity 94197 | GrantSeries A Preferred Stock · Derivative | 50 | Not disclosed Strike: $1.00 | Not disclosed |
DisclosureSEC source: 0001209191-23-050334 · doc4.xml · derivative · entry 1 Dow Brian B · CIK 0001453424 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 50 Underlying: Common Stock · 50,000 shares Expires not disclosed F1 · derivative.exercise_price: The Series A Preferred Stock is convertible (subject to certain conversion limitations prior to the Issuer obtaining stockholder approval of the transactions contemplated by the SPA) into Common Stock at the Reporting Person's election at $1 per share, which conversion price may be adjusted in accordance withe the terms of the Series A Preferred Stock, and has no expiration date. F2 · kind: The Reporting Person acquired the shares and warrants pursuant to the terms of that certain Securities Purchase Agreement by and among the Issuer and the investors named therein, as disclosed in the Current Report on Form 8-K filed by the Issuer with the SEC on September 21, 2023 (the "SPA"). F2 · price: The Reporting Person acquired the shares and warrants pursuant to the terms of that certain Securities Purchase Agreement by and among the Issuer and the investors named therein, as disclosed in the Current Report on Form 8-K filed by the Issuer with the SEC on September 21, 2023 (the "SPA"). F1 · derivative.expiration_date: The Series A Preferred Stock is convertible (subject to certain conversion limitations prior to the Issuer obtaining stockholder approval of the transactions contemplated by the SPA) into Common Stock at the Reporting Person's election at $1 per share, which conversion price may be adjusted in accordance withe the terms of the Series A Preferred Stock, and has no expiration date. Read SEC document |
| March 24, 2023 Filed Mar 30, 2023 21:06 UTC | ProSomnus, Inc. OSA · Entity 94197 | GrantStock Option (Right to Buy) · Derivative | 147,390 | $0.00 Strike: $5.23 | $0.00 |
DisclosureSEC source: 0001474506-23-000146 · primary_doc.xml · derivative · entry 1 Dow Brian B · CIK 0001453424 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 147,390 Underlying: Common Stock · 147,390 shares Expires 2033-03-24 F1 · derivative.exercise_date: Stock options vest over 4 years; 25% on the first year anniversary, 25% on the second anniversary, and 6.25% quarterly vesting thereafter. Vesting may be accelerated upon change of control. Read SEC document |
| May 16, 2017 Filed May 18, 2017 16:09 UTC | PULSE BIOSCIENCES, INC. PLSE · Entity 1151 | GrantStock Option (right to buy) · Derivative | 95,000 | $0.00 Strike: $27.14 | $0.00 |
DisclosureSEC source: 0001209191-17-033575 · doc4.xml · derivative · entry 1 Dow Brian B · CIK 0001453424 · CFO & SVP Admin. and Finance 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 95,000 Underlying: Common Stock · 95,000 shares Expires 2027-05-16 F1 · derivative.exercise_date: The shares subject to the option will vest in equal monthly installments over a four year period that began on February 15, 2017, subject to the Reporting Person's continued service through each vesting date. 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.