Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Arbutus Biopharma CorpABUS · Entity 4953 | Chief Scientific Officer | February 01, 2024 | February 06, 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.
Arbutus Biopharma Corp
Report date February 01, 2024 · Filed February 06, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common SharesSEC Table I · non-derivative | Direct | 1,485,121 |
Ending reported balance
After 2024-02-02 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2024-02-01 · Grant · Acquired 109,500 · Balance 1,495,103 F1: Represents the grant of restricted stock units ("RSUs"), which represent a contingent right to receive one common share for each RSU. The RSUs vest in three equal annual installments beginning one year from the grant date, subject to the Reporting Person's continuous service as of each vesting date. Unless otherwise provided, on each vesting date, common shares will automatically be sold to satisfy the Reporting Person's tax withholding obligations in a non-discretionary transaction. Row 2 · 2024-02-02 · Sale · Disposed 9,982 · Balance 1,485,121 F2: Represents the non-discretionary sale of common shares pursuant to the Reporting Person's 10b5-1 Plan, adopted on March 5, 2023, to satisfy the Reporting Person's tax obligations with respect to the vesting of a previous grant of restricted stock units. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.40 · Expires 2034-02-01 | Direct | 437,800 |
Reported balance
After 2024-02-01 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2024-02-01 · Grant · Acquired 437,800 · Balance 437,800 F4: Reflects the closing price of the Company's common shares on the Nasdaq Stock Market on the date of the grant. F5: This option vests over a four-year period, with 1/48th of the shares subject to the option vesting in substantially equal monthly installments measured from one month following the grant date, subject to the Reporting Person's continuous service as of each vesting date. |
| Common SharesSEC Table I · non-derivative | IndirectBy Trust | 167,162 |
Reported balance
Holding disclosure · report date 2024-02-01 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 167,162 F3: These shares are owned by the Irrevocable Deed of Trust of Michael J. Sofia dated July 6, 2020 (the "Trust"). The Reporting Person's wife and adult children are both the Trustees and the beneficiaries of the Trust. The Reporting Person disclaims beneficial ownership of the shares owned by the Trust and the filing of this report is not an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents the grant of restricted stock units ("RSUs"), which represent a contingent right to receive one common share for each RSU. The RSUs vest in three equal annual installments beginning one year from the grant date, subject to the Reporting Person's continuous service as of each vesting date. Unless otherwise provided, on each vesting date, common shares will automatically be sold to satisfy the Reporting Person's tax withholding obligations in a non-discretionary transaction.
F2: Represents the non-discretionary sale of common shares pursuant to the Reporting Person's 10b5-1 Plan, adopted on March 5, 2023, to satisfy the Reporting Person's tax obligations with respect to the vesting of a previous grant of restricted stock units.
F3: These shares are owned by the Irrevocable Deed of Trust of Michael J. Sofia dated July 6, 2020 (the "Trust"). The Reporting Person's wife and adult children are both the Trustees and the beneficiaries of the Trust. The Reporting Person disclaims beneficial ownership of the shares owned by the Trust and the filing of this report is not an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.
F4: Reflects the closing price of the Company's common shares on the Nasdaq Stock Market on the date of the grant.
F5: This option vests over a four-year period, with 1/48th of the shares subject to the option vesting in substantially equal monthly installments measured from one month following the grant date, subject to the Reporting Person's continuous service as of each 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 |
|---|---|---|---|---|---|---|
| February 02, 2024 Filed Feb 6, 2024 00:54 UTC | Arbutus Biopharma Corp ABUS · Entity 4953 | SaleCommon Shares | 9,982 | $2.31 | $23,083.38 |
DisclosureSEC source: 0001447028-24-000026 · wk-form4_1707180851.xml · nonDerivative · entry 2 Sofia Michael J. · CIK 0001635324 · Chief Scientific Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 1,485,121 F2 · kind: Represents the non-discretionary sale of common shares pursuant to the Reporting Person's 10b5-1 Plan, adopted on March 5, 2023, to satisfy the Reporting Person's tax obligations with respect to the vesting of a previous grant of restricted stock units. Read SEC document |
| February 01, 2024 Filed Feb 6, 2024 00:54 UTC | Arbutus Biopharma Corp ABUS · Entity 4953 | GrantStock Option (Right to Buy) · Derivative | 437,800 | $0.00 Strike: $2.40 | $0.00 |
DisclosureSEC source: 0001447028-24-000026 · wk-form4_1707180851.xml · derivative · entry 4 Sofia Michael J. · CIK 0001635324 · Chief Scientific Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 437,800 Underlying: Common Shares · 437,800 shares Expires 2034-02-01 F4 · derivative.exercise_price: Reflects the closing price of the Company's common shares on the Nasdaq Stock Market on the date of the grant. F5 · derivative.exercise_date: This option vests over a four-year period, with 1/48th of the shares subject to the option vesting in substantially equal monthly installments measured from one month following the grant date, subject to the Reporting Person's continuous service as of each vesting date. Read SEC document |
| February 01, 2024 Filed Feb 6, 2024 00:54 UTC | Arbutus Biopharma Corp ABUS · Entity 4953 | GrantCommon Shares | 109,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001447028-24-000026 · wk-form4_1707180851.xml · nonDerivative · entry 1 Sofia Michael J. · CIK 0001635324 · Chief Scientific Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 1,495,103 F1 · shares: Represents the grant of restricted stock units ("RSUs"), which represent a contingent right to receive one common share for each RSU. The RSUs vest in three equal annual installments beginning one year from the grant date, subject to the Reporting Person's continuous service as of each vesting date. Unless otherwise provided, on each vesting date, common shares will automatically be sold to satisfy the Reporting Person's tax withholding obligations in a non-discretionary transaction. Read SEC document |
| February 01, 2023 Filed Feb 3, 2023 21:11 UTC | Arbutus Biopharma Corp ABUS · Entity 4953 | GrantStock Option (Right to Buy) · Derivative | 328,700 | $0.00 Strike: $2.90 | $0.00 |
DisclosureSEC source: 0001447028-23-000010 · wf-form4_167545866810752.xml · derivative · entry 3 Sofia Michael J. · CIK 0001635324 · Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 328,700 Underlying: Common Shares · 328,700 shares Expires 2033-02-01 F3 · derivative.exercise_date: This option vests over a four-year period, with 1/48th of the shares subject to the option vesting in substantially equal monthly installments measured from one month following the grant date, subject to the Reporting Person's continuous service as of each vesting date. Read SEC document |
| February 01, 2023 Filed Feb 3, 2023 21:11 UTC | Arbutus Biopharma Corp ABUS · Entity 4953 | GrantCommon Shares | 82,200 | $0.00 | $0.00 |
DisclosureSEC source: 0001447028-23-000010 · wf-form4_167545866810752.xml · nonDerivative · entry 1 Sofia Michael J. · CIK 0001635324 · Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,385,603 F1 · shares: Represents the grant of restricted stock units ("RSUs"), which represent a contingent right to receive one common share for each RSU. The RSUs vest in three equal annual installments beginning one year from the grant date, subject to the Reporting Person's continuous service as of each vesting date. Unless otherwise provided, on each vesting date, common shares will automatically be sold to satisfy the Reporting Person's tax withholding obligations in a non-discretionary transaction. Read SEC document |
| January 20, 2022 Filed Jan 20, 2022 22:54 UTC | Arbutus Biopharma Corp ABUS · Entity 4953 | GrantStock Option (Right to Buy) · Derivative | 285,000 | $2.81 Strike: $2.81 | $800,850.00 |
DisclosureSEC source: 0001447028-22-000009 · wf-form4_164271925075900.xml · derivative · entry 1 Sofia Michael J. · CIK 0001635324 · Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 285,000 Underlying: Common Shares · 285,000 shares Expires 2032-01-20 F1 · derivative.exercise_date: These stock options will vest and become exercisable 1/48th each month over the four year period. Read SEC document |
| December 01, 2021 Filed Dec 3, 2021 21:02 UTC | Arbutus Biopharma Corp ABUS · Entity 4953 | SaleCommon Shares | 200,000 | $5.09 | $1,018,000.00 |
DisclosureSEC source: 0001447028-21-000068 · wf-form4_163856535580377.xml · nonDerivative · entry 1 Sofia Michael J. · CIK 0001635324 · Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,303,403 F1 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 26, 2021. Read SEC document |
| February 13, 2021 Filed Feb 17, 2021 21:52 UTC | Arbutus Biopharma Corp ABUS · Entity 4953 | GrantStock Options · Derivative | 290,000 | $0.00 Strike: $4.33 | $0.00 |
DisclosureSEC source: 0001447028-21-000004 · wf-form4_161359869528005.xml · derivative · entry 1 Sofia Michael J. · CIK 0001635324 · Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 290,000 Underlying: Common Stock · 290,000 shares Expires 2031-02-13 F1 · derivative.exercise_date: The stock option will vest and become exercisable 1/48th each month over the four year period. Read SEC document |
| February 17, 2020 Filed Feb 19, 2020 13:05 UTC | Arbutus Biopharma Corp ABUS · Entity 4953 | GrantStock Options · Derivative | 250,000 | $0.00 Strike: $3.35 | $0.00 |
DisclosureSEC source: 0001447028-20-000030 · wf-form4_158211749728222.xml · derivative · entry 1 Sofia Michael J. · CIK 0001635324 · Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 250,000 Underlying: Common Stock · 250,000 shares Expires 2030-02-17 F1 · derivative.exercise_date: The stock option will vest and become exercisable 1/48th each month over the four year period. Read SEC document |
| March 01, 2019 Filed Mar 5, 2019 23:08 UTC | Arbutus Biopharma Corp ABUS · Entity 4953 | GrantEmployee Stock Option (Right to Buy) · Derivative | 145,000 | $0.00 Strike: $4.57 | $0.00 |
DisclosureSEC source: 0001123292-19-000437 · edgar.xml · derivative · entry 1 Sofia Michael J. · CIK 0001635324 · Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 145,000 Underlying: Common Shares · 145,000 shares Expires 2029-03-01 F1 · derivative.exercise_date: The option will vest and become exercisable in three equal annual installments beginning March 1, 2020. Read SEC document |
| August 13, 2018 Filed Aug 14, 2018 22:23 UTC | Arbutus Biopharma Corp ABUS · Entity 4953 | SaleCommon Shares | 4,250 | $9.51 | $40,435.78 |
DisclosureSEC source: 0001567619-18-001148 · doc1.xml · nonDerivative · entry 1 Sofia Michael J. · CIK 0001635324 · Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,499,153 F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $9.5073 to $9.5525, inclusive. The reporting person undertakes to provide to Arbutus Biopharma Corp., any security holder of Arbutus Biopharma Corp., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote. Read SEC document |
| August 13, 2018 Filed Aug 15, 2018 19:14 UTC Amendment | Arbutus Biopharma Corp ABUS · Entity 4953 | SaleCommon Shares | 4,250 | $9.51 | $40,435.78 |
DisclosureSEC source: 0001567619-18-001171 · doc1.xml · nonDerivative · entry 2 Sofia Michael J. · CIK 0001635324 · Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Indirect · Held by Irrrevocable Trust of Michael J. Sofia dated December 22, 2014 Disclosed balance after: 167,162 F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $9.5073 to $9.5525, inclusive. The reporting person undertakes to provide to Arbutus Biopharma Corp., any security holder of Arbutus Biopharma Corp., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote. Read SEC document |
| July 11, 2018 Filed Jul 13, 2018 17:36 UTC | Arbutus Biopharma Corp ABUS · Entity 4953 | SaleCommon Shares | 10,000 | $10.00 | $100,000.00 |
DisclosureSEC source: 0001140361-18-032341 · doc1.xml · nonDerivative · entry 1 Sofia Michael J. · CIK 0001635324 · Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,503,403 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 August 11, 2017. Read SEC document |
| July 09, 2018 Filed Jul 10, 2018 17:11 UTC | Arbutus Biopharma Corp ABUS · Entity 4953 | SaleCommon Shares | 10,000 | $8.91 | $89,060.00 |
DisclosureSEC source: 0001140361-18-032008 · doc1.xml · nonDerivative · entry 2 Sofia Michael J. · CIK 0001635324 · Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,513,403 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 August 11, 2017. F2 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $8.50 to $9.35, inclusive. The reporting person undertakes to provide to Arbutus Biopharma Corp., any security holder of Arbutus Biopharma Corp., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the rages set forth in this footnote. Read SEC document |
| July 06, 2018 Filed Jul 10, 2018 17:11 UTC | Arbutus Biopharma Corp ABUS · Entity 4953 | SaleCommon Shares | 10,000 | $8.45 | $84,500.00 |
DisclosureSEC source: 0001140361-18-032008 · doc1.xml · nonDerivative · entry 1 Sofia Michael J. · CIK 0001635324 · Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,523,403 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 August 11, 2017. Read SEC document |
| July 05, 2018 Filed Jul 6, 2018 20:05 UTC | Arbutus Biopharma Corp ABUS · Entity 4953 | SaleCommon Shares | 10,000 | $8.40 | $84,000.00 |
DisclosureSEC source: 0001140361-18-031775 · doc1.xml · nonDerivative · entry 2 Sofia Michael J. · CIK 0001635324 · Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,533,403 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 August 11, 2017. Read SEC document |
| July 03, 2018 Filed Jul 6, 2018 20:05 UTC | Arbutus Biopharma Corp ABUS · Entity 4953 | SaleCommon Shares | 10,000 | $8.00 | $80,000.00 |
DisclosureSEC source: 0001140361-18-031775 · doc1.xml · nonDerivative · entry 1 Sofia Michael J. · CIK 0001635324 · Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,543,403 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 August 11, 2017. Read SEC document |
| April 16, 2018 Filed Apr 18, 2018 18:25 UTC | Arbutus Biopharma Corp ABUS · Entity 4953 | GrantEmployee Stock Option (Right to Buy) · Derivative | 160,000 | $0.00 Strike: $5.20 | $0.00 |
DisclosureSEC source: 0001140361-18-018906 · doc1.xml · derivative · entry 1 Sofia Michael J. · CIK 0001635324 · Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 160,000 Underlying: Common Stock · 160,000 shares Expires 2028-04-16 F1 · derivative.exercise_date: The options vest as follows: 1/3 on April 16, 2019; 1/3 on April 16, 2020; and 1/3 on April 16, 2021. Read SEC document |
| October 03, 2017 Filed Oct 5, 2017 22:34 UTC | Arbutus Biopharma Corp ABUS · Entity 4953 | SaleCommon Shares | 10,000 | $8.00 | $80,000.00 |
DisclosureSEC source: 0001140361-17-037745 · doc1.xml · nonDerivative · entry 1 Sofia Michael J. · CIK 0001635324 · Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,553,403 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 August 11, 2017. Read SEC document |
| August 15, 2017 Filed Aug 17, 2017 23:41 UTC | Arbutus Biopharma Corp ABUS · Entity 4953 | SaleCommon Shares | 20,000 | $3.68 | $73,500.00 |
DisclosureSEC source: 0001140361-17-032651 · doc1.xml · nonDerivative · entry 2 Sofia Michael J. · CIK 0001635324 · Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Indirect · Held by Irrevocable Deed of Trust of Michael J. Sofia dated December 23, 2014 (the "Trust"). Disclosed balance after: 171,412 Read SEC document |
| August 15, 2017 Filed Aug 17, 2017 23:41 UTC | Arbutus Biopharma Corp ABUS · Entity 4953 | SaleCommon Shares | 10,000 | $3.75 | $37,500.00 |
DisclosureSEC source: 0001140361-17-032651 · doc1.xml · nonDerivative · entry 1 Sofia Michael J. · CIK 0001635324 · Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Indirect · Held by Irrevocable Deed of Trust of Michael J. Sofia dated December 23, 2014 (the "Trust"). Disclosed balance after: 191,412 Read SEC document |
| March 24, 2017 Filed Apr 5, 2017 19:44 UTC | Arbutus Biopharma Corp ABUS · Entity 4953 | GrantEmployee Stock Option (Right to Buy) · Derivative | 150,000 | $0.00 Strike: $3.15 | $0.00 |
DisclosureSEC source: 0001140361-17-014885 · doc1.xml · derivative · entry 1 Sofia Michael J. · CIK 0001635324 · Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 150,000 Underlying: Common Stock · 150,000 shares Expires 2027-03-24 F1 · derivative.exercise_date: The options vest as follows: 1/3 on March 23, 2018; 1/3 on March 23, 2019; 1/3 on March 23, 2020. 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.