Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| INVIVO THERAPEUTICS HOLDINGS CORP.NVIV · Entity 94539 | SVP, General Counsel | January 18, 2017 | January 20, 2017 |
| Spero Therapeutics, Inc.SPRO · Entity 7014 | Chief Legal Officer | February 01, 2024 | February 06, 2024 |
| Tempest Therapeutics, Inc.MLND · Entity 7734 | General Counsel and Secretary | May 25, 2020 | May 27, 2020 |
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.
INVIVO THERAPEUTICS HOLDINGS CORP.
Report date January 18, 2017 · Filed January 20, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $4.35 · Expires 2027-01-18 | Direct | 120,000 |
Reported balance
After 2017-01-18 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2017-01-18 · Grant · Acquired 120,000 · Balance 120,000 F1: This option vests as to 25% of the shares on the first anniversary of the date of grant, and the remaining shares vest thereafter on a monthly basis in 36 equal monthly installments. |
Filing footnotes · ownership attribution and instrument terms
F1: This option vests as to 25% of the shares on the first anniversary of the date of grant, and the remaining shares vest thereafter on a monthly basis in 36 equal monthly installments.
Spero Therapeutics, Inc.
Report date February 01, 2024 · Filed February 06, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 531,615 |
Ending reported balance
After 2024-02-02 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2024-02-01 · Grant · Acquired 239,731 · Balance 562,521 F1: Consists of restricted stock units ("RSUs"). Each RSU represents the right to receive one share of common stock upon vesting. The RSUs vest in four equal annual installments beginning on February 1, 2025, subject to the Reporting Person's continued service through the applicable vesting date. Row 2 · 2024-02-02 · Sale · Disposed 30,906 · Balance 531,615 F2: The reported transaction is a sale of common stock effected to cover tax withholding obligations in connection with the vesting of RSUs that were granted to the Reporting Person on February 1, 2022 and February 1, 2023 pursuant to a "sell to cover" provision included in each RSU Agreement. F3: Represents the weighted average sales price per share. The shares sold at prices ranging from $1.36 to $1.42 per share. Full information regarding the number of shares sold 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. |
Filing footnotes · ownership attribution and instrument terms
F1: Consists of restricted stock units ("RSUs"). Each RSU represents the right to receive one share of common stock upon vesting. The RSUs vest in four equal annual installments beginning on February 1, 2025, subject to the Reporting Person's continued service through the applicable vesting date.
F2: The reported transaction is a sale of common stock effected to cover tax withholding obligations in connection with the vesting of RSUs that were granted to the Reporting Person on February 1, 2022 and February 1, 2023 pursuant to a "sell to cover" provision included in each RSU Agreement.
F3: Represents the weighted average sales price per share. The shares sold at prices ranging from $1.36 to $1.42 per share. Full information regarding the number of shares sold 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.
Tempest Therapeutics, Inc.
Report date May 25, 2020 · Filed May 27, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.00 · Expires 2030-05-24 | Direct | 80,000 |
Reported balance
After 2020-05-25 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2020-05-25 · Grant · Acquired 80,000 · Balance 80,000 F1: Fifty percent (50%) of the shares subject to this option shall vest on the earlier of: (i) December 31, 2020 or (ii) the Board's approval of the achievement of certain performance criteria, and one twelfth (1/12th) of the remaining shares subject to this option shall vest in equal monthly installments thereafter, subject to the Reporting Person continuing to provide service to the Issuer through each such date. |
Filing footnotes · ownership attribution and instrument terms
F1: Fifty percent (50%) of the shares subject to this option shall vest on the earlier of: (i) December 31, 2020 or (ii) the Board's approval of the achievement of certain performance criteria, and one twelfth (1/12th) of the remaining shares subject to this option shall vest in equal monthly installments thereafter, subject to the Reporting Person continuing to provide service to the Issuer through each such 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 01:48 UTC | Spero Therapeutics, Inc. SPRO · Entity 7014 | SaleCommon Stock | 30,906 | $1.37 | $42,341.22 |
DisclosureSEC source: 0000950170-24-011494 · ownership.xml · nonDerivative · entry 2 JOSEPH TAMARA L · CIK 0001433991 · Chief Legal Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 531,615 F2 · kind: The reported transaction is a sale of common stock effected to cover tax withholding obligations in connection with the vesting of RSUs that were granted to the Reporting Person on February 1, 2022 and February 1, 2023 pursuant to a "sell to cover" provision included in each RSU Agreement. F3 · price: Represents the weighted average sales price per share. The shares sold at prices ranging from $1.36 to $1.42 per share. Full information regarding the number of shares sold 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 |
| February 01, 2024 Filed Feb 6, 2024 01:48 UTC | Spero Therapeutics, Inc. SPRO · Entity 7014 | GrantCommon Stock | 239,731 | $0.00 | $0.00 |
DisclosureSEC source: 0000950170-24-011494 · ownership.xml · nonDerivative · entry 1 JOSEPH TAMARA L · CIK 0001433991 · Chief Legal Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 562,521 F1 · shares: Consists of restricted stock units ("RSUs"). Each RSU represents the right to receive one share of common stock upon vesting. The RSUs vest in four equal annual installments beginning on February 1, 2025, subject to the Reporting Person's continued service through the applicable vesting date. Read SEC document |
| August 28, 2023 Filed Aug 30, 2023 20:22 UTC | Spero Therapeutics, Inc. SPRO · Entity 7014 | SaleCommon Stock | 1,854 | $1.26 | $2,336.04 |
DisclosureSEC source: 0000950170-23-045448 · ownership.xml · nonDerivative · entry 1 JOSEPH TAMARA L · CIK 0001433991 · Chief Legal Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 322,790 F1 · kind: The reported transaction is a sale of common stock effected to cover tax withholding obligations in connection with the vesting of restricted stock units ("RSUs") that were granted to the Reporting Person on August 26, 2021 pursuant to a "sell to cover" provision included in the RSU Agreement. Read SEC document |
| February 02, 2023 Filed Feb 4, 2023 00:43 UTC | Spero Therapeutics, Inc. SPRO · Entity 7014 | SaleCommon Stock | 3,394 | $1.86 | $6,312.84 |
DisclosureSEC source: 0000899243-23-003946 · doc4.xml · nonDerivative · entry 2 JOSEPH TAMARA L · CIK 0001433991 · Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 324,644 F3 · kind: The reported transaction is a sale of common stock effected to cover tax withholding obligations in connection with the vesting of RSUs that were granted to the Reporting Person on February 1, 2022 pursuant to a "sell to cover" provision included in the RSU Agreement. F2 · balance_after: Includes 312,518 RSUs held by the Reporting Person. Read SEC document |
| February 01, 2023 Filed Feb 4, 2023 00:43 UTC | Spero Therapeutics, Inc. SPRO · Entity 7014 | GrantCommon Stock | 265,957 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-23-003946 · doc4.xml · nonDerivative · entry 1 JOSEPH TAMARA L · CIK 0001433991 · Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 328,038 F1 · shares: Consists of restricted stock units ("RSUs"). Each RSU represents the right to receive one share of common stock upon vesting. The RSUs vest in four equal annual installments beginning on February 1, 2024, subject to the Reporting Person's continued service through the applicable vesting date. F2 · balance_after: Includes 312,518 RSUs held by the Reporting Person. Read SEC document |
| February 01, 2022 Filed Feb 3, 2022 21:17 UTC | Spero Therapeutics, Inc. SPRO · Entity 7014 | GrantStock Option (Right to Buy) · Derivative | 53,190 | $0.00 Strike: $11.18 | $0.00 |
DisclosureSEC source: 0000899243-22-004586 · doc4.xml · derivative · entry 2 JOSEPH TAMARA L · CIK 0001433991 · Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,190 Underlying: Common Stock · 53,190 shares Expires 2032-02-01 F3 · derivative.exercise_date: The shares underlying this option vest as to 25% on February 1, 2023, with the remainder vesting in 36 equal monthly installments thereafter, subject to the Reporting Person's continued service through the applicable vesting date. Read SEC document |
| February 01, 2022 Filed Feb 3, 2022 21:17 UTC | Spero Therapeutics, Inc. SPRO · Entity 7014 | GrantCommon Stock | 38,014 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-22-004586 · doc4.xml · nonDerivative · entry 1 JOSEPH TAMARA L · CIK 0001433991 · Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,081 F1 · shares: Consists of restricted stock units ("RSUs"). Each RSU represents the right to receive one share of common stock upon vesting. The RSUs vest in four equal annual installments beginning on February 1, 2023, subject to the Reporting Person's continued service through the applicable vesting date. F2 · balance_after: Consists of 62,081 RSUs held by the Reporting Person. Read SEC document |
| August 26, 2021 Filed Aug 30, 2021 20:15 UTC | Spero Therapeutics, Inc. SPRO · Entity 7014 | GrantCommon Stock | 24,067 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-21-034500 · doc4.xml · nonDerivative · entry 1 JOSEPH TAMARA L · CIK 0001433991 · Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,067 F1 · shares: Consists of restricted stock units ("RSUs"). Each RSU represents the right to receive one share of common stock upon vesting. The RSUs vest in four equal annual installments beginning on August 26, 2022, subject to the Reporting Person's continued service through the applicable vesting date. Read SEC document |
| December 02, 2020 Filed Dec 2, 2020 23:05 UTC | Spero Therapeutics, Inc. SPRO · Entity 7014 | GrantStock Option (right to buy) · Derivative | 75,000 | $0.00 Strike: $17.28 | $0.00 |
DisclosureSEC source: 0000899243-20-032557 · doc4.xml · derivative · entry 1 JOSEPH TAMARA L · CIK 0001433991 · Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,000 Underlying: Common Stock · 75,000 shares Expires 2030-12-02 F1 · derivative.exercise_date: The shares underlying this option vest as to 25% on December 2, 2021, with the remainder vesting in 36 equal monthly installments thereafter, subject to the Reporting Person's continued service through the applicable vesting dates. Read SEC document |
| May 25, 2020 Filed May 27, 2020 21:39 UTC | Tempest Therapeutics, Inc. MLND · Entity 7734 | GrantStock Option (right to buy) · Derivative | 80,000 | $0.00 Strike: $2.00 | $0.00 |
DisclosureSEC source: 0001209191-20-032487 · doc4.xml · derivative · entry 1 JOSEPH TAMARA L · CIK 0001433991 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,000 Underlying: Common Stock · 80,000 shares Expires 2030-05-24 F1 · derivative.exercise_date: Fifty percent (50%) of the shares subject to this option shall vest on the earlier of: (i) December 31, 2020 or (ii) the Board's approval of the achievement of certain performance criteria, and one twelfth (1/12th) of the remaining shares subject to this option shall vest in equal monthly installments thereafter, subject to the Reporting Person continuing to provide service to the Issuer through each such date. Read SEC document |
| January 31, 2020 Filed Feb 4, 2020 16:31 UTC | Tempest Therapeutics, Inc. MLND · Entity 7734 | GrantEmployee Stock Option (right to buy) · Derivative | 56,250 | $0.00 Strike: $7.94 | $0.00 |
DisclosureSEC source: 0001209191-20-006361 · doc4.xml · derivative · entry 1 JOSEPH TAMARA L · CIK 0001433991 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,250 Underlying: Common Stock · 56,250 shares Expires 2030-01-30 F1 · derivative.exercise_date: Twenty-five percent (25%) of the shares subject to this option shall vest on January 7, 2021, and one thirty-sixth (1/36th) of the remaining shares subject to this option shall vest each month thereafter, subject to the Reporting Person continuing to provide service through each such date. Read SEC document |
| August 19, 2019 Filed Aug 20, 2019 20:39 UTC | Tempest Therapeutics, Inc. MLND · Entity 7734 | GrantEmployee Stock Option (right to buy) · Derivative | 130,000 | $0.00 Strike: $7.27 | $0.00 |
DisclosureSEC source: 0001209191-19-046918 · doc4.xml · derivative · entry 1 JOSEPH TAMARA L · CIK 0001433991 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 130,000 Underlying: Common Stock · 130,000 shares Expires 2029-08-18 F1 · derivative.exercise_date: Twenty-five percent (25%) of the shares subject to this option shall vest on August 19, 2020, and one thirty-sixth (1/36th) of the remaining shares subject to this option shall vest each month thereafter, subject to the Reporting Person continuing to provide service through each such date. Read SEC document |
| January 18, 2017 Filed Jan 20, 2017 14:05 UTC | INVIVO THERAPEUTICS HOLDINGS CORP. NVIV · Entity 94539 | GrantStock Option (Right to Buy) · Derivative | 120,000 | $0.00 Strike: $4.35 | $0.00 |
DisclosureSEC source: 0001179110-17-001105 · edgar.xml · derivative · entry 1 JOSEPH TAMARA L · CIK 0001433991 · SVP, General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 120,000 Underlying: Common Stock · 120,000 shares Expires 2027-01-18 F1 · derivative.exercise_date: This option vests as to 25% of the shares on the first anniversary of the date of grant, and the remaining shares vest thereafter on a monthly basis in 36 equal monthly installments. 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.