Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CYTOKINETICS INCCYTK · Entity 3528 | Director | January 02, 2024 | January 03, 2024 |
| NOVELION THERAPEUTICS INC.NVLN · Entity 152369 | Director | January 27, 2017 | February 03, 2017 |
| PALISADE BIO, INC.CUR · Entity 5803 | Director | July 01, 2019 | July 03, 2019 |
| SEELOS THERAPEUTICS, INC.APRI · Entity 93662 | Director | January 04, 2018 | January 08, 2018 |
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.
CYTOKINETICS INC
Report date January 02, 2024 · Filed January 03, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 18,801 |
Reported balance
After 2024-01-02 transaction · row 1
1 source rowRow 1 · 2024-01-02 · Grant · Acquired 148 · Balance 18,801 F1: Shares issued at Reporting Person's election pursuant to Issuer's stock in lieu of cash for all or part of directors' annual base retainer program. Shares are full vested from the moment of grant. Shares issued at per share price of $84.12, representing the Issuer's closing stock price on January 2, 2024. |
Filing footnotes · ownership attribution and instrument terms
F1: Shares issued at Reporting Person's election pursuant to Issuer's stock in lieu of cash for all or part of directors' annual base retainer program. Shares are full vested from the moment of grant. Shares issued at per share price of $84.12, representing the Issuer's closing stock price on January 2, 2024.
NOVELION THERAPEUTICS INC.
Report date January 27, 2017 · Filed February 03, 2017 · Amendment
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common SharesSEC Table I · non-derivative | Direct | 1,048 |
Reported balance
After 2017-01-27 transaction · row 1
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 1 · 2017-01-27 · Exercise / conversion · Acquired 456 · Balance 1,048 F1: Reflects a one-for-five share consolidation of the common shares of Novelion Therapeutics Inc. effective December 16, 2016. F2: Each restricted stock unit represents a contingent right to receive one common share. F3: This Form 4/A is being filed to correct an inaccuracy in the Form 4 filed on January 31, 2017, which indicated that 148 common shares deliverable upon vesting of restricted stock units held by the Reporting Person were withheld to cover taxes payable by the Reporting Person. No shares were withheld. |
Filing footnotes · ownership attribution and instrument terms
F1: Reflects a one-for-five share consolidation of the common shares of Novelion Therapeutics Inc. effective December 16, 2016.
F2: Each restricted stock unit represents a contingent right to receive one common share.
F3: This Form 4/A is being filed to correct an inaccuracy in the Form 4 filed on January 31, 2017, which indicated that 148 common shares deliverable upon vesting of restricted stock units held by the Reporting Person were withheld to cover taxes payable by the Reporting Person. No shares were withheld.
PALISADE BIO, INC.
Report date July 01, 2019 · Filed July 03, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 219,916 |
Reported balance
After 2019-07-01 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2019-07-01 · Grant · Acquired 166,667 · Balance 219,916 F1: The shares represented are restricted stock grants pursuant to 50% of compensatory Annual Grant for director services equal to $50,0000. The shares vest quarterly on 9/30/19, 12/31/19, 3/31/20, and 6/30/2020. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares represented are restricted stock grants pursuant to 50% of compensatory Annual Grant for director services equal to $50,0000. The shares vest quarterly on 9/30/19, 12/31/19, 3/31/20, and 6/30/2020.
SEELOS THERAPEUTICS, INC.
Report date January 04, 2018 · Filed January 08, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.11 · Expires 2028-01-04 | Direct | 35,000 |
Reported balance
After 2018-01-04 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2018-01-04 · Grant · Acquired 35,000 · Balance 35,000 F1: The options to purchase shares of common stock were issued to the Reporting Person, a non-employee director of Issuer, as an annual stock option grant for his service as a director of the Issuer. F2: The options shall vest with respect to 1/12th of the underlying shares monthly, commencing with the first monthly vesting date of February 4, 2018, so that such options are fully vested on January 4, 2019. |
Filing footnotes · ownership attribution and instrument terms
F1: The options to purchase shares of common stock were issued to the Reporting Person, a non-employee director of Issuer, as an annual stock option grant for his service as a director of the Issuer.
F2: The options shall vest with respect to 1/12th of the underlying shares monthly, commencing with the first monthly vesting date of February 4, 2018, so that such options are fully vested on January 4, 2019.
Past disclosures · reporting ended (2)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
AKCEA THERAPEUTICS, INC.
Report date October 12, 2020 · Filed October 13, 2020
Section 16 reporting ended · disclosed 2020-10-13. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $12.21 · Expires 2027-06-04 | Direct | 0 |
Reported balance
After 2020-10-12 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2020-10-12 · Disposition to issuer · Disposed 52,837 · Balance 0 F1: This option, which provided that 25% of the shares would vest in equal yearly installments over four years on the anniversary of March 13, 2017, was cancelled in connection with the merger of the Issuer with a wholly owned subsidiary of Ionis Pharmaceuticals, Inc. in exchange for a cash payment of $313,851.78, representing the difference between the exercise price of the option and the acquisition price of $18.15. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $16.14 · Expires 2030-04-12 | Direct | 0 |
Reported balance
After 2020-10-12 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2020-10-12 · Disposition to issuer · Disposed 26,400 · Balance 0 F2: This option, which provided for vesting of the shares on April 13, 2021, was cancelled in connection with the merger of the Issuer with a wholly owned subsidiary of Ionis Pharmaceuticals, Inc. in exchange for a cash payment of $53,064.00, representing the difference between the exercise price of the option and the acquisition price of $18.15. |
Filing footnotes · ownership attribution and instrument terms
F1: This option, which provided that 25% of the shares would vest in equal yearly installments over four years on the anniversary of March 13, 2017, was cancelled in connection with the merger of the Issuer with a wholly owned subsidiary of Ionis Pharmaceuticals, Inc. in exchange for a cash payment of $313,851.78, representing the difference between the exercise price of the option and the acquisition price of $18.15.
F2: This option, which provided for vesting of the shares on April 13, 2021, was cancelled in connection with the merger of the Issuer with a wholly owned subsidiary of Ionis Pharmaceuticals, Inc. in exchange for a cash payment of $53,064.00, representing the difference between the exercise price of the option and the acquisition price of $18.15.
Aegerion Pharmaceuticals, Inc.
Report date November 29, 2016 · Filed November 30, 2016
Section 16 reporting ended · disclosed 2016-11-30. 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 2016-11-29 transaction · row 1
1 source rowRow 1 · 2016-11-29 · Disposition to issuer · Disposed 2,890 · Balance 0 F1: Disposed of in exchange for 2,963 common shares of Novelion Therapeutics Inc. ("Novelion") pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of June 14, 2016, by and among the Issuer, QLT Inc. ("QLT") and Isotope Acquisition Corp. ("Isotope"), pursuant to which Isotope was merged with and into the Issuer, effective November 29, 2016. Following completion of the merger, QLT was renamed "Novelion Therapeutics Inc." |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $16.28 · Expires 2022-01-03 | Direct | 0 |
Reported balance
After 2016-11-29 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2016-11-29 · Disposition to issuer · Disposed 16,435 · Balance 0 F2: Pursuant to the Merger Agreement, at the effective time of the merger, each option to acquire common stock of the Issuer that was outstanding and unexercised immediately prior to the effective time of the merger that had an exercise price per share equal to or greater than $1.88 (the product obtained by multiplying (i) the exchange ratio of 1.0256 (the "Exchange Ratio") by (ii) $1.83, the closing price of a common share of QLT on November 28, 2016) was cancelled without any payment or other consideration therefor. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $15.00 · Expires 2022-06-05 | Direct | 0 |
Reported balance
After 2016-11-29 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2016-11-29 · Disposition to issuer · Disposed 8,569 · Balance 0 F2: Pursuant to the Merger Agreement, at the effective time of the merger, each option to acquire common stock of the Issuer that was outstanding and unexercised immediately prior to the effective time of the merger that had an exercise price per share equal to or greater than $1.88 (the product obtained by multiplying (i) the exchange ratio of 1.0256 (the "Exchange Ratio") by (ii) $1.83, the closing price of a common share of QLT on November 28, 2016) was cancelled without any payment or other consideration therefor. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $64.73 · Expires 2023-06-26 | Direct | 0 |
Reported balance
After 2016-11-29 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2016-11-29 · Disposition to issuer · Disposed 14,700 · Balance 0 F2: Pursuant to the Merger Agreement, at the effective time of the merger, each option to acquire common stock of the Issuer that was outstanding and unexercised immediately prior to the effective time of the merger that had an exercise price per share equal to or greater than $1.88 (the product obtained by multiplying (i) the exchange ratio of 1.0256 (the "Exchange Ratio") by (ii) $1.83, the closing price of a common share of QLT on November 28, 2016) was cancelled without any payment or other consideration therefor. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $32.55 · Expires 2024-06-26 | Direct | 0 |
Reported balance
After 2016-11-29 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2016-11-29 · Disposition to issuer · Disposed 5,012 · Balance 0 F2: Pursuant to the Merger Agreement, at the effective time of the merger, each option to acquire common stock of the Issuer that was outstanding and unexercised immediately prior to the effective time of the merger that had an exercise price per share equal to or greater than $1.88 (the product obtained by multiplying (i) the exchange ratio of 1.0256 (the "Exchange Ratio") by (ii) $1.83, the closing price of a common share of QLT on November 28, 2016) was cancelled without any payment or other consideration therefor. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $17.98 · Expires 2025-06-26 | Direct | 0 |
Reported balance
After 2016-11-29 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2016-11-29 · Disposition to issuer · Disposed 18,000 · Balance 0 F2: Pursuant to the Merger Agreement, at the effective time of the merger, each option to acquire common stock of the Issuer that was outstanding and unexercised immediately prior to the effective time of the merger that had an exercise price per share equal to or greater than $1.88 (the product obtained by multiplying (i) the exchange ratio of 1.0256 (the "Exchange Ratio") by (ii) $1.83, the closing price of a common share of QLT on November 28, 2016) was cancelled without any payment or other consideration therefor. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $18.26 · Expires 2025-08-20 | Direct | 0 |
Reported balance
After 2016-11-29 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2016-11-29 · Disposition to issuer · Disposed 40,000 · Balance 0 F2: Pursuant to the Merger Agreement, at the effective time of the merger, each option to acquire common stock of the Issuer that was outstanding and unexercised immediately prior to the effective time of the merger that had an exercise price per share equal to or greater than $1.88 (the product obtained by multiplying (i) the exchange ratio of 1.0256 (the "Exchange Ratio") by (ii) $1.83, the closing price of a common share of QLT on November 28, 2016) was cancelled without any payment or other consideration therefor. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2016-11-29 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2016-11-29 · Disposition to issuer · Disposed 8,888 · Balance 0 F3: Each restricted stock unit represented a contingent right to receive one share of common stock. F5: Pursuant to the Merger Agreement, each restricted stock unit with respect to common stock of the Issuer ("Aegerion RSU") that was outstanding as of immediately prior to the effective time of the merger was exchanged for a restricted stock unit ("Novelion RSU") with respect to a number of common shares of Novelion equal to the product obtained by multiplying (i) the total number of shares of common stock of the Issuer subject to the Aegerion RSU immediately prior to the effective time of the merger by (ii) the Exchange Ratio. Each Novelion RSU is subject to the same terms and conditions applicable to the corresponding Aegerion RSU and the agreements evidencing grant of the Aegerion RSUs thereunder, including vesting terms, but excluding any terms that are rendered inoperative solely by reason of the merger. F4: 16.67% of the grant vested on January 27, 2016 and an additional 16.67% vested on July 27, 2016. Subject to the Reporting Person continuing to serve as a member of the board of the Issuer, an additional 16.67% of the grant was to vest on each of January 27, 2017, July 27, 2017, January 27, 2018 and August 21, 2018. |
Filing footnotes · ownership attribution and instrument terms
F1: Disposed of in exchange for 2,963 common shares of Novelion Therapeutics Inc. ("Novelion") pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of June 14, 2016, by and among the Issuer, QLT Inc. ("QLT") and Isotope Acquisition Corp. ("Isotope"), pursuant to which Isotope was merged with and into the Issuer, effective November 29, 2016. Following completion of the merger, QLT was renamed "Novelion Therapeutics Inc."
F2: Pursuant to the Merger Agreement, at the effective time of the merger, each option to acquire common stock of the Issuer that was outstanding and unexercised immediately prior to the effective time of the merger that had an exercise price per share equal to or greater than $1.88 (the product obtained by multiplying (i) the exchange ratio of 1.0256 (the "Exchange Ratio") by (ii) $1.83, the closing price of a common share of QLT on November 28, 2016) was cancelled without any payment or other consideration therefor.
F3: Each restricted stock unit represented a contingent right to receive one share of common stock.
F4: 16.67% of the grant vested on January 27, 2016 and an additional 16.67% vested on July 27, 2016. Subject to the Reporting Person continuing to serve as a member of the board of the Issuer, an additional 16.67% of the grant was to vest on each of January 27, 2017, July 27, 2017, January 27, 2018 and August 21, 2018.
F5: Pursuant to the Merger Agreement, each restricted stock unit with respect to common stock of the Issuer ("Aegerion RSU") that was outstanding as of immediately prior to the effective time of the merger was exchanged for a restricted stock unit ("Novelion RSU") with respect to a number of common shares of Novelion equal to the product obtained by multiplying (i) the total number of shares of common stock of the Issuer subject to the Aegerion RSU immediately prior to the effective time of the merger by (ii) the Exchange Ratio. Each Novelion RSU is subject to the same terms and conditions applicable to the corresponding Aegerion RSU and the agreements evidencing grant of the Aegerion RSUs thereunder, including vesting terms, but excluding any terms that are rendered inoperative solely by reason of the merger.
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 |
|---|---|---|---|---|---|---|
| January 27, 2017 Filed Feb 3, 2017 16:02 UTC Amendment | NOVELION THERAPEUTICS INC. NVLN · Entity 152369 | Exercise / conversionCommon Shares | 456 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-17-006423 · a4a.xml · nonDerivative · entry 1 SMITH SANDFORD D · CIK 0001243004 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,048 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. F1 · shares: Reflects a one-for-five share consolidation of the common shares of Novelion Therapeutics Inc. effective December 16, 2016. F2 · price: Each restricted stock unit represents a contingent right to receive one common share. F1 · balance_after: Reflects a one-for-five share consolidation of the common shares of Novelion Therapeutics Inc. effective December 16, 2016. F3 · balance_after: This Form 4/A is being filed to correct an inaccuracy in the Form 4 filed on January 31, 2017, which indicated that 148 common shares deliverable upon vesting of restricted stock units held by the Reporting Person were withheld to cover taxes payable by the Reporting Person. No shares were withheld. Read SEC document |
| January 05, 2017 Filed Jan 6, 2017 19:29 UTC | SEELOS THERAPEUTICS, INC. APRI · Entity 93662 | GrantCommon Stock | 11,250 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001017491-17-000011 · wf-form4_148374895466231.xml · nonDerivative · entry 1 SMITH SANDFORD D · CIK 0001243004 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,160 F1 · shares: The Restricted Stock Units ("RSUs") were issued to the Reporting Person, a non-employee director of the Issuer, as an annual equity grant for his service as a director of the Issuer. Such RSUs shall fully vest on the first anniversary of the grant date, January 5, 2018, and are subject to accelerated vesting upon a change of control of the Issuer. F2 · price: Not applicable. Read SEC document |
| January 03, 2017 Filed Jan 4, 2017 23:47 UTC | CYTOKINETICS INC CYTK · Entity 3528 | GrantNon-Qualified Stock Option (right to buy) · Derivative | 4,032 | $4.96 Strike: $12.40 | $19,999.93 |
DisclosureSEC source: 0001061983-17-000009 · edgardoc.xml · derivative · entry 1 SMITH SANDFORD D · CIK 0001243004 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,032 Underlying: Common Stock · 4,032 shares Expires 2027-01-03 F2 · price: This option was issued to the reporting person pursuant to the Cytokinetics 2004 Equity Incentive Plan in lieu of 50% of an annual retainer of $40,000.00 F1 · derivative.exercise_date: This option shall vest and become exercisable as to 4,032 shares divided into equal monthly installments such that the option shall be 100% vested on January 3, 2018. Read SEC document |
| December 22, 2016 Filed Dec 27, 2016 16:07 UTC | NOVELION THERAPEUTICS INC. NVLN · Entity 152369 | GrantStock Option (Right to Buy) · Derivative | 9,600 | $0.00 Strike: $8.65 | $0.00 |
DisclosureSEC source: 0001104659-16-163879 · a4.xml · derivative · entry 1 SMITH SANDFORD D · CIK 0001243004 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,600 Underlying: Common Shares · 9,600 shares Expires 2026-12-22 F1 · derivative.exercise_price: Each option has an exercise price equal to the closing price of a common share of the Issuer on the Nasdaq Global Select Market on the grant date. F2 · derivative.exercise_date: The common shares underlying this stock option award will vest in equal monthly installments over 36 months, beginning one month after the grant date. Read SEC document |
| November 29, 2016 Filed Nov 30, 2016 19:49 UTC | Aegerion Pharmaceuticals, Inc. AEGR · Entity 180735 | Disposition to issuerRestricted Stock Units · Derivative | 8,888 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-16-159824 · a4.xml · derivative · entry 8 SMITH SANDFORD D · CIK 0001243004 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 8,888 shares Expires not disclosed F3 · derivative.exercise_price: Each restricted stock unit represented a contingent right to receive one share of common stock. F5 · price: Pursuant to the Merger Agreement, each restricted stock unit with respect to common stock of the Issuer ("Aegerion RSU") that was outstanding as of immediately prior to the effective time of the merger was exchanged for a restricted stock unit ("Novelion RSU") with respect to a number of common shares of Novelion equal to the product obtained by multiplying (i) the total number of shares of common stock of the Issuer subject to the Aegerion RSU immediately prior to the effective time of the merger by (ii) the Exchange Ratio. Each Novelion RSU is subject to the same terms and conditions applicable to the corresponding Aegerion RSU and the agreements evidencing grant of the Aegerion RSUs thereunder, including vesting terms, but excluding any terms that are rendered inoperative solely by reason of the merger. F4 · derivative.exercise_date: 16.67% of the grant vested on January 27, 2016 and an additional 16.67% vested on July 27, 2016. Subject to the Reporting Person continuing to serve as a member of the board of the Issuer, an additional 16.67% of the grant was to vest on each of January 27, 2017, July 27, 2017, January 27, 2018 and August 21, 2018. F4 · derivative.expiration_date: 16.67% of the grant vested on January 27, 2016 and an additional 16.67% vested on July 27, 2016. Subject to the Reporting Person continuing to serve as a member of the board of the Issuer, an additional 16.67% of the grant was to vest on each of January 27, 2017, July 27, 2017, January 27, 2018 and August 21, 2018. Read SEC document |
| November 29, 2016 Filed Nov 30, 2016 19:49 UTC | Aegerion Pharmaceuticals, Inc. AEGR · Entity 180735 | Disposition to issuerStock Option (Right to Buy) · Derivative | 40,000 | Not disclosed Strike: $18.26 | Not disclosed |
DisclosureSEC source: 0001104659-16-159824 · a4.xml · derivative · entry 7 SMITH SANDFORD D · CIK 0001243004 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 40,000 shares Expires 2025-08-20 F2 · price: Pursuant to the Merger Agreement, at the effective time of the merger, each option to acquire common stock of the Issuer that was outstanding and unexercised immediately prior to the effective time of the merger that had an exercise price per share equal to or greater than $1.88 (the product obtained by multiplying (i) the exchange ratio of 1.0256 (the "Exchange Ratio") by (ii) $1.83, the closing price of a common share of QLT on November 28, 2016) was cancelled without any payment or other consideration therefor. Read SEC document |
| November 29, 2016 Filed Nov 30, 2016 19:49 UTC | Aegerion Pharmaceuticals, Inc. AEGR · Entity 180735 | Disposition to issuerStock Option (Right to Buy) · Derivative | 18,000 | Not disclosed Strike: $17.98 | Not disclosed |
DisclosureSEC source: 0001104659-16-159824 · a4.xml · derivative · entry 6 SMITH SANDFORD D · CIK 0001243004 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 18,000 shares Expires 2025-06-26 F2 · price: Pursuant to the Merger Agreement, at the effective time of the merger, each option to acquire common stock of the Issuer that was outstanding and unexercised immediately prior to the effective time of the merger that had an exercise price per share equal to or greater than $1.88 (the product obtained by multiplying (i) the exchange ratio of 1.0256 (the "Exchange Ratio") by (ii) $1.83, the closing price of a common share of QLT on November 28, 2016) was cancelled without any payment or other consideration therefor. Read SEC document |
| November 29, 2016 Filed Nov 30, 2016 19:49 UTC | Aegerion Pharmaceuticals, Inc. AEGR · Entity 180735 | Disposition to issuerStock Option (Right to Buy) · Derivative | 5,012 | Not disclosed Strike: $32.55 | Not disclosed |
DisclosureSEC source: 0001104659-16-159824 · a4.xml · derivative · entry 5 SMITH SANDFORD D · CIK 0001243004 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,012 shares Expires 2024-06-26 F2 · price: Pursuant to the Merger Agreement, at the effective time of the merger, each option to acquire common stock of the Issuer that was outstanding and unexercised immediately prior to the effective time of the merger that had an exercise price per share equal to or greater than $1.88 (the product obtained by multiplying (i) the exchange ratio of 1.0256 (the "Exchange Ratio") by (ii) $1.83, the closing price of a common share of QLT on November 28, 2016) was cancelled without any payment or other consideration therefor. Read SEC document |
| November 29, 2016 Filed Nov 30, 2016 19:49 UTC | Aegerion Pharmaceuticals, Inc. AEGR · Entity 180735 | Disposition to issuerStock Option (Right to Buy) · Derivative | 14,700 | Not disclosed Strike: $64.73 | Not disclosed |
DisclosureSEC source: 0001104659-16-159824 · a4.xml · derivative · entry 4 SMITH SANDFORD D · CIK 0001243004 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 14,700 shares Expires 2023-06-26 F2 · price: Pursuant to the Merger Agreement, at the effective time of the merger, each option to acquire common stock of the Issuer that was outstanding and unexercised immediately prior to the effective time of the merger that had an exercise price per share equal to or greater than $1.88 (the product obtained by multiplying (i) the exchange ratio of 1.0256 (the "Exchange Ratio") by (ii) $1.83, the closing price of a common share of QLT on November 28, 2016) was cancelled without any payment or other consideration therefor. Read SEC document |
| November 29, 2016 Filed Nov 30, 2016 19:49 UTC | Aegerion Pharmaceuticals, Inc. AEGR · Entity 180735 | Disposition to issuerStock Option (Right to Buy) · Derivative | 8,569 | Not disclosed Strike: $15.00 | Not disclosed |
DisclosureSEC source: 0001104659-16-159824 · a4.xml · derivative · entry 3 SMITH SANDFORD D · CIK 0001243004 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 8,569 shares Expires 2022-06-05 F2 · price: Pursuant to the Merger Agreement, at the effective time of the merger, each option to acquire common stock of the Issuer that was outstanding and unexercised immediately prior to the effective time of the merger that had an exercise price per share equal to or greater than $1.88 (the product obtained by multiplying (i) the exchange ratio of 1.0256 (the "Exchange Ratio") by (ii) $1.83, the closing price of a common share of QLT on November 28, 2016) was cancelled without any payment or other consideration therefor. Read SEC document |
| November 29, 2016 Filed Nov 30, 2016 19:49 UTC | Aegerion Pharmaceuticals, Inc. AEGR · Entity 180735 | Disposition to issuerStock Option (Right to Buy) · Derivative | 16,435 | Not disclosed Strike: $16.28 | Not disclosed |
DisclosureSEC source: 0001104659-16-159824 · a4.xml · derivative · entry 2 SMITH SANDFORD D · CIK 0001243004 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 16,435 shares Expires 2022-01-03 F2 · price: Pursuant to the Merger Agreement, at the effective time of the merger, each option to acquire common stock of the Issuer that was outstanding and unexercised immediately prior to the effective time of the merger that had an exercise price per share equal to or greater than $1.88 (the product obtained by multiplying (i) the exchange ratio of 1.0256 (the "Exchange Ratio") by (ii) $1.83, the closing price of a common share of QLT on November 28, 2016) was cancelled without any payment or other consideration therefor. Read SEC document |
| November 29, 2016 Filed Nov 30, 2016 19:49 UTC | Aegerion Pharmaceuticals, Inc. AEGR · Entity 180735 | Disposition to issuerCommon Stock | 2,890 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-16-159824 · a4.xml · nonDerivative · entry 1 SMITH SANDFORD D · CIK 0001243004 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · price: Disposed of in exchange for 2,963 common shares of Novelion Therapeutics Inc. ("Novelion") pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of June 14, 2016, by and among the Issuer, QLT Inc. ("QLT") and Isotope Acquisition Corp. ("Isotope"), pursuant to which Isotope was merged with and into the Issuer, effective November 29, 2016. Following completion of the merger, QLT was renamed "Novelion Therapeutics Inc." Read SEC document |
| November 29, 2016 Filed Dec 1, 2016 16:05 UTC | NOVELION THERAPEUTICS INC. NVLN · Entity 152369 | GrantRestricted Stock Units · Derivative | 9,115 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-16-160107 · a4.xml · derivative · entry 2 SMITH SANDFORD D · CIK 0001243004 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,115 Underlying: Common Shares · 9,115 shares Expires not disclosed F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one common share of the Issuer. F4 · price: Pursuant to the Merger Agreement, each restricted stock unit with respect to common stock of Aegerion ("Aegerion RSU") that was outstanding as of immediately prior to the effective time of the merger was exchanged for a restricted stock unit with respect to a number of common shares of the Issuer ("Issuer RSU") equal to the product obtained by multiplying (i) the total number of shares of common stock of Aegerion subject to the Aegerion RSU immediately prior to the effective time of the merger by (ii) the exchange ratio of 1.0256. Each Issuer RSU is subject to the same terms and conditions applicable to the corresponding Aegerion RSU and the agreements evidencing grant of the Aegerion RSUs thereunder, including vesting terms, but excluding any terms that are rendered inoperative solely by reason of the merger. F3 · derivative.exercise_date: 16.67% of the grant vested on January 27, 2016 and an additional 16.67% vested on July 27, 2016. Subject to the Reporting Person continuing to serve as a member of the board of the Issuer, an additional 16.67% of the grant will vest on each of January 27, 2017, July 27, 2017, January 27, 2018 and August 21, 2018. F3 · derivative.expiration_date: 16.67% of the grant vested on January 27, 2016 and an additional 16.67% vested on July 27, 2016. Subject to the Reporting Person continuing to serve as a member of the board of the Issuer, an additional 16.67% of the grant will vest on each of January 27, 2017, July 27, 2017, January 27, 2018 and August 21, 2018. Read SEC document |
| November 29, 2016 Filed Dec 1, 2016 16:05 UTC | NOVELION THERAPEUTICS INC. NVLN · Entity 152369 | GrantCommon Shares, without par value | 2,963 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-16-160107 · a4.xml · nonDerivative · entry 1 SMITH SANDFORD D · CIK 0001243004 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,963 F1 · price: Received in exchange for 2,890 shares of Aegerion Pharmaceuticals, Inc. ("Aegerion") common stock pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of June 14, 2016, by and among the Issuer, Aegerion and Isotope Acquisition Corp. ("Isotope"), pursuant to which Isotope was merged with and into Aegerion, effective November 29, 2016. On the date prior to the effective time of the merger, the closing price of Aegerion's common stock was $1.87 per share and the closing price of the Issuer's common shares was $1.83 per share. Read SEC document |
| September 30, 2016 Filed Oct 3, 2016 16:34 UTC | SEELOS THERAPEUTICS, INC. APRI · Entity 93662 | GrantCommon Stock | 9,607 | $0.34 | $3,250.05 |
DisclosureSEC source: 0001017491-16-000223 · wf-form4_147552684083082.xml · nonDerivative · entry 1 SMITH SANDFORD D · CIK 0001243004 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,093 F1 · shares: The shares of common stock were issued to the Reporting Person, a non-employee director of the Issuer, as partial payment for the quarterly retainer fee for his service as director of Issuer under an amended director compensation policy, which reduced the cash compensation payable to the Issuer's non-employee directors and in lieu of such cash compensation, resolved to grant shares of the Issuer's common stock. F2 · balance_after: The value of the shares being delivered in satisfaction of the payment was calculated based on the closing price of the Issuer's common stock on September 30, 2016. 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.