Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| MABVAX THERAPEUTICS HOLDINGS, INC.MBVX · Entity 167746 | Director | February 21, 2018 | February 23, 2018 |
| Xenetic Biosciences, Inc.XBIO · Entity 8008 | Director · Chief Executive Officer | December 11, 2023 | December 13, 2023 |
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.
MABVAX THERAPEUTICS HOLDINGS, INC.
Report date February 21, 2018 · Filed February 23, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Option to Purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $2.04 · Expires 2028-02-21 | Direct | 35,000 |
Reported balance
After 2018-02-21 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2018-02-21 · Grant · Acquired 35,000 · Balance 35,000 F1: Option award is partial compensation for service as a director. F2: The Option Shares shall vest on a monthly basis after the commencement date until fully vested on the one year anniversary of the commencement date. |
Filing footnotes · ownership attribution and instrument terms
F1: Option award is partial compensation for service as a director.
F2: The Option Shares shall vest on a monthly basis after the commencement date until fully vested on the one year anniversary of the commencement date.
Xenetic Biosciences, Inc.
Report date December 11, 2023 · Filed December 13, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $3.88 · Expires 2033-12-11 | Direct | 20,000 |
Reported balance
After 2023-12-11 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2023-12-11 · Grant · Acquired 20,000 · Balance 20,000 F1: The shares underlying the options will vest and become exercisable as follows: one-third of the shares shall vest on the first anniversary of December 11, 2023; the remaining two-thirds of the shares shall vest in eight equal quarterly installments commencing on March 11, 2025 and ending on December 11, 2026. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares underlying the options will vest and become exercisable as follows: one-third of the shares shall vest on the first anniversary of December 11, 2023; the remaining two-thirds of the shares shall vest in eight equal quarterly installments commencing on March 11, 2025 and ending on December 11, 2026.
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 |
|---|---|---|---|---|---|---|
| December 11, 2023 Filed Dec 13, 2023 17:30 UTC | Xenetic Biosciences, Inc. XBIO · Entity 8008 | GrantStock Options · Derivative | 20,000 | $0.00 Strike: $3.88 | $0.00 |
DisclosureSEC source: 0001683168-23-008824 · ownership.xml · derivative · entry 1 EISENBERG JEFFREY F · CIK 0001224096 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2033-12-11 F1 · derivative.exercise_date: The shares underlying the options will vest and become exercisable as follows: one-third of the shares shall vest on the first anniversary of December 11, 2023; the remaining two-thirds of the shares shall vest in eight equal quarterly installments commencing on March 11, 2025 and ending on December 11, 2026. Read SEC document |
| March 24, 2022 Filed Mar 28, 2022 17:16 UTC | Xenetic Biosciences, Inc. XBIO · Entity 8008 | GrantStock Options · Derivative | 100,000 | $0.00 Strike: $1.12 | $0.00 |
DisclosureSEC source: 0001683168-22-002000 · ownership.xml · derivative · entry 1 EISENBERG JEFFREY F · CIK 0001224096 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock · 100,000 shares Expires 2032-03-24 F1 · derivative.exercise_date: The shares underlying the options will vest and become exercisable as follows: one-third of the shares shall vest on the first anniversary of March 24, 2022; the remaining two-thirds of the shares shall vest in eight equal quarterly installments commencing on June 24, 2023 and ending on March 24, 2025. Read SEC document |
| March 18, 2021 Filed Mar 22, 2021 17:30 UTC | Xenetic Biosciences, Inc. XBIO · Entity 8008 | GrantStock Options · Derivative | 100,000 | $0.00 Strike: $2.60 | $0.00 |
DisclosureSEC source: 0001683168-21-001018 · ownership.xml · derivative · entry 1 EISENBERG JEFFREY F · CIK 0001224096 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock · 100,000 shares Expires 2031-03-18 F1 · derivative.exercise_date: The shares underlying the options will vest and become exercisable as follows: one-third of the shares shall vest on the first anniversary of March 18, 2021; the remaining two-thirds of the shares shall vest in eight equal quarterly installments commencing on June 18, 2022 and ending on March 18, 2024. Read SEC document |
| December 04, 2019 Filed Dec 6, 2019 18:30 UTC | Xenetic Biosciences, Inc. XBIO · Entity 8008 | GrantStock Options · Derivative | 230,000 | $0.00 Strike: $1.31 | $0.00 |
DisclosureSEC source: 0001683168-19-003915 · ownership.xml · derivative · entry 1 EISENBERG JEFFREY F · CIK 0001224096 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 230,000 Underlying: Common Stock · 230,000 shares Expires 2029-12-04 F1 · derivative.exercise_date: The shares underlying the options will vest and become exercisable as follows: 76,666 shares shall vest on the first anniversary of December 4, 2019 ("Vesting Start Date"); 76,667 shares shall vest on the second anniversary of the Vesting Start Date; and 76,667 shares shall vest on the third anniversary of the Vesting Start Date. Read SEC document |
| February 21, 2018 Filed Feb 23, 2018 15:45 UTC | MABVAX THERAPEUTICS HOLDINGS, INC. MBVX · Entity 167746 | GrantOption to Purchase Common Stock · Derivative | 35,000 | $0.00 Strike: $2.04 | $0.00 |
DisclosureSEC source: 0001415889-18-000308 · form4-02232018_120235.xml · derivative · entry 1 EISENBERG JEFFREY F · CIK 0001224096 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,000 Underlying: Common Stock · 35,000 shares Expires 2028-02-21 F1 · date: Option award is partial compensation for service as a director. F1 · price: Option award is partial compensation for service as a director. F2 · derivative.exercise_date: The Option Shares shall vest on a monthly basis after the commencement date until fully vested on the one year anniversary of the commencement date. Read SEC document |
| January 24, 2018 Filed Jan 24, 2018 19:13 UTC | MABVAX THERAPEUTICS HOLDINGS, INC. MBVX · Entity 167746 | SaleCommon Stock | 17,998 | $0.84 | $15,118.32 |
DisclosureSEC source: 0001415889-18-000120 · form4-01242018_040112.xml · nonDerivative · entry 2 EISENBERG JEFFREY F · CIK 0001224096 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,558 F1 · kind: Represents a portion of the number of shares required to be sold by the reporting person to cover estimated tax obligations in connection with the vesting of the RSUs of the reporting person. This sale is mandated by the Issuer's election, as approved by the Board of Directors, under the equity incentive plan to require satisfaction of estimated tax obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the reporting person. F3 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.82 to $0.86 per share, 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 range set forth in this footnote. Read SEC document |
| January 23, 2018 Filed Jan 24, 2018 19:13 UTC | MABVAX THERAPEUTICS HOLDINGS, INC. MBVX · Entity 167746 | SaleCommon Stock | 17,444 | $0.87 | $15,176.28 |
DisclosureSEC source: 0001415889-18-000120 · form4-01242018_040112.xml · nonDerivative · entry 1 EISENBERG JEFFREY F · CIK 0001224096 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 82,556 F1 · kind: Represents a portion of the number of shares required to be sold by the reporting person to cover estimated tax obligations in connection with the vesting of the RSUs of the reporting person. This sale is mandated by the Issuer's election, as approved by the Board of Directors, under the equity incentive plan to require satisfaction of estimated tax obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the reporting person. F2 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.85 to $0.89 per share, 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 range set forth in this footnote. Read SEC document |
| January 08, 2018 Filed Jan 12, 2018 17:23 UTC | MABVAX THERAPEUTICS HOLDINGS, INC. MBVX · Entity 167746 | Exercise / conversionRestricted Stock Unit · Derivative | 100,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001415889-18-000052 · form4-01122018_020133.xml · derivative · entry 2 EISENBERG JEFFREY F · CIK 0001224096 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,543 Underlying: Common Stock · 100,000 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 restricted stock unit is the economic equivalent of one share of common stock of the Issuer. F2 · price: Each restricted stock unit is the economic equivalent of one share of common stock of the Issuer. F3 · derivative.exercise_date: Restricted Stock Units vested on January 8, 2018, subject to the Reporting Person's continued employment or service with the Issuer on each such vesting date. F3 · derivative.expiration_date: Restricted Stock Units vested on January 8, 2018, subject to the Reporting Person's continued employment or service with the Issuer on each such vesting date. Read SEC document |
| January 08, 2018 Filed Jan 12, 2018 17:23 UTC | MABVAX THERAPEUTICS HOLDINGS, INC. MBVX · Entity 167746 | Exercise / conversionCommon Stock | 100,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-18-000052 · form4-01122018_020133.xml · nonDerivative · entry 1 EISENBERG JEFFREY F · CIK 0001224096 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 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 · kind: Represents conversion of restricted stock units into common stock upon vesting of such units granted on September 15, 2017 and October 2, 2017. F1 · price: Represents conversion of restricted stock units into common stock upon vesting of such units granted on September 15, 2017 and October 2, 2017. Read SEC document |
| October 26, 2017 Filed Oct 30, 2017 21:09 UTC | Xenetic Biosciences, Inc. XBIO · Entity 8008 | GrantStock Options · Derivative | 250,000 | $0.00 Strike: $2.11 | $0.00 |
DisclosureSEC source: 0001662252-17-000220 · form4.xml · derivative · entry 2 EISENBERG JEFFREY F · CIK 0001224096 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 250,000 Underlying: Common Stock · 250,000 shares Expires 2027-10-26 F2 · derivative.exercise_date: The shares underlying the option will vest and become exercisable as follows: 41,666 shares shall vest on the first anniversary of October 26, 2017 (the "Vesting Start Date"); 41,667 shares shall vest on the second anniversary of the Vesting Start Date; 41,667 shares shall vest on the third anniversary of the Vesting Start Date; 100,000 shares shall vest upon the achievement of key clinical milestones for XBIO-101; and 25,000 shares shall vest upon the achievement of key development milestones related to PSA. The Reporting Owner may not exercise any of the shares under the option if and until the Issuer receives shareholder approval of an increase in the number of shares of common stock authorized under the Company's equity incentive plan on or prior to October 11, 2018. Read SEC document |
| October 26, 2017 Filed Oct 30, 2017 21:09 UTC | Xenetic Biosciences, Inc. XBIO · Entity 8008 | GrantCommon Stock | 50,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001662252-17-000220 · form4.xml · nonDerivative · entry 1 EISENBERG JEFFREY F · CIK 0001224096 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 F1 · kind: This represents the grant of a restricted stock unit ("RSU") award. Each RSU represents the right to receive one share of the Issuer's common stock at vesting. The shares underlying the RSUs will vest and become exercisable as follows: one-third on the first anniversary of October 26, 2017 (the "Vesting Start Date"); one-third on the second anniversary of the Vesting Start Date; and one-third on the third anniversary of the Vesting Start Date. Read SEC document |
| October 02, 2017 Filed Oct 4, 2017 06:25 UTC | MABVAX THERAPEUTICS HOLDINGS, INC. MBVX · Entity 167746 | GrantRestricted Stock Unit · Derivative | 75,790 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001415889-17-001618 · form4-10042017_031003.xml · derivative · entry 1 EISENBERG JEFFREY F · CIK 0001224096 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,790 Underlying: Common Stock · 75,790 shares Expires not disclosed F1 · derivative.exercise_price: Grants of restricted stock units convert on a one-for-one basis into common stock and vest on January 8, 2018 or earlier under provisions of the Company's current equity incentive plan and individual employment agreements. Grants to management and board of directors are intended to provide incentives to remain at the company during activities related to evaluation of strategic options with an investment advisory bank intended on improving shareholder value and in consideration for potential success resulting from those efforts. F1 · price: Grants of restricted stock units convert on a one-for-one basis into common stock and vest on January 8, 2018 or earlier under provisions of the Company's current equity incentive plan and individual employment agreements. Grants to management and board of directors are intended to provide incentives to remain at the company during activities related to evaluation of strategic options with an investment advisory bank intended on improving shareholder value and in consideration for potential success resulting from those efforts. F1 · derivative.exercise_date: Grants of restricted stock units convert on a one-for-one basis into common stock and vest on January 8, 2018 or earlier under provisions of the Company's current equity incentive plan and individual employment agreements. Grants to management and board of directors are intended to provide incentives to remain at the company during activities related to evaluation of strategic options with an investment advisory bank intended on improving shareholder value and in consideration for potential success resulting from those efforts. F1 · derivative.expiration_date: Grants of restricted stock units convert on a one-for-one basis into common stock and vest on January 8, 2018 or earlier under provisions of the Company's current equity incentive plan and individual employment agreements. Grants to management and board of directors are intended to provide incentives to remain at the company during activities related to evaluation of strategic options with an investment advisory bank intended on improving shareholder value and in consideration for potential success resulting from those efforts. Read SEC document |
| September 15, 2017 Filed Sep 18, 2017 17:20 UTC | MABVAX THERAPEUTICS HOLDINGS, INC. MBVX · Entity 167746 | GrantRestricted Stock Unit · Derivative | 24,210 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001415889-17-001505 · form4-09182017_050927.xml · derivative · entry 1 EISENBERG JEFFREY F · CIK 0001224096 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,210 Underlying: Common Stock · 24,210 shares Expires not disclosed F1 · derivative.exercise_price: Grants of restricted stock units convert on a one-for-one basis into common stock and vest on January 8, 2018 or earlier under provisions of the Company's current equity incentive plan and individual employment agreements. Grants to management and board of directors are intended to provide incentives to remain at the company during activities related to evaluation of strategic options with an investment advisory bank intended on improving shareholder value and in consideration for potential success resulting from those efforts. F1 · price: Grants of restricted stock units convert on a one-for-one basis into common stock and vest on January 8, 2018 or earlier under provisions of the Company's current equity incentive plan and individual employment agreements. Grants to management and board of directors are intended to provide incentives to remain at the company during activities related to evaluation of strategic options with an investment advisory bank intended on improving shareholder value and in consideration for potential success resulting from those efforts. F1 · derivative.exercise_date: Grants of restricted stock units convert on a one-for-one basis into common stock and vest on January 8, 2018 or earlier under provisions of the Company's current equity incentive plan and individual employment agreements. Grants to management and board of directors are intended to provide incentives to remain at the company during activities related to evaluation of strategic options with an investment advisory bank intended on improving shareholder value and in consideration for potential success resulting from those efforts. F1 · derivative.expiration_date: Grants of restricted stock units convert on a one-for-one basis into common stock and vest on January 8, 2018 or earlier under provisions of the Company's current equity incentive plan and individual employment agreements. Grants to management and board of directors are intended to provide incentives to remain at the company during activities related to evaluation of strategic options with an investment advisory bank intended on improving shareholder value and in consideration for potential success resulting from those efforts. Read SEC document |
| June 12, 2017 Filed Jun 14, 2017 16:08 UTC | MABVAX THERAPEUTICS HOLDINGS, INC. MBVX · Entity 167746 | GrantOption to Purchase Common Stock · Derivative | 20,000 | $1.57 Strike: $1.57 | $31,400.00 |
DisclosureSEC source: 0001415889-17-000980 · form4-06142017_010649.xml · derivative · entry 1 EISENBERG JEFFREY F · CIK 0001224096 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2027-06-12 F1 · kind: Automatic Annual Grant to Non-Employee Director pursuant to the Issuer's Non-Employee Director Compensation Policy. F2 · derivative.exercise_date: Option vests and becomes exercisable one year after the date of grant, subject to recipient's continued service on the Company's Board of Directors. Read SEC document |
| May 19, 2017 Filed May 23, 2017 20:10 UTC | MABVAX THERAPEUTICS HOLDINGS, INC. MBVX · Entity 167746 | GrantOption to Purchase Common Stock · Derivative | 50,000 | $1.80 Strike: $1.80 | $90,000.00 |
DisclosureSEC source: 0001415889-17-000844 · form4-05232017_050520.xml · derivative · entry 1 EISENBERG JEFFREY F · CIK 0001224096 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Stock · 50,000 shares Expires 2027-05-19 F1 · derivative.exercise_date: The option is fully vested and exercisable and was issued pursuant to conditions of the Letter Agreement, dated May 15, 2017, by and between the Company and the lead investor in connection with the Company's public offering completed on May 19, 2017, and filed with the Securities and Exchange Commission on May 22, 2017 as Exhibit A of Exhibit 10.2 of the Company's Quarterly Report on Form 10-Q. Read SEC document |
| January 01, 2017 Filed Jan 3, 2017 21:10 UTC | MABVAX THERAPEUTICS HOLDINGS, INC. MBVX · Entity 167746 | GrantOption to Purchase Common Stock · Derivative | 2,300 | $3.38 Strike: $3.38 | $7,774.00 |
DisclosureSEC source: 0001415889-17-000027 · form4-01032017_060159.xml · derivative · entry 1 EISENBERG JEFFREY F · CIK 0001224096 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,300 Underlying: Common Stock · 2,300 shares Expires 2027-01-01 F1 · derivative.exercise_date: Such Options shall vest in equal annual installments over a three year period. Read SEC document |
| December 02, 2016 Filed Dec 6, 2016 16:07 UTC | Xenetic Biosciences, Inc. XBIO · Entity 8008 | GrantStock Options · Derivative | 75,100 | $0.00 Strike: $3.40 | $0.00 |
DisclosureSEC source: 0001662252-16-000276 · form4.xml · derivative · entry 4 EISENBERG JEFFREY F · CIK 0001224096 · Director · COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 230,000 Underlying: Common Stock · 75,100 shares Expires 2026-12-01 Read SEC document |
| December 02, 2016 Filed Dec 6, 2016 16:07 UTC | Xenetic Biosciences, Inc. XBIO · Entity 8008 | GrantStock Options · Derivative | 75,100 | $0.00 Strike: $3.40 | $0.00 |
DisclosureSEC source: 0001662252-16-000276 · form4.xml · derivative · entry 3 EISENBERG JEFFREY F · CIK 0001224096 · Director · COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 154,900 Underlying: Common Stock · 75,100 shares Expires 2026-12-01 Read SEC document |
| December 02, 2016 Filed Dec 6, 2016 16:07 UTC | Xenetic Biosciences, Inc. XBIO · Entity 8008 | GrantStock Options · Derivative | 75,100 | $0.00 Strike: $3.40 | $0.00 |
DisclosureSEC source: 0001662252-16-000276 · form4.xml · derivative · entry 2 EISENBERG JEFFREY F · CIK 0001224096 · Director · COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 79,800 Underlying: Common Stock · 75,100 shares Expires 2026-12-01 Read SEC document |
| December 02, 2016 Filed Dec 6, 2016 16:07 UTC | Xenetic Biosciences, Inc. XBIO · Entity 8008 | GrantStock Options · Derivative | 4,700 | $0.00 Strike: $3.40 | $0.00 |
DisclosureSEC source: 0001662252-16-000276 · form4.xml · derivative · entry 1 EISENBERG JEFFREY F · CIK 0001224096 · Director · COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,700 Underlying: Common Stock · 4,700 shares Expires 2026-12-01 F1 · price: On December 2, 2016 the Issuer entered into an Employment Agreement with Mr. Eisenberg. Under the terms of the Employment Agreement, Mr. Eisenberg has the right to purchase 230,000 shares of common stock of the Issuer (the "Option") under the Issuer's Equity Incentive Plan, effective January 23, 2014 (the "Plan") at an exercise price equal to the fair market value of the Company's common stock on the grant date. 4,700 shares were granted pursuant to the Option were deemed vested immediately. The Options expire December 1, 2026. 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.