ACERW / Acer Therapeutics Inc. Warrant - Insider Trading and Ownership Report - SEC Form 3, 4, 5

Acer Therapeutics Inc. ワラント
US ˙ NASDAQ
このシンボルはもうアクティブではありません

内部心理スコア

内部心理スコアは、企業の内部関係者によって買収されている企業を見つけます。

これは内部者の所有量が最も高い企業を特定する、洗練された多要素定量モデルの結果です。スコアリング・モデルでは、過去90日間に購入した内部者の正味数、浮動株の割合として購入された株式の合計、および内部者が所有する株式の合計を組み合わせて使用します。数値の範囲は0から100で、数値が大きいほど所有量が高く50が平均値です。

更新頻度: 1日

内部者の所有量が最も多い企業のリストを提供する 内部者トップピックを参照してください。

役員心理スコア

役員心理スコアは、役員によって購入されている企業を見つけます。

定義上、役員は内部者ですが、他の内部者 (10%株主と取締役) とは異なり、役員は日常的に会社のために働き、取引の際には自分のお金を使います。(10%株主や取締役は、他人のお金を管理するファンドマネージャーであることが多い。)このように、役員による内部者取引は、より重要であり、適切に取り扱われるべきです。

内部者心理スコアと同様に、役員心理スコアは、役員の所有量が最も高い企業を特定する高度な多要素定量モデルの結果です。

更新頻度: 1日

高心理スコア企業のリストを提供する 内部者トップピックを参照してください。

主要内部者指標

このカードは、同社がさまざまな内部者指標に沿ってどのようにランク付けされているかを示しています。パーセンタイルのランクは、この会社が米国市場の他の会社と比較してどうであるかを示しています。ランキングが高いほど状況が良いことを示しています。

例えば、内部者取引はポジティブな指標であるため、内部者取引の多い企業は、内部者取引の少ない企業 (あるいは内部者売却でさえ) よりも上位にランクされると一般的に考えられています。

正味内部者購入数 (ランク)

N/A

正味内部者購入数は、購入した内部者の総数から、過去90日間に売却した内部者の総数を差し引いたものです。パーセンタイルのランクがここに表示されます (0から100%の範囲) 。

内部者による浮動株購入率 (ランク)

N/A

内部者による浮動株購入率は、内部者が購入した株式の総数から、過去90日間に内部者が売却した株式の総数を差し引いたものを浮動株の総数で割り、100を乗じたものです。

内部者取引チャート

Acer Therapeutics Inc. Warrant内部者取引を次のチャートに示します。内部者とは、会社の役員、取締役、または重要な投資家のことです。一般的に、内部者が重要な非公開情報に基づいて自社の取引を行うことは一般的に違法です。これは、彼らが自分の会社で取引をすることが違法であるという意味ではありません。ただし、すべての取引をフォーム4を通じてSECに報告しなければなりません。

内部者名簿と収益性指標

この表は、既知の内部者を示しており、SECに開示されたファイルから自動的に生成されます。氏名、最新の役職名、取締役、役員または10%所有者の指定に加えて、開示された最新の保有株式を提供します。さらに、可能な場合は、内部者の過去の取引実績を提供します。過去の取引実績は、内部者による実際の公開市場での購入取引の実績の加重平均です。この計算方法の詳細については、こちらのYouTubeウェビナーをご覧ください。

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内部者 平均利益 (%) 所有
株式数
調整後
分割

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内部者購入の実績 - 短期利益分析

このセクションでは、ACERW / Acer Therapeutics Inc. Warrantで行われたすべての計画外の公開市場内部者購入の収益性を分析します。この分析は、内部者が一貫して異常なリターンを生成しているかどうかを理解するのに役立ちます。この分析は、各取引の1年間後のもので 結果は理論値です .

次の表は、自動取引計画に含まれていない直近の公開市場購入を示しています。

取引日 内部者 レポート
株式数
レポート
価格
調整後
株式数
調整後
価格
費用基準 最大
日数
最大
価格
最大
利益 ($)
最大リターン (%)
2022-11-29 ASELAGE STEVE 409,836 1.2200 409,836 1.2200 500,000 23 4.1500 1,200,820 240.16
2022-11-29 Schelling Chris 819,672 1.2200 819,672 1.2200 1,000,000
2021-12-10 ASELAGE STEVE 7,984 2.0400 7,984 2.0400 16,287
2021-12-09 ASELAGE STEVE 2,016 2.1500 2,016 2.1500 4,334
2020-07-24 Schelling Chris 142,857 3.5000 142,857 3.5000 500,000
2020-07-24 Joseph Donald 14,285 3.5000 14,285 3.5000 49,998
2020-07-24 DUNN JOHN MICHAEL 21,428 3.5000 21,428 3.5000 74,998
2020-07-24 ASELAGE STEVE 45,000 3.5000 45,000 3.5000 157,500
2019-07-03 ASELAGE STEVE 5,000 3.7162 5,000 3.7162 18,581

調整後価格は分割調整後価格です。 調整後株式数は分割調整後株式数です。

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内部者売却の実績 - 短期損失分析

このセクションでは、ACERW / Acer Therapeutics Inc. Warrantで行われたすべての予定外の公開市場の内部者取引の短期損失回避を分析します。損失回避の一貫したパターンは、将来の売却取引が価格の下落を予測する可能性を示唆しているかもしれません。この分析は、各取引の1年間後のものです。 結果は理論値です .

次の表は、自動取引プランに含まれていない直近の公開市場での売買を示しています。

取引日 内部者 レポート
株式数
レポート
価格
調整後
株式数
調整後
価格
費用基準 最小
日数
最小
価格
最大損失
回避 ($)
最大損失
回避 (%)
2016-11-18 BARABE TIMOTHY C 7,809 0.5509 7,809 0.5509 4,302 168
2016-11-18 BARABE TIMOTHY C 7,105 0.5500 7,105 0.5500 3,908

調整後価格は分割調整後価格です。 調整後株式数は分割調整後株式数です。

ACERW / Acer Therapeutics Inc. Warrant Insider Trades
取引履歴

リンクアイコンをクリックすると、完全な取引履歴が表示されます。10b5-1自動取引プランの一環として報告された取引には、「10b-5」の列にX印が表示されます。

提出
取引
フォーム 内部者 ティッカー 証券タイトル コード 10b5-1 直接 権利行使
価格
単位
価格
単位
変化
価値
変更 (千)
残り
オプション
残り
株式数
2023-11-20 2023-11-17 4 ASELAGE STEVE ACER Common Stock, $0.0001 par value per share D - Sale to Issuer D -483,741 0
2023-11-20 2023-11-17 4 DUNN JOHN MICHAEL ACER Common Stock, $0.0001 par value per share D - Sale to Issuer D -27,380 0
2023-11-20 2023-11-17 4 Joseph Donald ACER Common Stock, $0.0001 par value per share D - Sale to Issuer D -14,285 0
2023-11-20 2023-11-17 4 PALMIN HARRY S ACER Common Stock, $0.0001 par value per share D - Sale to Issuer D -125,000 0
2023-11-20 2023-11-17 4 Schelling Chris ACER Common Stock, $0.0001 par value per share D - Sale to Issuer D -2,712,529 0
2023-11-20 2023-11-17 4 Davis Jefferson E ACER Common Stock, $0.0001 par value per share D - Sale to Issuer D -71,645 0
2022-12-01 2022-11-29 4 Schelling Chris ACER Common Stock P - Purchase D 1.2200 819,672 1,000 2,712,529
2022-12-01 2022-11-29 4 ASELAGE STEVE ACER Common Stock P - Purchase D 1.2200 409,836 500 483,741
2022-02-23 2022-02-21 4 Quartel Adrian W ACER Employee Stock Option (right to buy) A - Award D 2.55 200,000 200,000
2022-01-21 2022-01-14 4 Paul Bernard H ACER Employee Stock Option (right to buy) A - Award D 2.21 25,000 25,000
2022-01-19 2022-01-14 4 Seibt Matthew ACER Employee Stock Option (right to buy) A - Award D 2.21 25,000 25,000
2022-01-19 2022-01-14 4 Schelling Chris ACER Employee Stock Option (right to buy) A - Award D 2.21 50,000 50,000
2022-01-19 2022-01-14 4 PALMIN HARRY S ACER Employee Stock Option (right to buy) A - Award D 2.21 25,000 25,000
2022-01-19 2022-01-14 4 Klopp John Michael ACER Employee Stock Option (right to buy) A - Award D 2.21 25,000 25,000
2022-01-19 2022-01-14 4 Joseph Donald ACER Employee Stock Option (right to buy) A - Award D 2.21 25,000 25,000
2022-01-19 2022-01-14 4 GRIFFIN MICHELLE RENEE ACER Stock Option (right to buy) A - Award D 2.21 18,500 18,500
2022-01-19 2022-01-14 4 DUNN JOHN MICHAEL ACER Stock Option (right to buy) A - Award D 2.21 18,500 18,500
2022-01-19 2022-01-14 4 Davis Jefferson E ACER Employee Stock Option (right to buy) A - Award D 2.21 25,000 25,000
2022-01-19 2022-01-14 4 ASELAGE STEVE ACER Stock Option (right to buy) A - Award D 2.21 18,500 18,500
2022-01-19 2022-01-14 4 Amello Jason ACER Stock Option (right to buy) A - Award D 2.21 18,500 18,500
2021-12-13 2021-12-10 4 ASELAGE STEVE ACER Common Stock P - Purchase D 2.0400 7,984 16 73,905
2021-12-13 2021-12-09 4 ASELAGE STEVE ACER Common Stock P - Purchase D 2.1500 2,016 4 65,921
2021-02-05 2021-02-03 4 Davis Jefferson E ACER Employee Stock Option (right to buy) A - Award D 3.89 100,000 100,000
2021-02-05 3 Davis Jefferson E ACER Common Stock, $0.0001 par value D 71,645
2021-01-20 2021-01-15 4 Seibt Matthew ACER Employee Stock Option (right to buy) A - Award D 3.85 20,000 20,000
2021-01-20 2021-01-15 4 Schelling Chris ACER Employee Stock Option (right to buy) A - Award D 3.85 40,000 40,000
2021-01-20 2021-01-15 4 PALMIN HARRY S ACER Employee Stock Option (right to buy) A - Award D 3.85 60,000 60,000
2021-01-20 2021-01-15 4 Klopp John Michael ACER Employee Stock Option (right to buy) A - Award D 3.85 20,000 20,000
2021-01-20 2021-01-15 4 Joseph Donald ACER Employee Stock Option (right to buy) A - Award D 3.85 60,000 60,000
2021-01-20 2021-01-15 4 GRIFFIN MICHELLE RENEE ACER Stock Option (right to buy) A - Award D 3.85 15,000 15,000
2021-01-20 2021-01-15 4 DUNN JOHN MICHAEL ACER Stock Option (right to buy) A - Award D 3.85 15,000 15,000
2021-01-20 2021-01-15 4 ASELAGE STEVE ACER Stock Option (right to buy) A - Award D 3.85 15,000 15,000
2021-01-20 2021-01-15 4 Amello Jason ACER Stock Option (right to buy) A - Award D 3.85 15,000 15,000
2020-07-28 2020-07-24 4 ASELAGE STEVE ACER Common Stock P - Purchase D 3.5000 45,000 158 63,905
2020-07-28 2020-07-24 4 DUNN JOHN MICHAEL ACER Common Stock P - Purchase D 3.5000 21,428 75 27,380
2020-07-28 2020-07-24 4 Joseph Donald ACER Common Stock P - Purchase D 3.5000 14,285 50 14,285
2020-07-28 2020-07-24 4 Schelling Chris ACER Common Stock P - Purchase D 3.5000 142,857 500 1,892,857
2020-03-04 2020-03-02 4 Andrews William T. ACER Common Stock F - Taxes D 3.2800 -3,142 -10 5,858
2020-01-03 2020-01-02 4 ASELAGE STEVE ACER Stock Option (right to buy) A - Award D 3.79 9,000 9,000
2020-01-03 2020-01-02 4 DUNN JOHN MICHAEL ACER Stock Option (right to buy) A - Award D 3.79 9,000 9,000
2020-01-03 2020-01-02 4 GRIFFIN MICHELLE RENEE ACER Stock Option (right to buy) A - Award D 3.79 9,000 9,000
2020-01-03 2020-01-02 4 Amello Jason ACER Stock Option (right to buy) A - Award D 3.79 9,000 9,000
2019-09-25 2019-09-18 4 Klopp John Michael ACER Employee Stock Option (right to buy) A - Award D 3.42 50,000 50,000
2019-09-23 2019-09-18 4 Seibt Matthew ACER Employee Stock Option (right to buy) A - Award D 3.42 50,000 50,000
2019-09-23 2019-09-18 4 Andrews William T. ACER Employee Stock Option (right to buy) A - Award D 3.42 40,000 40,000
2019-09-23 2019-09-18 4 Joseph Donald ACER Employee Stock Option (right to buy) A - Award D 3.42 40,000 40,000
2019-09-23 2019-09-18 4 PALMIN HARRY S ACER Employee Stock Option (right to buy) A - Award D 3.42 40,000 40,000
2019-07-05 2019-07-03 4 ASELAGE STEVE ACER Common Stock P - Purchase D 3.7162 5,000 19 18,905
2019-03-05 2019-03-01 4 Andrews William T. ACER Common Stock A - Award D 9,000 9,000
2019-02-05 2019-02-01 4 Schelling Chris ACER Employee Stock Option (right to buy) A - Award D 24.46 72,500 72,500
2019-02-05 2019-02-01 4 PALMIN HARRY S ACER Employee Stock Option (right to buy) A - Award D 24.46 27,000 27,000
2019-02-05 2019-02-01 4 Joseph Donald ACER Employee Stock Option (right to buy) A - Award D 24.46 27,000 27,000
2019-02-05 2019-02-01 4 GRIFFIN MICHELLE RENEE ACER Employee Stock Option (right to buy) A - Award D 24.46 6,000 6,000
2019-02-05 2019-02-01 4 DUNN JOHN MICHAEL ACER Employee Stock Option (right to buy) A - Award D 24.46 6,000 6,000
2019-02-05 2019-02-01 4 ASELAGE STEVE ACER Employee Stock Option (right to buy) A - Award D 24.46 6,000 6,000
2019-02-05 2019-02-01 4 Andrews William T. ACER Employee Stock Option (right to buy) A - Award D 24.46 27,000 27,000
2019-02-05 2019-02-01 4 Amello Jason ACER Employee Stock Option (right to buy) A - Award D 24.46 6,000 6,000
2018-12-06 2018-12-04 4 Jutt-Eghbali Salma ACER Employee Stock Option (right to buy) A - Award D 22.18 60,000 60,000
2018-08-22 2018-08-01 4 TVM Life Science Ventures VII L.P. ACER Common Stock P - Purchase I 18.0000 275,000 4,950 1,697,709
2018-04-23 2018-04-20 4 Joseph Donald ACER Employee Stock Option (right to buy) A - Award D 18.53 60,000 60,000
2018-01-12 2017-12-12 4 TVM Life Science Ventures VI GmbH & Co KG ACER Common Stock P - Purchase I 12.0000 250,000 3,000 1,422,709
2018-01-12 2017-12-12 4 TVM Life Science Ventures VI GmbH & Co KG ACER Common Stock P - Purchase I 12.0000 21,271 255 248,756
2018-01-12 2017-12-12 4 TVM Life Science Ventures VI GmbH & Co KG ACER Common Stock P - Purchase I 12.0000 62,062 745 725,844
2017-12-18 2017-12-14 4 ASELAGE STEVE ACER Common Stock P - Purchase D 12.0000 2,000 24 13,905
2017-10-06 2017-10-04 4 Schelling Chris ACER Employee Stock Option (right to buy) A - Award D 15.34 46,000 46,000
2017-10-06 2017-10-04 4 PALMIN HARRY S ACER Employee Stock Option (right to buy) A - Award D 15.34 67,600 67,600
2017-10-06 2017-10-04 4 Amello Jason ACER Stock Option (right to buy) A - Award D 15.34 9,000 9,000
2017-10-06 2017-10-04 4 DUNN JOHN MICHAEL ACER Stock Option (right to buy) A - Award D 15.34 6,000 6,000
2017-10-06 2017-10-04 4 GRIFFIN MICHELLE RENEE ACER Stock Option (right to buy) A - Award D 15.34 9,000 9,000
2017-10-06 2017-10-04 4 ASELAGE STEVE ACER Stock Option (right to buy) A - Award D 15.34 6,000 6,000
2017-10-06 2017-10-04 4 Andrews William T. ACER Employee Stock Option (right to buy) A - Award D 15.34 100,000 100,000
2017-09-27 3 TVM Life Science Ventures VI GmbH & Co KG ACER Common Stock I 2,291,461
2017-09-27 3 TVM Life Science Ventures VI GmbH & Co KG ACER Common Stock I 2,727,758
2017-09-27 3 TVM Life Science Ventures VI GmbH & Co KG ACER Common Stock I 2,291,461
2017-09-27 3 TVM Life Science Ventures VI GmbH & Co KG ACER Common Stock I 3,236,685
2017-09-27 3 TVM Life Science Ventures VI GmbH & Co KG ACER Common Stock I 3,236,685
2017-09-27 3 TVM Life Science Ventures VI GmbH & Co KG ACER Common Stock I 2,291,461
2017-09-27 3 TVM Life Science Ventures VI GmbH & Co KG ACER Common Stock I 3,236,685
2017-09-27 3 TVM Life Science Ventures VI GmbH & Co KG ACER Common Stock I 2,727,758
2017-09-27 3 TVM Life Science Ventures VI GmbH & Co KG ACER Common Stock I 2,291,461
2017-09-27 3 TVM Life Science Ventures VI GmbH & Co KG ACER Common Stock I 3,236,685
2017-09-27 3 TVM Life Science Ventures VI GmbH & Co KG ACER Common Stock I 2,291,461
2017-09-27 3 TVM Life Science Ventures VI GmbH & Co KG ACER Common Stock I 3,236,685
2017-09-27 3 TVM Life Science Ventures VI GmbH & Co KG ACER Common Stock I 2,727,758
2017-09-27 3 TVM Life Science Ventures VI GmbH & Co KG ACER Common Stock I 2,291,461
2017-09-27 3 TVM Life Science Ventures VI GmbH & Co KG ACER Common Stock I 3,236,685
2017-09-27 3 TVM Life Science Ventures VI GmbH & Co KG ACER Common Stock I 2,727,758
2017-09-27 3 TVM Life Science Ventures VI GmbH & Co KG ACER Common Stock I 2,291,461
2017-09-27 3 TVM Life Science Ventures VI GmbH & Co KG ACER Common Stock I 3,236,685
2017-09-27 3 TVM Life Science Ventures VI GmbH & Co KG ACER Common Stock I 2,727,758
2017-09-27 3 TVM Life Science Ventures VI GmbH & Co KG ACER Common Stock I 2,291,461
2017-09-27 3 TVM Life Science Ventures VI GmbH & Co KG ACER Common Stock I 2,727,758
2017-09-27 3 TVM Life Science Ventures VI GmbH & Co KG ACER Common Stock I 3,236,685
2017-09-27 3 TVM Life Science Ventures VI GmbH & Co KG ACER Common Stock I 2,727,758
2017-09-27 3 TVM Life Science Ventures VI GmbH & Co KG ACER Common Stock I 2,291,461
2017-09-27 3 TVM Life Science Ventures VI GmbH & Co KG ACER Common Stock I 3,236,685
2017-09-27 3 TVM Life Science Ventures VI GmbH & Co KG ACER Common Stock I 2,727,758
2017-09-27 3 TVM Life Science Ventures VI GmbH & Co KG ACER Common Stock I 2,291,461
2017-09-27 3 TVM Life Science Ventures VI GmbH & Co KG ACER Common Stock I 3,236,685
2017-09-27 3 TVM Life Science Ventures VI GmbH & Co KG ACER Common Stock I 2,727,758
2017-09-27 3 TVM Life Science Ventures VI GmbH & Co KG ACER Common Stock I 2,727,758
2017-09-27 2017-09-19 4 TVM Life Science Ventures VI GmbH & Co KG ACER Common Stock J - Other I 1,172,709 1,172,709
2017-09-27 2017-09-19 4 TVM Life Science Ventures VI GmbH & Co KG ACER Common Stock J - Other I 227,485 227,485
2017-09-27 2017-09-19 4 TVM Life Science Ventures VI GmbH & Co KG ACER Common Stock J - Other I 663,782 663,782
2017-09-21 2017-09-19 4 Schelling Chris ACER Common Stock J - Other D 1,750,000 1,750,000
2017-09-21 2017-09-19 4 DUNN JOHN MICHAEL ACER Nonqualified Stock Option (right to buy) J - Other D 2.55 16,000 16,000
2017-09-21 2017-09-19 4 DUNN JOHN MICHAEL ACER Common Stock J - Other D 5,952 5,952
2017-09-21 2017-09-19 4 ASELAGE STEVE ACER Nonqualified Stock Option (right to buy) J - Other D 2.55 21,000 21,000
2017-09-21 2017-09-19 4 ASELAGE STEVE ACER Common Stock J - Other D 11,905 11,905
2017-09-21 2017-09-19 4 PALMIN HARRY S ACER Common Stock J - Other D 125,000 125,000
2017-09-21 2017-09-19 4 Steiner Robert D ACER Nonqualified Stock Option (right to buy) J - Other D 2.55 40,000 40,000
2016-11-22 2016-11-18 4 BARABE TIMOTHY C OPXA Warrants (Right to Buy) S - Sale D 12.00 0.0059 -16,000 -0 0
2016-11-22 2016-11-18 4 BARABE TIMOTHY C OPXA Common Stock S - Sale D 0.5509 -7,809 -4 12,910
2016-11-22 2016-11-18 4 BARABE TIMOTHY C OPXA Common Stock S - Sale D 0.5500 -7,105 -4 20,719
2016-10-04 2016-09-30 4 BARABE TIMOTHY C OPXA Common Stock A - Award D 6,455 27,824
2016-10-04 2016-09-30 4 Seaman Scott B OPXA Common Stock A - Award D 6,455 29,989
2016-10-04 2016-09-30 4 Richman Michael OPXA Common Stock A - Award D 6,455 25,884
2016-10-04 2016-09-30 4 Maderis Gail J OPXA Common Stock A - Award D 6,455 25,884
2016-07-01 2016-06-30 4 BARABE TIMOTHY C OPXA Common Stock A - Award D 6,455 21,369
2016-07-01 2016-06-30 4 Seaman Scott B OPXA Common Stock A - Award D 6,455 23,534
2016-07-01 2016-06-30 4 Richman Michael OPXA Common Stock A - Award D 6,455 19,429
2016-07-01 2016-06-30 4 Maderis Gail J OPXA Common Stock A - Award D 6,455 19,429
2016-05-18 2016-05-16 4 BARABE TIMOTHY C OPXA Common Stock A - Award D 6,455 14,914
2016-05-18 2016-05-16 4 Seaman Scott B OPXA Common Stock A - Award D 6,455 17,079
2016-05-18 2016-05-16 4 Richman Michael OPXA Common Stock A - Award D 6,455 12,974
2016-05-18 2016-05-16 4 Rill Donna R OPXA Employee Stock Option (Right to Buy) A - Award D 2.13 50,000 50,000
2016-05-18 2016-05-16 4 Warma Neil K OPXA Employee Stock Option (Right to Buy) A - Award D 2.13 50,000 50,000
2016-05-18 2016-05-16 4 Maderis Gail J OPXA Common Stock A - Award D 6,455 12,974
2016-05-18 2016-05-16 4 Healey Don OPXA Employee Stock Option (Right to Buy) A - Award D 2.13 50,000 50,000
2016-01-04 2015-12-31 4 Maderis Gail J OPXA Common Stock A - Award D 1,354 6,520
2016-01-04 2015-12-31 4 BARABE TIMOTHY C OPXA Common Stock A - Award D 1,354 8,460
2016-01-04 2015-12-31 4 Richman Michael OPXA Common Stock A - Award D 1,354 6,520
2015-11-03 3 Healey Don OPXA Common Stock D 8,090
2015-11-03 3 Healey Don OPXA Common Stock D 8,090
2015-10-02 2015-09-30 4 Richman Michael OPXA Common Stock A - Award D 1,200 5,166
2015-10-02 2015-09-30 4 Maderis Gail J OPXA Common Stock A - Award D 1,200 5,166
2015-10-02 2015-09-30 4 BARABE TIMOTHY C OPXA Common Stock A - Award D 1,200 7,106
2015-07-01 2015-06-30 4 BARABE TIMOTHY C OPXA Common Stock A - Award D 8,427 47,245
2015-07-01 2015-06-30 4 Richman Michael OPXA Common Stock A - Award D 8,427 31,729
2015-07-01 2015-06-30 4 Maderis Gail J OPXA Common Stock A - Award D 8,427 31,729
2015-04-09 2015-04-08 4 BARABE TIMOTHY C OPXA Warrants (Right to Buy) M - Exercise D 16,000 16,000
2015-04-09 2015-04-08 4 BARABE TIMOTHY C OPXA Subscription Rights (Right to Buy) M - Exercise D 0.55 -16,000 0
2015-04-09 2015-04-08 4 BARABE TIMOTHY C OPXA Common Stock M - Exercise D 16,000 38,818
2015-04-09 2015-04-08 4 Seaman Scott B OPXA Warrants (Right to Buy) M - Exercise I 518,707 518,707
2015-04-09 2015-04-08 4 Seaman Scott B OPXA Subscription Rights (Right to Buy) M - Exercise I 0.55 -518,707 0
2015-04-09 2015-04-08 4 Seaman Scott B OPXA Warrants (Right to Buy) M - Exercise D 44,087 44,087
2015-04-09 2015-04-08 4 Seaman Scott B OPXA Subscription Rights (Right to Buy) M - Exercise D 0.55 -44,087 0
2015-04-09 2015-04-08 4 Seaman Scott B OPXA Common Stock M - Exercise I 518,707 1,037,414
2015-04-09 2015-04-08 4 Seaman Scott B OPXA Common Stock M - Exercise D 44,087 85,000
2015-04-09 2015-04-08 4 Richman Michael OPXA Warrants (Right to Buy) M - Exercise D 8,242 8,242
2015-04-09 2015-04-08 4 Richman Michael OPXA Subscription Rights (Right to Buy) M - Exercise D 0.55 -8,242 0
2015-04-09 2015-04-08 4 Richman Michael OPXA Common Stock M - Exercise D 8,242 23,302
2015-04-09 2015-04-08 4 Warma Neil K OPXA Warrants (Right to Buy) M - Exercise D 37,247 37,247
2015-04-09 2015-04-08 4 Warma Neil K OPXA Subscription Rights (Right to Buy) M - Exercise D 0.55 -37,247 0
2015-04-09 2015-04-08 4 Warma Neil K OPXA Common Stock M - Exercise D 37,247 144,881
2015-04-09 2015-04-08 4 Maderis Gail J OPXA Warrants (Right to Buy) M - Exercise D 8,242 8,242
2015-04-09 2015-04-08 4 Maderis Gail J OPXA Subscription Rights (Right to Buy) M - Exercise D 0.55 -8,242 0
2015-04-09 2015-04-08 4 Maderis Gail J OPXA Common Stock M - Exercise D 8,242 23,302
2015-04-09 2015-04-08 4 Radhakrishnan Karthik OPXA Warrants (Right to Buy) M - Exercise D 50,000 50,000
2015-04-09 2015-04-08 4 Radhakrishnan Karthik OPXA Subscription Rights (Right to Buy) M - Exercise D 0.55 -50,000 0
2015-04-09 2015-04-08 4 Radhakrishnan Karthik OPXA Common Stock M - Exercise D 50,000 124,659
2015-04-01 2015-03-31 4 BARABE TIMOTHY C OPXA Common Stock A - Award D 6,818 22,818
2015-04-01 2015-03-30 4 BARABE TIMOTHY C OPXA Stock Option (Right to Buy) A - Award D 0.53 23,804 23,804
2015-04-01 2015-03-30 4 BARABE TIMOTHY C OPXA Stock Option (Right to Buy) A - Award D 0.53 71,410 71,410
2015-04-01 2015-03-30 4 Seaman Scott B OPXA Stock Option (Right to Buy) A - Award D 0.53 35,706 35,706
2015-04-01 2015-03-30 4 Seaman Scott B OPXA Stock Option (Right to Buy) A - Award D 0.53 23,804 23,804
2015-04-01 2015-03-30 4 Seaman Scott B OPXA Stock Option (Right to Buy) A - Award D 0.53 71,410 71,410
2015-04-01 2015-03-31 4 Richman Michael OPXA Common Stock A - Award D 6,818 15,060
2015-04-01 2015-03-30 4 Richman Michael OPXA Stock Option (Right to Buy) A - Award D 0.53 23,804 23,804
2015-04-01 2015-03-30 4 Richman Michael OPXA Stock Option (Right to Buy) A - Award D 0.53 71,410 71,410
2015-04-01 2015-03-31 4 Maderis Gail J OPXA Common Stock A - Award D 6,818 15,060
2015-04-01 2015-03-30 4 Maderis Gail J OPXA Stock Option (Right to Buy) A - Award D 0.53 23,804 23,804
2015-04-01 2015-03-30 4 Maderis Gail J OPXA Stock Option (Right to Buy) A - Award D 0.53 71,410 71,410
2015-04-01 2015-03-30 4 Hartung Hans-Peter OPXA Stock Option (Right to Buy) A - Award D 0.53 23,804 23,804
2015-04-01 2015-03-30 4 Hartung Hans-Peter OPXA Stock Option (Right to Buy) A - Award D 0.53 71,410 71,410
2015-03-04 2015-03-02 4 Warma Neil K OPXA Employee Stock Option (Right to Buy) A - Award D 0.82 120,000 120,000
2015-03-04 2015-03-02 4 Rill Donna R OPXA Employee Stock Option (Right to Buy) A - Award D 0.82 50,000 50,000
2015-03-04 2015-03-02 4 Radhakrishnan Karthik OPXA Employee Stock Option (Right to Buy) A - Award D 0.82 50,000 50,000
2014-09-18 2014-09-17 4 BARABE TIMOTHY C OPXA Common Stock P - Purchase D 1.1500 10,000 12 16,000
2014-09-17 2014-09-16 4 Warma Neil K OPXA Common Stock P - Purchase D 1.1100 10,000 11 107,634
2014-03-21 3 BARABE TIMOTHY C OPXA Common Stock D 0
2014-03-21 2014-03-19 4 BARABE TIMOTHY C OPXA Stock Option (Right to Buy) A - Award D 2.00 4,300 4,300
2014-03-21 2014-03-19 4 BARABE TIMOTHY C OPXA Stock Option (Right to Buy) A - Award D 2.00 12,900 12,900
2014-03-21 2014-03-19 4 BARABE TIMOTHY C OPXA Common Stock A - Award D 6,000 6,000
2014-03-21 3 Hartung Hans-Peter OPXA Common Stock D 0
2014-03-21 2014-03-19 4 Hartung Hans-Peter OPXA Stock Option (Right to Buy) A - Award D 2.00 6,450 6,450
2014-03-21 2014-03-19 4 Hartung Hans-Peter OPXA Stock Option (Right to Buy) A - Award D 2.00 4,300 4,300
2014-03-21 2014-03-19 4 Hartung Hans-Peter OPXA Stock Option (Right to Buy) A - Award D 2.00 12,900 12,900
2014-03-04 2014-02-28 4 Seaman Scott B OPXA Stock Option (Right to Buy) A - Award D 1.82 8,844 8,844
2014-03-04 2014-02-28 4 Seaman Scott B OPXA Stock Option (Right to Buy) A - Award D 1.82 5,896 5,896
2014-03-04 2014-02-28 4 Seaman Scott B OPXA Stock Option (Right to Buy) A - Award D 1.82 17,686 17,686
2014-03-04 2014-02-28 4 Richman Michael OPXA Stock Option (Right to Buy) A - Award D 1.82 5,896 5,896
2014-03-04 2014-02-28 4 Richman Michael OPXA Stock Option (Right to Buy) A - Award D 1.82 17,686 17,686
2014-03-04 2014-02-28 4 Richman Michael OPXA Common Stock A - Award D 8,242 8,242
2014-03-04 2014-02-28 4 Rill Donna R OPXA Employee Stock Option (Right to Buy) A - Award D 1.82 64,625 64,625
2014-03-04 2014-02-28 4 Rill Donna R OPXA Common Stock A - Award D 12,363 32,765
2014-03-04 2014-02-28 4 Warma Neil K OPXA Employee Stock Option (Right to Buy) A - Award D 1.82 316,250 316,250
2014-03-04 2014-02-28 4 Warma Neil K OPXA Common Stock A - Award D 51,748 97,634
2014-03-04 2014-02-28 4 Maderis Gail J OPXA Stock Option (Right to Buy) A - Award D 1.82 5,896 5,896
2014-03-04 2014-02-28 4 Maderis Gail J OPXA Stock Option (Right to Buy) A - Award D 1.82 17,686 17,686
2014-03-04 2014-02-28 4 Maderis Gail J OPXA Common Stock A - Award D 8,242 8,242
2014-03-04 2014-02-28 4 Radhakrishnan Karthik OPXA Employee Stock Option (Right to Buy) A - Award D 1.82 64,625 64,625
2014-03-04 2014-02-28 4 Radhakrishnan Karthik OPXA Common Stock A - Award D 16,659 74,659
2013-12-18 2013-12-18 4 Seaman Scott B OPXA Common Stock P - Purchase D 1.7000 30,000 51 40,913
2013-12-18 2013-12-18 4 Radhakrishnan Karthik OPXA Common Stock P - Purchase D 1.7000 8,000 14 58,000
2013-11-12 2013-11-08 4 Rill Donna R OPXA Common Stock A - Award D 20,000 20,402
2013-11-12 2013-11-08 4 Warma Neil K OPXA Employee Stock Option (right to buy) A - Award D 1.88 50,000 50,000
2013-11-12 2013-11-08 4 Warma Neil K OPXA Common Stock A - Award D 28,571 45,886
2013-09-26 2013-09-24 4 JORDEN DAVID EMERSON OPXA Convertible Promissory Note C - Conversion D 1.91 0
2013-09-26 2013-09-24 4 JORDEN DAVID EMERSON OPXA Common Stock C - Conversion D 1.9100 61,912 118 293,456
2013-09-26 2013-09-24 4 Seaman Scott B See footnote. OPXA Convertible Promissory Note C - Conversion I 1.91 0
2013-09-26 2013-09-24 4 Seaman Scott B See footnote. OPXA Common Stock C - Conversion I 1.9100 269,182 514 518,708
2013-09-26 2013-09-24 4 Warma Neil K OPXA Convertible Promissory Note C - Conversion D 1.91 0
2013-09-26 2013-09-24 4 Warma Neil K OPXA Common Stock C - Conversion D 1.9100 8,076 15 17,315
2013-08-09 2013-08-08 4 Radhakrishnan Karthik OPXA Common Stock P - Purchase D 1.5000 50,000 75 50,000
2013-07-02 2013-06-30 4 JORDEN DAVID EMERSON OPXA Common Stock A - Award D 1.5400 4,450 7 231,544
2013-07-02 2013-06-30 4 Seaman Scott B OPXA Common Stock A - Award I 1.5400 19,345 30 249,526
2013-07-02 2013-06-30 4 Warma Neil K OPXA Common Stock A - Award D 1.5400 581 1 9,239
2013-06-14 2013-02-04 4/A Warma Neil K OPXA Employee Stock Option (right to buy) A - Award D 3.80 95,970 95,970
2013-06-14 2013-04-29 4/A Rill Donna R OPXA Employee Stock Option (right to buy) A - Award D 1.75 20,000 20,000
2013-06-14 2013-02-04 4/A Rill Donna R OPXA Employee Stock Option (right to buy) A - Award D 3.80 20,939 20,939
2013-05-01 2013-04-29 4 JORDEN DAVID EMERSON OPXA Stock Option (Right to Buy) A - Award D 1.75 17,143 17,143
2013-05-01 2013-04-29 4 JORDEN DAVID EMERSON OPXA Stock Option (Right to Buy) A - Award D 1.75 5,000 5,000
2013-05-01 2013-04-29 4 Seaman Scott B OPXA Stock Option (Right to Buy) A - Award D 1.75 17,143 17,143
2013-05-01 2013-04-29 4 Seaman Scott B OPXA Stock Option (Right to Buy) A - Award D 1.75 5,000 5,000
2013-05-01 2013-04-29 4 Richman Michael OPXA Stock Option (Right to Buy) A - Award D 1.75 17,143 17,143
2013-05-01 2013-04-29 4 Richman Michael OPXA Stock Option (Right to Buy) A - Award D 1.75 5,000 5,000
2013-05-01 2013-04-29 4 Rill Donna R OPXA Employee Stock Option (right to buy) A - Award D 1.75 20,000 20,000
2013-05-01 2013-04-29 4 Rill Donna R OPXA Common Stock A - Award D 20,000 20,402
2013-05-01 2013-02-04 4 Rill Donna R OPXA Employee Stock Option (right to buy) A - Award D 3.80 20,939 20,939
2013-05-01 2013-04-29 4 Warma Neil K OPXA Employee Stock Option (right to buy) A - Award D 1.75 50,000 50,000
2013-05-01 2013-04-29 4 Warma Neil K OPXA Common Stock A - Award D 28,571 37,229
2013-05-01 2013-02-04 4 Warma Neil K OPXA Employee Stock Option (right to buy) A - Award D 3.80 95,970 95,970
2013-05-01 2013-04-29 4 Maderis Gail J OPXA Stock Option (Right to Buy) A - Award D 1.75 17,143 17,143
2013-05-01 2013-04-29 4 Maderis Gail J OPXA Stock Option (Right to Buy) A - Award D 1.75 5,000 5,000
2013-04-01 3 Radhakrishnan Karthik OPXA No securities are beneficially owned D 0
2013-04-01 2013-03-29 4 Radhakrishnan Karthik OPXA Employee Stock Option (right to buy) A - Award D 2.34 125,000 125,000
2013-02-27 2013-02-26 4 JORDEN DAVID EMERSON OPXA Convertible Promissory Note D - Sale to Issuer D 1.30 0
2013-02-19 2013-02-19 4 Seaman Scott B See Note OPXA Common Stock Warrant (Right to Buy) S - Sale I 8.00 0.0075 -1,318 -0 0
2013-02-19 2013-02-14 4 Seaman Scott B See Note OPXA Common Stock Warrant (Right to Buy) S - Sale I 8.00 0.0075 -11,966 -0 1,318
2013-02-19 2013-02-13 4 Seaman Scott B See Note OPXA Common Stock Warrant (Right to Buy) S - Sale I 8.00 0.0075 -36,691 -0 13,284
2013-02-19 2013-02-12 4 Seaman Scott B See Note OPXA Common Stock Warrant (Right to Buy) S - Sale I 8.00 0.0150 -25 -0 49,975
2013-01-31 2013-01-29 4 JORDEN DAVID EMERSON OPXA Common Stock Warrant (Right to Buy) A - Award D 1.21 5,278 5,278
2013-01-31 2013-01-29 4 Seaman Scott B OPXA Common Stock Warrant (Right to Buy) A - Award I 1.21 22,950 22,950
2013-01-31 2013-01-29 4 Warma Neil K OPXA Common Stock Warrant (Right to Buy) A - Award D 1.21 688 688
2013-01-28 2012-12-31 4 Warma Neil K OPXA Common Stock A - Award D 1.3300 600 1 8,658
2013-01-28 2012-09-12 4 Warma Neil K OPXA Employee Stock Option (right to buy) A - Award D 3.80 43,623 43,623
2013-01-25 2012-09-12 4 Rill Donna R OPXA Employee Stock Option (right to buy) A - Award D 3.80 10,469 10,469
2013-01-25 2012-09-12 4 Thompson Jaye OPXA Employee Stock Option (right to buy) A - Award D 3.80 10,469 10,469
2013-01-24 2013-01-23 4 JORDEN DAVID EMERSON OPXA Convertible Promissory Note A - Award D 1.30 37,500
2013-01-24 2013-01-23 4 JORDEN DAVID EMERSON OPXA Common Stock Warrant (Right to Buy) A - Award D 1.24 37,500 37,500
2013-01-24 2012-12-31 4 JORDEN DAVID EMERSON OPXA Common Stock A - Award D 1.3300 4,595 6 227,094
2013-01-24 2012-12-31 4 Seaman Scott B OPXA Common Stock A - Award I 1.3300 19,978 27 230,181
2012-08-16 2012-08-15 4 JORDEN DAVID EMERSON OPXA Stock Option (Right to Buy) A - Award D 0.51 75,000 75,000
2012-07-27 2012-07-25 4 JORDEN DAVID EMERSON OPXA Convertible Promissory Note A - Award D 100.00 107,813
2012-07-27 2012-07-25 4 JORDEN DAVID EMERSON OPXA Common Stock Warrant (Right to Buy) A - Award D 1.25 107,813 107,813
2012-07-27 2012-07-25 4 Seaman Scott B Footnote 3 OPXA Common Stock Warrant (Right to Buy) A - Award I 1.25 468,750 468,750
2012-07-27 2012-07-25 4 Seaman Scott B Footnote 3 OPXA Convertible Promissory Note A - Award I 100.00 468,750
2012-07-27 2012-07-25 4 Warma Neil K OPXA Convertible Promissory Note A - Award D 100.00 14,063
2012-07-27 2012-07-25 4 Warma Neil K OPXA Common Stock Warrant (Right to Buy) A - Award D 1.25 14,063 14,063
2012-03-05 2012-03-01 4 JORDEN DAVID EMERSON OPXA Stock Option (Right to Buy) A - Award D 0.94 20,600 20,600
2012-03-05 2012-03-01 4 JORDEN DAVID EMERSON OPXA Stock Option (Right to Buy) A - Award D 0.94 10,000 10,000
2012-03-05 2012-03-01 4 Seaman Scott B OPXA Stock Option (Right to Buy) A - Award D 0.94 20,600 20,600
2012-03-05 2012-03-01 4 Seaman Scott B OPXA Stock Option (Right to Buy) A - Award D 0.94 10,000 10,000
2012-03-05 2012-03-01 4 Richman Michael OPXA Stock Option (Right to Buy) A - Award D 0.94 20,600 20,600
2012-03-05 2012-03-01 4 Richman Michael OPXA Stock Option (Right to Buy) A - Award D 0.94 10,000 10,000
2012-03-05 2012-03-01 4 Maderis Gail J OPXA Stock Option (Right to Buy) A - Award D 0.94 20,600 20,600
2012-03-05 2012-03-01 4 Maderis Gail J OPXA Stock Option (Right to Buy) A - Award D 0.94 10,000 10,000
2012-01-10 2012-01-06 4 Rill Donna R OPXA Employee Stock Option (right to buy) A - Award D 0.95 38,388 38,388
2012-01-10 2012-01-06 4 Warma Neil K OPXA Employee Stock Option (right to buy) A - Award D 0.95 174,493 174,493
2012-01-10 2012-01-06 4 Thompson Jaye OPXA Employee Stock Option (right to buy) A - Award D 0.95 38,388 38,388
2010-05-05 2010-04-30 4 Richman Michael OPXA Common Stock Option (right to buy) A - Award D 2.25 7,889 7,889
2010-05-05 2010-04-30 4 Richman Michael OPXA Common Stock Option (right to buy) A - Award D 2.25 10,000 10,000
2010-05-05 2010-04-30 4 Seaman Scott B OPXA Common Stock Option (right to buy) A - Award D 2.25 7,889 7,889
2010-05-05 2010-04-30 4 Seaman Scott B OPXA Common Stock Option (right to buy) A - Award D 2.25 10,000 10,000
2009-12-14 2009-12-11 4 JORDEN DAVID EMERSON OPXA Common Stock P - Purchase D 1.9480 25,000 49 650,000
2006-04-17 3 STARK BRIAN JAY By SF Capital Partners Ltd. PFTR.OB Common Stock, par value $0.05 per share I 10,000,000
2005-12-06 2005-10-17 4 Frison Paul pftr.ob Common Stock Options (right to buy) A - Award D 1.15 10,000 75,000
2005-12-06 2005-10-17 4 Frison Paul pftr.ob Common Stock Options (right to buy) A - Award D 1.15 30,000 65,000
2005-12-06 2005-12-01 4 Kamin Tony pftr.ob Common Stock P - Purchase D 0.6900 5,000 3 105,000
2005-12-06 2005-10-17 4 Kamin Tony pftr.ob Common Stock Options (right to buy) A - Award D 1.15 2,500 147,500
2005-12-06 2005-10-17 4 Kamin Tony pftr.ob Common Stock Options (right to buy) A - Award D 1.15 30,000 145,000
2005-09-16 3 Wesner Terry pftr.ob Common Stock D 227,295
P
非デリバティブまたはデリバティブ証券の公開市場または非公開購入
S
非デリバティブ証券またはデリバティブ証券の公開市場または非公開売却
A
会社からの有価証券の交付、授与その他の取得 (オプション等)
C
デリバティブの転換
D
有価証券の会社への売却または譲渡
F
会社から受領した有価証券の一部を使用した、行使価格または納税義務のお支払い
G
内部者によるまたは内部者に対する有価証券の贈与
K
株式スワップと類似のヘッジ取引
M
会社から受け取ったデリバティブ証券 (オプションなど) の行使または転換
V
フォーム4により任意に報告した取引
J
その他 (取引を説明する脚注を含む)
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