Every SEC Form 3/4/5 on record for this filer (CIK 1111620) — 14 issuers, 71 transactions. Section-16 filings only: what they filed, not a biography, and titles are as filed on their latest form at each issuer.
| Ticker | Company | Role as filed | On file | Forms | Open-market net |
|---|---|---|---|---|---|
| BIVI | BIOVIE INC. | Director | 2021-09-28 → 2025-01-07 | 9 | −$198,668 |
| CELU | Celularity Inc | Director | 2024-08-28 → 2025-01-06 | 3 | — |
| CNTX | Context Therapeutics Inc. | Director · lapsed | 2021-10-19 → 2024-06-14 | 4 | — |
| CYRX | Cryoport, Inc. | Director · lapsed | 2015-08-11 → 2024-05-21 | 31 | −$5M |
| SIDU | Sidus Space Inc. | Director · lapsed | 2024-01-24 → 2024-01-24 | 1 | — |
| FICV | Frontier Investment Corp | Director · lapsed | 2021-07-12 → 2021-07-12 | 1 | — |
| TRIQ | TRAQIQ, INC. | Director · lapsed | 2021-04-06 → 2021-04-06 | 2 | — |
| COMS | COMSovereign Holding Corp. | Director · lapsed | 2021-02-03 → 2021-04-06 | 2 | — |
| OTRK | Ontrak, Inc. | Director · lapsed | 2021-02-16 → 2021-02-16 | 1 | — |
| ADXS | Advaxis, Inc. | Director · lapsed | 2015-11-06 → 2020-05-05 | 9 | −$698,328 |
| CUEN | Cuentas Inc. | Director · lapsed | 2018-12-21 → 2018-12-21 | 2 | — |
| CATS | CATASYS, INC. | Director · lapsed | 2018-03-15 → 2018-08-03 | 3 | — |
| MTST.OB | MetaStat, Inc. | Director · lapsed | 2016-07-08 → 2017-04-06 | 3 | $56,734 |
| CLBS | Caladrius Biosciences, Inc. | Director · lapsed | 2016-01-27 → 2017-01-31 | 3 | — |
| Ticker | Date | Action | Shares | Price | Value | Held after |
|---|---|---|---|---|---|---|
| CYRX | 2024-05-15 | Sell | 8,105 | $13.41 | $108,688 | 100,000 |
| BIVI | 2023-08-22 | Sell | 10,805 | $3.50 | $37,818 | 16,789 |
| BIVI | 2023-06-07 | Sell | 5,984 | $5.81 | $34,767 | 23,210 |
| BIVI | 2023-05-22 | Sell | 5,000 | $6.50 | $32,500 | 29,194 |
| CYRX | 2023-05-11 | Sell | 7,203 | $21.51 | $154,937 | 100,000 |
5 of 14 issuers are covered and open a security page; the rest are on file here only.
