Every SEC Form 3/4/5 on record for this filer (CIK 1601086) — 22 issuers, 443 transactions. Section-16 filings only: what they filed, not a biography, and titles are as filed on their latest form at each issuer.
This filer is an entity, not a person. This reporting owner's name carries a corporate/fund legal form, so it is an ENTITY filing under Section 16 — typically a fund with a board-designation right or a 10% holder — not an individual. Its 'director' rows are the entity's designation right, not a person's board seat.
| Ticker | Company | Role as filed | On file | Forms | Open-market net |
|---|---|---|---|---|---|
| AVTX | Avalo Therapeutics, Inc. | 10% owner · lapsed | 2021-09-17 → 2023-06-28 | 10 | $13M |
| TENX | TENAX THERAPEUTICS, INC. | Director · lapsed | 2020-07-16 → 2022-05-19 | 8 | $683,383 |
| CERC | Cerecor Inc. | Director · lapsed | 2017-05-08 → 2021-08-18 | 70 | $13M |
| EYEG | EYEGATE PHARMACEUTICALS INC | 10% owner · lapsed | 2018-04-17 → 2021-08-03 | 18 | $3M |
| RSLS | ReShape Lifesciences Inc. | 10% owner · lapsed | 2019-06-24 → 2021-06-29 | 30 | $138,982 |
| AYTU | AYTU BIOPHARMA, INC | Director · lapsed | 2019-02-15 → 2021-05-10 | 11 | — |
| CTDH | Cyclo Therapeutics, Inc. | 10% owner · lapsed | 2020-08-31 → 2020-10-01 | 8 | −$206,197 |
| TTPH | TETRAPHASE PHARMACEUTICALS INC | Director · lapsed | 2020-01-31 → 2020-07-30 | 2 | — |
| VXRT | Vaxart, Inc. | Director · lapsed | 2019-09-30 → 2020-06-30 | 14 | −$7M |
| AMAG | AMAG PHARMACEUTICALS, INC. | 10% owner · lapsed | 2019-06-27 → 2020-03-18 | 7 | $2M |
| INNV | InnovAge Holding Corp. | 10% owner · lapsed | 2019-09-18 → 2020-02-19 | 4 | — |
| VLRX | Valeritas Holdings Inc. | 10% owner · lapsed | 2018-11-20 → 2019-12-23 | 12 | $305,380 |
| RSLSD | ReShape Lifesciences Inc. | 10% owner · lapsed | 2019-12-06 → 2019-12-06 | 1 | $9,997 |
| DFRG | Del Frisco's Restaurant Group, Inc. | 10% owner · lapsed | 2018-08-09 → 2019-10-02 | 23 | $4M |
| ONTX | Onconova Therapeutics, Inc. | 10% owner · lapsed | 2019-09-25 → 2019-09-25 | 2 | — |
| ACHV | ACHIEVE LIFE SCIENCES, INC. | 10% owner · lapsed | 2019-06-07 → 2019-06-13 | 3 | — |
| BPTH | BIO-PATH HOLDINGS, INC. | 10% owner · lapsed | 2019-01-23 → 2019-01-23 | 2 | −$171,456 |
| VICL | VICAL INC | 10% owner · lapsed | 2018-01-26 → 2019-01-14 | 8 | — |
| PTIE | PAIN THERAPEUTICS INC | 10% owner · lapsed | 2018-08-20 → 2018-10-05 | 3 | — |
| APRI | APRICUS BIOSCIENCES, INC. | 10% owner · lapsed | 2018-09-27 → 2018-09-27 | 1 | — |
| ALIM | ALIMERA SCIENCES INC | 10% owner · lapsed | 2018-02-09 → 2018-02-09 | 2 | $22,800 |
| DYNT | DYNATRONICS CORP | 10% owner · lapsed | 2017-05-24 → 2017-05-24 | 1 | — |
| Ticker | Date | Action | Shares | Price | Value | Held after |
|---|---|---|---|---|---|---|
| AVTX | 2023-02-07 | Buy | 450,000 | — | $0 | 4,415,000 |
| AVTX | 2022-03-14 | Buy | 100,000 | $0.65 | $65,000 | 47,576,000 |
| AVTX | 2022-03-11 | Buy | 100,000 | $0.69 | $69,000 | 47,476,000 |
| AVTX | 2022-03-10 | Buy | 26,000 | $0.70 | $18,200 | 47,376,000 |
| AVTX | 2022-01-20 | Buy | 12,000 | $0.85 | $10,200 | 46,412,000 |
| AVTX | 2022-01-19 | Buy | 93,700 | $0.88 | $82,456 | 46,400,000 |
| AVTX | 2022-01-18 | Buy | 206,300 | $0.88 | $181,544 | 46,306,300 |
| AVTX | 2021-09-17 | Buy | 5,454,545 | $2.20 | $12M | 45,000,000 |
| AVTX | 2021-09-16 | Buy | 150,000 | $2.28 | $342,000 | 39,545,455 |
7 of 22 issuers are covered and open a security page; the rest are on file here only.
