格勞科斯公司
US ˙ NYSE ˙ US3773221029

簡介

本頁面提供了有關 Douglas A Pepper 已知的內部交易歷史的全面分析。內部人士包括公司的高管、董事或重要投資者。一般而言,基於內幕、非公開信息進行交易是非法的。這並不意味著他們在自己的公司進行任何交易都是非法的。但是,他們必須透過Form 4向美國證券交易委員會(SEC)報告所有交易。盡管存在這些限制,學術研究表明,內部人士 - 整體而言 - 在自己公司中的投資表現往往優於市場。

平均交易盈利能力

「平均交易盈利能力」衡量了內部人士在過去三年中所有非計劃性的公開市場購買交易的平均回報率。計算過程包括檢查每筆交易,排除了作為10b5-1交易計劃的一部分的交易。然後,對每筆交易在3、6和12個月的表現進行平均,以生成該筆交易最終的表現指標。最終,將所有交易的表現指標進行平均,計算出內部人士的總體平均表現指標。列表僅包含在過去兩年中進行過至少三筆交易的內部人士。

如果內部人士的交易盈利能力顯示為"N/A",則可能是因為該內部人士在過去三年內沒有進行任何公開市場購買交易,或者他們進行的交易距離現在太近,無法計算出可靠的表現指標。

更新頻率:每日

查看收益最高的的內幕交易者列表。

報告內部持倉的公司

SEC文件顯示Douglas A Pepper已報告在以下公司擁有持倉或進行了交易:

證券 職位 最新報告的持倉
US:BRZE / Braze, Inc. Director 2,263,120
US:MKTO / Marketo, Inc. Director 16,522
US:GKOS / Glaukos Corporation 10% Owner 0
US:IVTY / Invuity, Inc. 10% Owner 0
US:CBYL / Carbylan Therapeutics, Inc. 10% Owner 0
US:TSRO / TESARO, Inc. 2,471,701
US:TSPT / 10% Owner 1,983,884
US:ETRM / EnteroMedics Inc 10% Owner 0
如何解讀這些圖表

以下圖表顯示了在Douglas A Pepper進行的每筆公開市場非計劃交易後證券的股價表現。非計劃交易是指沒有作為10b5-1交易計劃的一部分而進行的交易。股價表現以累積百分比變化的方式繪製。例如,如果一筆內部人士交易是在2019年1月1日進行的,該圖表將顯示該證券的每日百分比變化直至當前日期。如果在此期間股價從10美元漲至15美元,則股價的累積百分比變化將為50%。從10美元漲至20美元的價格變化將為100%,而從10美元跌至5美元的價格變化將為-50%。

最終,我們將評估內部人士的交易與股價的超額回報(正向或負向)之間的相關性,以判斷內部人士是否在交易中利用內部信息獲利。如果內部人士有這樣的行為,我們預期看到(a)購買後的正回報,或者(b)賣出後的負回報。對於情況(a),購買圖表將顯示一系列向上傾斜的曲線,表示每次購買後都有正回報。對於情況(b),賣出圖表將顯示一系列向下傾斜的曲線,表示每次賣出後都有負回報。

然而,僅憑這一點還不足以得出結論。例如,如果公司的股價在多年內呈現非周期性上升,我們會預期所有購買後的圖表都呈現向上傾斜。同樣地,多年來呈現非周期性下降的股價會導致賣出後的圖表也呈現向下傾斜。這兩種情況的圖表都不能表示內部人士在進行內幕交易。

最有力的指標是在公司股價呈極度循環波動的情況下,「購買」圖表顯示正向信號,而「賣出」圖表顯示負向趨勢。這種情況強烈暗示內部人士可能根據內幕信息精確地計時進行交易,以獲得財務優勢。

GKOS / Glaukos Corporation內部人士買入 - 短期收益分析

在這一部分,我們分析了在 GKOS / Glaukos Corporation 中進行的每筆非計劃的公開市場內部人士購買的盈利情況。這種分析有助於了解內部人士是否持續產生異常的回報,以及是否值得跟踪。該分析基於每筆交易後一年的情況,結果僅為理論值

以下表格顯示了最近的自動交易計劃之外的公開市場購買。

交易日期 證券代碼 內部人士 報告
股數
Reported
價格
經調整
股數
經調整
價格
成本基礎 達到最高利潤的
天數
達到最高利潤時的
價格
最高
淨利 ($)
最高回報率(%)
當前未知該內部人士及證券組合進行過任何未預先計劃的公開市場交易。

經調整價格 已按拆股調整。經調整股數 已按拆股調整。

GKOS / Glaukos Corporation Insider Trades
GKOS / Glaukos Corporation內部人士賣出 - 短期虧損分析

在這一部分,我們分析了在 GKOS / Glaukos Corporation 中進行的每筆非計劃的公開市場內部人士賣出所達成的短期虧損規避。如果存在持續的虧損規避模式,可能表明未來的內部人士賣出交易預示著價格的下跌。該分析基於每筆交易後一年的情況,

以下表格顯示了最近的自動交易計劃之外的公開市場購買。

交易日期 證券代碼 內部人士 報告
股數
Reported
價格
經調整
股數
經調整
價格
成本基礎 達到最低利潤的
天數
達到最低利潤時的
價格
避免的
最高損失金額($)
避免的
最高損失率($)
當前未知該內部人士及證券組合進行過任何未預先計劃的公開市場交易。

經調整價格 已按拆股調整。經調整股數 已按拆股調整。

GKOS / Glaukos Corporation Insider Trades
KALV / KalVista Pharmaceuticals, Inc.內部人士買入 - 短期收益分析

在這一部分,我們分析了在 GKOS / Glaukos Corporation 中進行的每筆非計劃的公開市場內部人士購買的盈利情況。這種分析有助於了解內部人士是否持續產生異常的回報,以及是否值得跟踪。該分析基於每筆交易後一年的情況,結果僅為理論值

以下表格顯示了最近的自動交易計劃之外的公開市場購買。

交易日期 證券代碼 內部人士 報告
股數
Reported
價格
經調整
股數
經調整
價格
成本基礎 達到最高利潤的
天數
達到最高利潤時的
價格
最高
淨利 ($)
最高回報率(%)
2015-04-14 CBYL InterWest Management Partners IX, LLC 810,000 5.0000 810,000 5.0000 4,050,000 731

經調整價格 已按拆股調整。經調整股數 已按拆股調整。

KALV / KalVista Pharmaceuticals, Inc. Insider Trades
KALV / KalVista Pharmaceuticals, Inc.內部人士賣出 - 短期虧損分析

在這一部分,我們分析了在 GKOS / Glaukos Corporation 中進行的每筆非計劃的公開市場內部人士賣出所達成的短期虧損規避。如果存在持續的虧損規避模式,可能表明未來的內部人士賣出交易預示著價格的下跌。該分析基於每筆交易後一年的情況,

以下表格顯示了最近的自動交易計劃之外的公開市場購買。

交易日期 證券代碼 內部人士 報告
股數
Reported
價格
經調整
股數
經調整
價格
成本基礎 達到最低利潤的
天數
達到最低利潤時的
價格
避免的
最高損失金額($)
避免的
最高損失率($)
當前未知該內部人士及證券組合進行過任何未預先計劃的公開市場交易。

經調整價格 已按拆股調整。經調整股數 已按拆股調整。

KALV / KalVista Pharmaceuticals, Inc. Insider Trades
歷史內部人交易

該表格顯示了由 Douglas A Pepper 進行的所有內幕交易的完整列表,這些交易已向美國證券交易委員會(SEC)披露。

呈報日期 交易日期 表格 證券代碼 證券 代碼 10b5-1 股份 剩餘股份 %
變化
每股
股價
交易
金額
剩餘
金額
2024-04-16 2024-04-12 4 BRZE Braze, Inc.
Class A Common Stock
J - Other -774,841 2,263,120 -25.51
2024-04-16 2024-04-12 4 BRZE Braze, Inc.
Class A Common Stock
J - Other -725,159 2,118,013 -25.51
2024-03-26 2024-03-22 4 BRZE Braze, Inc.
Class A Common Stock
C - Conversion 1,549,682 3,037,961 104.13
2024-03-26 2024-03-22 4 BRZE Braze, Inc.
Class A Common Stock
C - Conversion 1,450,318 2,843,172 104.13
2023-12-18 2023-12-14 4 BRZE Braze, Inc.
Class A Common Stock
J - Other -516,561 1,488,279 -25.77
2023-12-18 2023-12-14 4 BRZE Braze, Inc.
Class A Common Stock
J - Other -483,439 1,392,854 -25.77
2023-09-13 2023-09-11 4 BRZE Braze, Inc.
Class A Common Stock
J - Other -516,561 2,004,840 -20.49
2023-09-13 2023-09-11 4 BRZE Braze, Inc.
Class A Common Stock
J - Other -483,439 1,876,293 -20.49
2023-06-14 2023-06-12 4 BRZE Braze, Inc.
Class A Common Stock
J - Other -516,561 2,521,401 -17.00
2023-06-14 2023-06-12 4 BRZE Braze, Inc.
Class A Common Stock
J - Other -483,439 2,359,732 -17.00
2023-04-06 2023-04-04 4 BRZE Braze, Inc.
Class A Common Stock
J - Other -516,561 3,037,962 -14.53
2023-04-06 2023-04-04 4 BRZE Braze, Inc.
Class A Common Stock
J - Other -483,439 2,843,171 -14.53
2022-10-05 2022-10-03 4 BRZE Braze, Inc.
Class A Common Stock
P - Purchase 551 1,036,124 0.05 34.92 19,242 36,183,419
2022-10-05 2022-10-03 4 BRZE Braze, Inc.
Class A Common Stock
P - Purchase 374 752,506 0.05 34.92 13,061 26,278,939
2022-10-04 2022-09-23 4 BRZE Braze, Inc.
Class A Common Stock
P - Purchase 7,335 744,479 1.00 34.45 252,683 25,646,557
2022-10-04 2022-09-23 4 BRZE Braze, Inc.
Class A Common Stock
P - Purchase 4,978 554,586 0.91 34.45 171,487 19,104,933
2022-10-04 2022-09-15 4 BRZE Braze, Inc.
Class A Common Stock
P - Purchase 298 402,626 0.07 34.99 10,428 14,089,615
2022-10-04 2022-09-15 4 BRZE Braze, Inc.
Class A Common Stock
P - Purchase 202 322,592 0.06 34.99 7,069 11,288,881
2022-10-03 2022-09-30 4 BRZE Braze, Inc.
Class A Common Stock
P - Purchase 267,719 1,035,573 34.87 34.76 9,304,681 35,991,754
2022-10-03 2022-09-30 4 BRZE Braze, Inc.
Class A Common Stock
P - Purchase 181,683 752,132 31.85 34.76 6,314,465 26,140,649
2022-10-03 2022-09-29 4 BRZE Braze, Inc.
Class A Common Stock
P - Purchase 23,375 767,854 3.14 34.32 802,302 26,355,130
2022-10-03 2022-09-29 4 BRZE Braze, Inc.
Class A Common Stock
P - Purchase 15,863 570,449 2.86 34.32 544,467 19,579,578
2022-09-26 2022-09-22 4 BRZE Braze, Inc.
Class A Common Stock
P - Purchase 656 736,846 0.09 34.73 22,782 25,589,483
2022-09-26 2022-09-22 4 BRZE Braze, Inc.
Class A Common Stock
P - Purchase 444 549,406 0.08 34.73 15,419 19,079,991
2022-09-26 2022-09-22 4 BRZE Braze, Inc.
Class A Common Stock
P - Purchase 65,261 736,190 9.73 34.01 2,219,429 25,036,718
2022-09-26 2022-09-22 4 BRZE Braze, Inc.
Class A Common Stock
P - Purchase 44,289 548,962 8.78 34.01 1,506,202 18,669,374
2022-09-22 2022-09-20 4 BRZE Braze, Inc.
Class A Common Stock
P - Purchase 21,891 670,929 3.37 35.26 771,977 23,660,043
2022-09-22 2022-09-20 4 BRZE Braze, Inc.
Class A Common Stock
P - Purchase 14,856 504,673 3.03 35.26 523,891 17,797,091
2022-09-20 2022-09-19 4 BRZE Braze, Inc.
Class A Common Stock
P - Purchase 22,181 649,038 3.54 35.12 779,048 22,795,707
2022-09-20 2022-09-19 4 BRZE Braze, Inc.
Class A Common Stock
P - Purchase 15,053 489,817 3.17 35.12 528,696 17,203,500
2022-09-20 2022-09-16 4 BRZE Braze, Inc.
Class A Common Stock
P - Purchase 142,920 626,857 29.53 35.36 5,052,951 22,162,592
2022-09-20 2022-09-16 4 BRZE Braze, Inc.
Class A Common Stock
P - Purchase 96,816 474,764 25.62 35.36 3,422,939 16,785,329
2022-09-20 2022-09-16 4 BRZE Braze, Inc.
Class A Common Stock
P - Purchase 81,609 483,937 20.28 34.37 2,805,236 16,634,899
2022-09-20 2022-09-16 4 BRZE Braze, Inc.
Class A Common Stock
P - Purchase 55,558 377,948 17.23 34.37 1,909,756 12,991,622
2022-04-12 2022-04-08 4 BRZE Braze, Inc.
Class A Common Stock
P - Purchase 7,069 402,328 1.79 37.91 268,015 15,253,904
2022-04-12 2022-04-08 4 BRZE Braze, Inc.
Class A Common Stock
P - Purchase 5,582 322,390 1.76 37.91 211,637 12,223,127
2022-04-12 2022-04-08 4 BRZE Braze, Inc.
Class A Common Stock
P - Purchase 14,361 395,259 3.77 37.41 537,279 14,787,588
2022-04-12 2022-04-08 4 BRZE Braze, Inc.
Class A Common Stock
P - Purchase 11,590 316,808 3.80 37.41 433,610 11,852,548
2022-04-08 2022-04-07 4 BRZE Braze, Inc.
Class A Common Stock
P - Purchase 9,140 380,898 2.46 38.00 347,320 14,474,124
2022-04-08 2022-04-07 4 BRZE Braze, Inc.
Class A Common Stock
P - Purchase 7,238 305,218 2.43 38.00 275,044 11,598,284
2022-04-08 2022-04-07 4 BRZE Braze, Inc.
Class A Common Stock
P - Purchase 94,089 371,758 33.89 37.63 3,540,729 13,989,886
2022-04-08 2022-04-07 4 BRZE Braze, Inc.
Class A Common Stock
P - Purchase 75,480 297,980 33.92 37.63 2,840,441 11,213,494
2022-04-08 2022-04-06 4 BRZE Braze, Inc.
Class A Common Stock
P - Purchase 75,740 277,669 37.51 37.49 2,839,720 10,410,644
2022-04-08 2022-04-06 4 BRZE Braze, Inc.
Class A Common Stock
P - Purchase 60,830 222,500 37.63 37.49 2,280,699 8,342,192
2022-04-08 2022-04-06 4 BRZE Braze, Inc.
Class A Common Stock
P - Purchase 21,505 201,929 11.92 36.93 794,199 7,457,420
2022-04-08 2022-04-06 4 BRZE Braze, Inc.
Class A Common Stock
P - Purchase 17,094 161,670 11.82 36.93 631,297 5,970,619
2022-03-25 2022-03-23 4 BRZE Braze, Inc.
Class B Common Stock
C - Conversion -2,132,714 2,340,769 -47.67
2022-03-25 2022-03-23 4 BRZE Braze, Inc.
Class B Common Stock
C - Conversion -1,995,966 2,190,680 -47.67
2022-03-25 2022-03-23 4 BRZE Braze, Inc.
Class A Common Stock
C - Conversion 2,132,714 3,554,523 150.00
2022-03-25 2022-03-23 4 BRZE Braze, Inc.
Class A Common Stock
C - Conversion 1,995,966 3,326,610 150.00
2022-01-13 2022-01-11 4 BRZE Braze, Inc.
Class B Common Stock
C - Conversion -1,421,809 4,473,483 -24.12
2022-01-13 2022-01-11 4 BRZE Braze, Inc.
Class B Common Stock
C - Conversion -1,330,664 4,186,626 -24.12
2022-01-13 2022-01-11 4 BRZE Braze, Inc.
Class A Common Stock
C - Conversion 1,421,809 1,421,809
2022-01-13 2022-01-11 4 BRZE Braze, Inc.
Class A Common Stock
C - Conversion 1,330,664 1,330,664
2021-11-23 2021-11-19 4 BRZE Braze, Inc.
Class B Common Stock
J - Other 1,424,796 1,424,796
2021-11-23 2021-11-19 4 BRZE Braze, Inc.
Class B Common Stock
J - Other 924,889 924,889
2021-11-23 2021-11-19 4 BRZE Braze, Inc.
Class B Common Stock
J - Other 5,895,292 5,895,292
2021-11-23 2021-11-19 4 BRZE Braze, Inc.
Class B Common Stock
J - Other 5,517,290 5,517,290
2021-11-23 2021-11-19 4 BRZE Braze, Inc.
Series E Preferred Stock
C - Conversion -22,635 0 -100.00
2021-11-23 2021-11-19 4 BRZE Braze, Inc.
Series E Preferred Stock
C - Conversion -14,693 0 -100.00
2021-11-23 2021-11-19 4 BRZE Braze, Inc.
Series E Preferred Stock
C - Conversion -819,017 0 -100.00
2021-11-23 2021-11-19 4 BRZE Braze, Inc.
Series E Preferred Stock
C - Conversion -766,505 0 -100.00
2021-11-23 2021-11-19 4 BRZE Braze, Inc.
Series D Preferred Stock
C - Conversion -3,847,198 0 -100.00
2021-11-23 2021-11-19 4 BRZE Braze, Inc.
Series D Preferred Stock
C - Conversion -3,600,514 0 -100.00
2021-11-23 2021-11-19 4 BRZE Braze, Inc.
Series C Preferred Stock
C - Conversion -12,273 0 -100.00
2021-11-23 2021-11-19 4 BRZE Braze, Inc.
Series C Preferred Stock
C - Conversion -11,487 0 -100.00
2021-11-23 2021-11-19 4 BRZE Braze, Inc.
Series B Preferred Stock
C - Conversion -948,834 0 -100.00
2021-11-23 2021-11-19 4 BRZE Braze, Inc.
Series B Preferred Stock
C - Conversion -615,922 0 -100.00
2021-11-23 2021-11-19 4 BRZE Braze, Inc.
Series A-1 Preferred Stock-NV
C - Conversion -39,343 0 -100.00
2021-11-23 2021-11-19 4 BRZE Braze, Inc.
Series A-1 Preferred Stock-NV
C - Conversion -36,820 0 -100.00
2021-11-23 2021-11-19 4 BRZE Braze, Inc.
Series A-1 Preferred Stock
C - Conversion -212,180 0 -100.00
2021-11-23 2021-11-19 4 BRZE Braze, Inc.
Series A-1 Preferred Stock
C - Conversion -198,575 0 -100.00
2021-11-23 2021-11-19 4 BRZE Braze, Inc.
Series A Preferred Stock-NV
C - Conversion -279,203 0 -100.00
2021-11-23 2021-11-19 4 BRZE Braze, Inc.
Series A Preferred Stock-NV
C - Conversion -261,301 0 -100.00
2021-11-23 2021-11-19 4 BRZE Braze, Inc.
Series A Preferred Stock
C - Conversion -453,327 0 -100.00
2021-11-23 2021-11-19 4 BRZE Braze, Inc.
Series A Preferred Stock
C - Conversion -294,274 0 -100.00
2021-11-23 2021-11-19 4 BRZE Braze, Inc.
Series A Preferred Stock
C - Conversion -372,847 0 -100.00
2021-11-23 2021-11-19 4 BRZE Braze, Inc.
Series A Preferred Stock
C - Conversion -348,940 0 -100.00
2021-11-23 2021-11-19 4 BRZE Braze, Inc.
Class A Common Stock
P - Purchase 180,424 180,424 65.00 11,727,560 11,727,560
2021-11-23 2021-11-19 4 BRZE Braze, Inc.
Class A Common Stock
P - Purchase 144,576 144,576 65.00 9,397,440 9,397,440
2021-11-23 2021-11-19 4 BRZE Braze, Inc.
Common Stock
J - Other -1,424,796 0 -100.00
2021-11-23 2021-11-19 4 BRZE Braze, Inc.
Common Stock
C - Conversion 1,424,796 1,424,796
2021-11-23 2021-11-19 4 BRZE Braze, Inc.
Common Stock
J - Other -924,889 0 -100.00
2021-11-23 2021-11-19 4 BRZE Braze, Inc.
Common Stock
C - Conversion 924,889 924,889
2021-11-23 2021-11-19 4 BRZE Braze, Inc.
Common Stock
J - Other -5,895,292 0 -100.00
2021-11-23 2021-11-19 4 BRZE Braze, Inc.
Common Stock
C - Conversion 5,582,061 5,895,292 1,782.09
2021-11-23 2021-11-19 4 BRZE Braze, Inc.
Common Stock
J - Other -5,517,290 0 -100.00
2021-11-23 2021-11-19 4 BRZE Braze, Inc.
Common Stock
C - Conversion 5,224,142 5,517,290 1,782.08
2021-11-16 3 BRZE Braze, Inc.
Common Stock
293,148
2021-11-16 3 BRZE Braze, Inc.
Common Stock
313,231
2015-10-30 2015-10-29 4 MKTO Marketo, Inc.
Common Stock
J - Other 1,001 16,522 6.45
2015-10-30 2015-10-29 4 MKTO Marketo, Inc.
Common Stock
J - Other -17,258 0 -100.00
2015-10-30 2015-10-29 4 MKTO Marketo, Inc.
Common Stock
J - Other 17,258 17,258
2015-10-30 2015-10-29 4 MKTO Marketo, Inc.
Common Stock
J - Other -1,725,756 0 -100.00
2015-07-28 2015-07-27 4 MKTO Marketo, Inc.
Common Stock
S - Sale -7,192 15,521 -31.66 30.25 -217,558 469,510
2015-07-28 2015-07-24 4 MKTO Marketo, Inc.
Common Stock
J - Other 435 22,713 1.95
2015-07-28 2015-07-24 4 MKTO Marketo, Inc.
Common Stock
J - Other -7,500 0 -100.00
2015-07-28 2015-07-24 4 MKTO Marketo, Inc.
Common Stock
J - Other 7,500 7,500
2015-07-28 2015-07-24 4 MKTO Marketo, Inc.
Common Stock
J - Other -750,000 1,725,756 -30.29
2015-06-30 2015-06-30 4 GKOS GLAUKOS Corp
Series F Convertible Preferred Stock
C - Conversion -253,390 0 -100.00
2015-06-30 2015-06-30 4 GKOS GLAUKOS Corp
Series E Convertible Preferred Stock
C - Conversion -151,653 0 -100.00
2015-06-30 2015-06-30 4 GKOS GLAUKOS Corp
Series D Convertible Preferred Stock
C - Conversion -674,510 0 -100.00
2015-06-30 2015-06-30 4 GKOS GLAUKOS Corp
Series C Convertible Preferred Stock
C - Conversion -1,523,809 0 -100.00
2015-06-30 2015-06-30 4 GKOS GLAUKOS Corp
Common Stock
C - Conversion 2,603,362 2,603,362
2015-06-22 2015-06-18 4 IVTY Invuity, Inc.
Series E Preferred Stock
C - Conversion -56,368 0 -100.00
2015-06-22 2015-06-18 4 IVTY Invuity, Inc.
Series D Preferred Stock
C - Conversion -262,310 0 -100.00
2015-06-22 2015-06-18 4 IVTY Invuity, Inc.
Series C Preferred Stock
C - Conversion -712,291 0 -100.00
2015-06-22 2015-06-18 4 IVTY Invuity, Inc.
Common Stock
C - Conversion 1,080,272 1,080,272
2015-06-22 2015-06-18 4 IVTY Invuity, Inc.
Series E Preferred Stock
C - Conversion -56,368 0 -100.00
2015-06-22 2015-06-18 4 IVTY Invuity, Inc.
Series D Preferred Stock
C - Conversion -262,310 0 -100.00
2015-06-22 2015-06-18 4 IVTY Invuity, Inc.
Series C Preferred Stock
C - Conversion -712,291 0 -100.00
2015-06-22 2015-06-18 4 IVTY Invuity, Inc.
Common Stock
C - Conversion 1,080,272 1,080,272
2015-06-03 2015-06-01 4 MKTO Marketo, Inc.
Non-Qualified Stock Option (right to buy)
A - Award 8,563 8,563
2015-06-03 2015-06-01 4 MKTO Marketo, Inc.
Common Stock
A - Award 3,671 22,278 19.73
2015-04-14 2015-04-14 4 CBYL Carbylan Therapeutics, Inc.
Convertible Promissory Note
C - Conversion -365,957 0 -100.00
2015-04-14 2015-04-14 4 CBYL Carbylan Therapeutics, Inc.
Convertible Promissory Note
C - Conversion -466,357 0 -100.00
2015-04-14 2015-04-14 4 CBYL Carbylan Therapeutics, Inc.
Series B Convertible Preferred Stock
C - Conversion -2,145,351 0 -100.00
2015-04-14 2015-04-14 4 CBYL Carbylan Therapeutics, Inc.
Series A Convertible Preferred Stock
C - Conversion -831,531 0 -100.00
2015-04-14 2015-04-14 4 CBYL Carbylan Therapeutics, Inc.
Common Stock
P - Purchase 810,000 4,619,196 21.26 5.00 4,050,000 23,095,980
2015-04-14 2015-04-14 4 CBYL Carbylan Therapeutics, Inc.
Common Stock
C - Conversion 365,957 3,809,196 10.63
2015-04-14 2015-04-14 4 CBYL Carbylan Therapeutics, Inc.
Common Stock
C - Conversion 466,357 3,443,239 15.67
2015-04-14 2015-04-14 4 CBYL Carbylan Therapeutics, Inc.
Common Stock
C - Conversion 2,145,351 2,976,882 258.00
2015-04-14 2015-04-14 4 CBYL Carbylan Therapeutics, Inc.
Common Stock
C - Conversion 831,531 831,531
2015-02-27 2015-02-26 4 MKTO Marketo, Inc.
Common Stock
J - Other 5,800 18,607 45.29
2015-02-27 2015-02-26 4 MKTO Marketo, Inc.
Common Stock
J - Other -100,000 0 -100.00
2015-02-27 2015-02-26 4 MKTO Marketo, Inc.
Common Stock
J - Other 100,000 100,000
2015-02-27 2015-02-26 4 MKTO Marketo, Inc.
Common Stock
J - Other -500,000 2,475,756 -16.80
2014-11-13 2014-11-11 4 MKTO Marketo, Inc.
Common Stock
J - Other 8,584 12,807 203.27
2014-11-13 2014-11-11 4 MKTO Marketo, Inc.
Common Stock
J - Other -148,000 0 -100.00
2014-11-13 2014-11-11 4 MKTO Marketo, Inc.
Common Stock
J - Other 148,000 148,000
2014-11-13 2014-11-11 4 MKTO Marketo, Inc.
Common Stock
J - Other -740,000 2,975,756 -19.92
2014-06-16 2014-06-12 4 MKTO Marketo, Inc.
Non-Qualified Stock Option (right to buy)
A - Award 9,055 9,055
2014-06-16 2014-06-12 4 MKTO Marketo, Inc.
Common Stock
A - Award 4,223 4,223
2014-06-02 2014-05-29 4 MKTO Marketo, Inc.
Common Stock
S - Sale -31,296 0 -100.00 24.77 -775,202
2014-05-30 2014-05-28 4 MKTO Marketo, Inc.
Common Stock
J - Other 11,298 31,296 56.50
2014-05-30 2014-05-28 4 MKTO Marketo, Inc.
Common Stock
J - Other -194,800 0 -100.00
2014-05-30 2014-05-28 4 MKTO Marketo, Inc.
Common Stock
J - Other 194,800 194,800
2014-05-30 2014-05-28 4 MKTO Marketo, Inc.
Common Stock
J - Other -974,000 3,715,756 -20.77
2014-05-14 2014-05-12 4 MKTO Marketo, Inc.
Common Stock
J - Other 11,298 19,998 129.86
2014-05-14 2014-05-12 4 MKTO Marketo, Inc.
Common Stock
J - Other -194,800 0 -100.00
2014-05-14 2014-05-12 4 MKTO Marketo, Inc.
Common Stock
J - Other 194,800 194,800
2014-05-14 2014-05-12 4 MKTO Marketo, Inc.
Common Stock
J - Other -974,000 4,689,756 -17.20
2014-03-04 2014-02-28 4 MKTO Marketo, Inc.
Common Stock
S - Sale -8,700 8,700 -50.00 41.19 -358,353 358,353
2014-02-27 2014-02-25 4 MKTO Marketo, Inc.
Common Stock
J - Other 13,050 17,400 300.00
2014-02-27 2014-02-25 4 MKTO Marketo, Inc.
Common Stock
J - Other -225,000 0 -100.00
2014-02-27 2014-02-25 4 MKTO Marketo, Inc.
Common Stock
J - Other 225,000 225,000
2014-02-27 2014-02-25 4 MKTO Marketo, Inc.
Common Stock
J - Other -1,500,000 5,663,756 -20.94
2014-02-14 2014-02-12 4 MKTO Marketo, Inc.
Common Stock
J - Other 4,350 4,350
2014-02-14 2014-02-12 4 MKTO Marketo, Inc.
Common Stock
J - Other -75,000 0 -100.00
2014-02-14 2014-02-12 4 MKTO Marketo, Inc.
Common Stock
J - Other 75,000 75,000
2014-02-14 2014-02-12 4 MKTO Marketo, Inc.
Common Stock
J - Other -500,000 7,163,756 -6.52
2013-09-18 2013-09-18 4 MKTO Marketo, Inc.
Common Stock
S - Sale -2,083,435 7,663,756 -21.37 33.99 -70,818,664 260,501,029
2013-08-07 2013-08-05 4 TSRO TESARO, Inc.
Common Stock
J - Other -600,000 2,471,701 -19.53
2013-05-22 2013-05-22 4 MKTO Marketo, Inc.
Series F Convertible Preferred Stock
C - Conversion -227,272 0 -100.00
2013-05-22 2013-05-22 4 MKTO Marketo, Inc.
Series E Convertible Preferred Stock
C - Conversion -394,714 0 -100.00
2013-05-22 2013-05-22 4 MKTO Marketo, Inc.
Series D Convertible Preferred Stock
C - Conversion -570,977 0 -100.00
2013-05-22 2013-05-22 4 MKTO Marketo, Inc.
Series B Convertible Preferred Stock
C - Conversion -3,154,228 0 -100.00
2013-05-22 2013-05-22 4 MKTO Marketo, Inc.
Series A Convertible Preferred Stock
C - Conversion -5,400,000 0 -100.00
2013-05-22 2013-05-22 4 MKTO Marketo, Inc.
Common Stock
C - Conversion 9,747,191 9,747,191
2012-07-05 2012-07-03 4 TSRO TESARO, Inc.
Series B Preferred Stock
C - Conversion -9,195,402 0 -100.00
2012-07-05 2012-07-03 4 TSRO TESARO, Inc.
Common Stock
P - Purchase 444,444 3,071,701 16.92 13.50 5,999,994 41,467,964
2012-07-05 2012-07-03 4 TSRO TESARO, Inc.
Common Stock
C - Conversion 2,627,257 2,627,257
2011-09-23 2011-09-21 4 TSPT Transcept Pharmaceuticals Inc
Common
P - Purchase 217,228 1,983,884 12.30 7.24 1,573,122 14,366,891
2011-09-22 3 TSPT Transcept Pharmaceuticals Inc
Common
1,766,656
2007-11-21 2007-11-20 4 ETRM EnteroMedics Inc
Series C Preferred Stock
C - Conversion -1,359,261 0 -100.00
2007-11-21 2007-11-20 4 ETRM EnteroMedics Inc
Common Stock
C - Conversion 1,359,261 1,546,761 724.94
2007-11-19 2007-11-15 4 ETRM EnteroMedics Inc
Common Stock
P - Purchase 187,500 187,500 8.00 1,500,000 1,500,000
P
非衍生或衍生證券的公開市場或私下買入
S
非衍生或衍生證券的公開市場或私下賣出
A
公司向內部人員授予、獎勵或以其他方式獲取證券(例如股票期權)
C
衍生工具轉換
D
將證券賣出或轉讓回公司
F
使用從公司收到的證券的一部分來支付行使價或稅務負擔。
G
內部人士贈送或接收他人贈送公司股票
K
股權掉期和類似的避險交易
M
行使或轉換從公司獲得的衍生證券(例如期權)
V
內部人士透過Form 4自願報告的一筆交易
J
其他(附有交易描述的腳註)