索雷诺治疗公司
US ˙ NasdaqCM ˙ US8342033094

介绍

本页面提供了有关 Frank Kung 已知的内部交易历史的全面分析。内部人士包括公司的高管、董事或重要投资者。一般而言,基于内幕、非公开信息进行交易是非法的。这并不意味着他们在自己的公司进行任何交易都是非法的。但是,他们必须通过Form 4向美国证券交易委员会(SEC)报告所有交易。尽管存在这些限制,学术研究表明,整体而言,内部人士在自己公司中的投资表现往往优于市场。

平均交易盈利能力

“平均交易盈利能力”衡量了内部人士在过去三年中所有非计划性的公开市场买入交易的平均回报率。计算过程包括检查每笔交易,排除了作为10b5-1交易计划的一部分的交易。然后,对每笔交易在3、6和12个月的表现进行平均,以生成该笔交易最终的表现指标。然后,将所有交易的表现指标进行平均,计算出内部人士的总体平均表现指标。列表仅包含在过去两年中进行过至少三笔交易的内部人士。

如果内部人士的交易盈利能力显示为"N/A",则可能是因为该内部人士在过去三年内没有进行任何公开市场买入交易,或者他们进行的交易距离现在时间太近,无法计算出可靠的表现指标。

更新频率:每日

查看收益最高的的内幕交易者列表。

报告内部持仓的公司

美国证券交易委员会(SEC)文件显示Frank Kung已报告在以下公司拥有持仓或进行了交易:

证券 职位 最新报告的持仓
US:AMRS / Amyris Inc Director 0
US:SGNT / Sagent Pharmaceuticals, Inc. Director 921
US:SLNO / Soleno Therapeutics, Inc. 10% Owner 945,200
如何解读这些图表

以下图表显示了在Frank Kung进行的每笔公开市场非计划交易后证券的股价表现。非计划交易是指没有作为10b5-1交易计划的一部分而进行的交易。股价表现以累积百分比变化的方式绘制。例如,如果一笔内部人士交易是在2019年1月1日进行的,该图表将显示该证券的每日百分比变化直至当前日期。如果在此期间股价从10美元涨至15美元,则股价的累积百分比变化将为50%。从10美元涨至20美元的价格变化将为100%,而从10美元跌至5美元的价格变化将为-50%。

最终,我们将评估内部人士的交易与股价的超额回报(正向或负向)之间的相关性,以判断内部人士是否在交易中利用内部信息获利。如果内部人士有这样的行为,我们预期看到(a)买入后的正回报,或者(b)卖出后的负回报。对于情况(a),买入图表将显示一系列向上倾斜的曲线,表示每次买入后都有正回报。对于情况(b),卖出图表将显示一系列向下倾斜的曲线,表示每次卖出后都有负回报。

然而,仅凭这一点还不足以得出结论。例如,如果公司的股价在多年内呈现非周期性上升,我们会预期所有买入后的图表都呈现向上倾斜。同样地,多年来呈现非周期性下降的股价会导致卖出后的图表也呈现向下倾斜。这两种情况的图表都不能表示内部人士在进行内幕交易。

最有力的指标是在公司股价呈极度循环波动的情况下,“买入”图表显示正向信号,而“卖出”图表显示负向趋势。这种情况强烈暗示内部人士可能根据内幕信息精确地计时进行交易,以获得财务优势。

SLNO / Soleno Therapeutics, Inc.内部人士买入 - 短期收益分析

在这一部分,我们分析了在 SLNO / Soleno Therapeutics, Inc. 中进行的每笔非计划的公开市场内部人士买入的盈利情况。这种分析有助于了解内部人士是否持续产生异常的回报,以及是否值得跟踪。该分析基于每笔交易后一年的情况,结果仅为理论值

以下表格显示了最近的自动交易计划之外的公开市场买入。

交易日期 股票代码 内部人士 报告
股数
报告
价格
经调整
股数
经调整
价格
成本基础 达到最高利润的
天数
达到最高利润时的
价格
最高
利润($)
最高回报率(%)
2014-11-18 CAPN Vivo Ventures Fund V, L.P. 1,936,843 193,684 731 0.9700
2014-11-18 CAPN Vivo Ventures Fund V, L.P. 22,729 2,273
2014-11-18 CAPN Vivo Ventures Fund V, L.P. 28,028 2,803
2014-11-18 CAPN Vivo Ventures Fund V, L.P. 6,689 669
2014-11-18 CAPN Vivo Ventures Fund V, L.P. 122 12
2014-11-18 CAPN Vivo Ventures Fund V, L.P. 348,800 34,880
2014-11-18 CAPN Vivo Ventures Fund V, L.P. 4,093 409
2014-11-18 CAPN Vivo Ventures Fund V, L.P. 585,437 58,544
2014-11-18 CAPN Vivo Ventures Fund V, L.P. 6,870 687

经调整价格 已按拆股调整。经调整股数 已按拆股调整。

SLNO / Soleno Therapeutics, Inc. Insider Trades
SLNO / Soleno Therapeutics, Inc.内部人士卖出 - 短期亏损分析

在这一部分,我们分析了在 SLNO / Soleno Therapeutics, Inc. 中进行的每笔非计划的公开市场内部人士卖出所达成的短期亏损规避。如果存在持续的亏损规避模式,可能表明未来的内部人士卖出交易预示着价格的下跌。该分析基于每笔交易后一年的情况,

以下表格显示了最近的自动交易计划之外的公开市场买入。

交易日期 股票代码 内部人士 报告
股数
报告
价格
经调整
股数
经调整
价格
成本基础 达到最低利润的
天数
达到最低利润时的
价格
避免的
最高损失金额($)
避免的
最高损失率($)
当前未知该内部人士进行过任何未预先计划的公开市场交易。

经调整价格 已按拆股调整。经调整股数 已按拆股调整。

SLNO / Soleno Therapeutics, Inc. Insider Trades
内幕交易历史

该表格显示了由 Frank Kung 进行的所有内幕交易的完整列表,这些交易已向美国证券交易委员会(SEC)披露。

备案日期 交易日期 表格 股票代码 证券 代码 10b5-1 股数 剩余股数 %
变化
每股
股价
交易
金额
剩余
金额
2024-05-07 2024-05-07 4 AMRS AMYRIS, INC.
Common Stock
J - Other -16,207 0 -100.00
2024-05-07 2024-05-07 4 AMRS AMYRIS, INC.
Common Stock
J - Other -938,416 0 -100.00
2024-05-07 2024-05-07 4 AMRS AMYRIS, INC.
Common Stock
J - Other -6,796,205 0 -100.00
2022-09-23 2022-09-21 4/A AMRS AMYRIS, INC.
Common Stock
S - Sale X -36,488 0 -100.00 3.50 -127,708
2022-09-23 2022-09-21 4/A AMRS AMYRIS, INC.
Common Stock
S - Sale X -163,512 0 -100.00 3.50 -572,292
2022-09-23 2022-09-20 4/A AMRS AMYRIS, INC.
Common Stock
S - Sale X -72,972 36,488 -66.67 3.60 -262,699 131,357
2022-09-23 2022-09-20 4/A AMRS AMYRIS, INC.
Common Stock
S - Sale X -327,028 163,512 -66.67 3.60 -1,177,301 588,643
2022-09-22 2022-09-21 4 AMRS AMYRIS, INC.
Common Stock
S - Sale X -36,488 0 -100.00 3.50 -127,708
2022-09-22 2022-09-21 4 AMRS AMYRIS, INC.
Common Stock
S - Sale X -163,512 0 -100.00 3.50 -572,292
2022-09-22 2022-09-20 4 AMRS AMYRIS, INC.
Common Stock
S - Sale X -72,972 36,488 -66.67 3.60 -262,699 131,357
2022-09-22 2022-09-20 4 AMRS AMYRIS, INC.
Common Stock
S - Sale X -327,028 163,512 -66.67 3.60 -1,177,301 588,643
2022-09-19 2022-09-19 4 AMRS AMYRIS, INC.
Common Stock
S - Sale X -197,148 109,460 -64.30 3.80 -749,162 415,948
2022-09-19 2022-09-19 4 AMRS AMYRIS, INC.
Common Stock
S - Sale X -883,528 490,540 -64.30 3.80 -3,357,406 1,864,052
2022-09-19 2022-09-16 4 AMRS AMYRIS, INC.
Common Stock
S - Sale X -151,983 306,608 -33.14 3.60 -547,139 1,103,789
2022-09-19 2022-09-16 4 AMRS AMYRIS, INC.
Common Stock
S - Sale X -681,117 1,374,068 -33.14 3.60 -2,452,021 4,946,645
2022-09-19 2022-09-15 4 AMRS AMYRIS, INC.
Common Stock
S - Sale X -252,667 458,591 -35.52 4.20 -1,061,201 1,926,082
2022-09-19 2022-09-15 4 AMRS AMYRIS, INC.
Common Stock
S - Sale X -1,132,333 2,055,185 -35.52 4.20 -4,755,799 8,631,777
2022-08-29 2022-08-23 4/A AMRS AMYRIS, INC.
Common Stock
J - Other 7,409 16,207 84.21
2022-08-29 2022-08-23 4/A AMRS AMYRIS, INC.
Common Stock
J - Other -7,409 80,000 -8.48
2022-08-29 2022-08-22 4/A AMRS AMYRIS, INC.
Common Stock
A - Award 80,000 87,409 1,079.77
2022-08-24 2022-08-22 4 AMRS AMYRIS, INC.
Common Stock
A - Award 80,000 80,000
2021-08-26 2021-08-23 4/A AMRS AMYRIS, INC.
Common Stock
A - Award 7,409 7,409
2021-08-25 2021-08-23 4 AMRS AMYRIS, INC.
Common Stock
A - Award 7,409 7,409
2021-08-09 2021-08-05 4 AMRS AMYRIS, INC.
Common Stock
J - Other 2,266 8,798 34.69
2021-08-09 2021-08-05 4 AMRS AMYRIS, INC.
Common Stock
J - Other -2,266 0 -100.00
2021-04-15 2021-04-14 4 AMRS AMYRIS, INC.
Warrant (Right to Buy)
M - Exercise -147,111 0 -100.00 4.76 -700,248
2021-04-15 2021-04-14 4 AMRS AMYRIS, INC.
Warrant (Right to Buy)
M - Exercise -1,065,676 0 -100.00 4.76 -5,072,618
2021-04-15 2021-04-14 4 AMRS AMYRIS, INC.
Common Stock
M - Exercise 147,111 938,416 18.59 4.76 700,248 4,466,860
2021-04-15 2021-04-14 4 AMRS AMYRIS, INC.
Common Stock
M - Exercise 1,065,676 6,796,205 18.60 4.76 5,072,618 32,349,936
2021-04-15 2021-04-13 4 AMRS AMYRIS, INC.
Warrant (Right to Buy)
M - Exercise -1,005 0 -100.00
2021-04-15 2021-04-13 4 AMRS AMYRIS, INC.
Warrant (Right to Buy)
M - Exercise -7,275 0 -100.00
2021-04-15 2021-04-13 4 AMRS AMYRIS, INC.
Common Stock
S - Sale -286,032 711,258 -28.68 14.96 -4,279,754 10,642,198
2021-04-15 2021-04-13 4 AMRS AMYRIS, INC.
Common Stock
S - Sale -1,281,858 3,187,518 -28.68 14.96 -19,179,800 47,693,238
2021-04-15 2021-04-13 4 AMRS AMYRIS, INC.
Common Stock
S - Sale -377,384 791,305 -32.29 14.96 -5,646,608 11,839,901
2021-04-15 2021-04-13 4 AMRS AMYRIS, INC.
Common Stock
S - Sale -2,733,089 5,730,529 -32.29 14.96 -40,893,844 85,743,040
2021-04-15 2021-04-13 4 AMRS AMYRIS, INC.
Common Stock
M - Exercise 235,829 1,168,689 25.28 4.26 1,004,632 4,978,615
2021-04-15 2021-04-13 4 AMRS AMYRIS, INC.
Common Stock
M - Exercise 1,707,830 8,463,618 25.28 4.26 7,275,356 36,055,013
2020-11-04 2020-11-02 4 AMRS AMYRIS, INC.
Common Stock
J - Other 666 6,532 11.35
2020-11-04 2020-11-02 4 AMRS AMYRIS, INC.
Common Stock
J - Other -666 2,266 -22.71
2020-10-27 2020-10-23 4 AMRS AMYRIS, INC.
Common Stock
J - Other 2,266 5,866 62.94
2020-10-27 2020-10-23 4 AMRS AMYRIS, INC.
Common Stock
J - Other -2,266 2,932 -43.59
2020-08-07 2020-08-05 4 AMRS AMYRIS, INC.
Warrant (Right to Buy)
A - Award 3,466 3,466
2020-08-07 2020-08-05 4 AMRS AMYRIS, INC.
Common Stock
A - Award 2,266 5,198 77.29
2020-08-07 2020-08-05 4 AMRS AMYRIS, INC.
Warrant (Right to Buy)
A - Award 3,466 3,466
2020-08-07 2020-08-05 4 AMRS AMYRIS, INC.
Common Stock
A - Award 2,266 5,198 77.29
2020-06-09 2020-06-05 4 AMRS AMYRIS, INC.
Series E Convertible Preferred Stock
P - Purchase 195 195 1,000.00 195,082 195,082
2020-06-09 2020-06-05 4 AMRS AMYRIS, INC.
Series E Convertible Preferred Stock
P - Purchase 1,336 1,336 1,000.00 1,336,216 1,336,216
2020-06-09 2020-06-05 4 AMRS AMYRIS, INC.
Series E Convertible Preferred Stock
P - Purchase 1,413 1,413 1,000.00 1,412,736 1,412,736
2020-06-09 2020-06-05 4 AMRS AMYRIS, INC.
Series E Convertible Preferred Stock
P - Purchase 5,988 5,988 1,000.00 5,988,286 5,988,286
2020-06-09 2020-06-05 4 AMRS AMYRIS, INC.
Common Stock
P - Purchase 551,884 551,884 3.00 1,655,652 1,655,652
2020-06-09 2020-06-05 4 AMRS AMYRIS, INC.
Common Stock
P - Purchase 80,573 867,832 10.23 3.00 241,719 2,603,496
2020-06-09 2020-06-05 4 AMRS AMYRIS, INC.
Common Stock
P - Purchase 2,473,280 2,473,280 3.00 7,419,840 7,419,840
2020-06-09 2020-06-05 4 AMRS AMYRIS, INC.
Common Stock
P - Purchase 583,488 6,284,876 10.23 3.00 1,750,464 18,854,628
2019-11-05 2019-11-01 4 AMRS AMYRIS, INC.
Common Stock
J - Other 667 3,600 22.74
2019-11-05 2019-11-01 4 AMRS AMYRIS, INC.
Common Stock
J - Other -667 2,932 -18.53
2019-10-25 2019-10-23 4 AMRS AMYRIS, INC.
Stock Option (Right to Buy)
A - Award 3,466 3,466
2019-10-25 2019-10-23 4 AMRS AMYRIS, INC.
Common Stock
A - Award 2,266 3,599 169.99
2019-08-05 2019-08-01 4 AMRS AMYRIS, INC.
Common Stock
J - Other 2,266 2,933 339.73
2019-08-05 2019-08-01 4 AMRS AMYRIS, INC.
Common Stock
J - Other -2,266 1,333 -62.96
2019-05-01 2019-04-29 4 AMRS AMYRIS, INC.
Warrant (Right to Buy)
P - Purchase 147,111 147,111 0.12 18,389 18,389
2019-05-01 2019-04-29 4 AMRS AMYRIS, INC.
Warrant (Right to Buy)
P - Purchase 1,065,676 1,065,676 0.12 133,210 133,210
2019-05-01 2019-04-29 4 AMRS AMYRIS, INC.
Common Stock
P - Purchase 110,811 787,259 16.38 4.76 527,460 3,747,353
2019-05-01 2019-04-29 4 AMRS AMYRIS, INC.
Common Stock
P - Purchase 802,718 5,701,388 16.39 4.76 3,820,938 27,138,607
2018-11-02 2018-11-01 4 AMRS AMYRIS, INC.
Common Stock
J - Other 667 667
2018-11-02 2018-11-01 4 AMRS AMYRIS, INC.
Common Stock
J - Other -667 3,599 -15.64
2018-08-24 2018-08-20 4/A AMRS AMYRIS, INC.
Warrant (Right to Buy)
A - Award 256,251 256,251
2018-08-24 2018-08-20 4/A AMRS AMYRIS, INC.
Warrant (Right to Buy)
A - Award 1,855,706 1,855,706
2018-08-24 2018-08-17 4/A AMRS AMYRIS, INC.
Warrant (Right to Buy)
A - Award 619,749 619,749
2018-08-24 2018-08-17 4/A AMRS AMYRIS, INC.
Warrant (Right to Buy)
A - Award 4,488,072 4,488,072
2018-08-21 2018-08-20 4 AMRS AMYRIS, INC.
Warrant (Right to Buy)
A - Award 256,251 256,251
2018-08-21 2018-08-20 4 AMRS AMYRIS, INC.
Warrant (Right to Buy)
A - Award 1,855,706 1,855,706
2018-08-21 2018-08-20 4 AMRS AMYRIS, INC.
Warrant (Right to Buy)
M - Exercise -197,877 0 -100.00
2018-08-21 2018-08-20 4 AMRS AMYRIS, INC.
Warrant (Right to Buy)
M - Exercise -1,432,977 0 -100.00
2018-08-21 2018-08-20 4 AMRS AMYRIS, INC.
Common Stock
M - Exercise 197,877 676,448 41.35 4.40 870,659 2,976,371
2018-08-21 2018-08-20 4 AMRS AMYRIS, INC.
Common Stock
M - Exercise 1,432,977 4,898,670 41.35 4.40 6,305,099 21,554,148
2018-08-21 2018-08-20 4 AMRS AMYRIS, INC.
Common Stock
S - Sale -139,306 478,571 -22.55 6.22 -866,316 2,976,137
2018-08-21 2018-08-20 4 AMRS AMYRIS, INC.
Common Stock
S - Sale -1,008,816 3,465,693 -22.55 6.22 -6,273,625 21,552,452
2018-08-21 2018-08-17 4 AMRS AMYRIS, INC.
Warrant (Right to Buy)
A - Award 619,749 619,749
2018-08-21 2018-08-17 4 AMRS AMYRIS, INC.
Warrant (Right to Buy)
A - Award 4,488,072 4,488,072
2018-08-21 2018-08-17 4 AMRS AMYRIS, INC.
Warrant (Right to Buy)
D - Sale to Issuer 0 0
2018-08-21 2018-08-17 4 AMRS AMYRIS, INC.
Warrant (Right to Buy)
D - Sale to Issuer 0 0
2018-08-21 2018-08-17 4 AMRS AMYRIS, INC.
Warrant (Right to Buy)
M - Exercise -478,571 197,877 -70.75
2018-08-21 2018-08-17 4 AMRS AMYRIS, INC.
Warrant (Right to Buy)
M - Exercise -3,465,693 1,432,977 -70.75
2018-08-21 2018-08-17 4 AMRS AMYRIS, INC.
Series D Convertible Preferred Stock
M - Exercise -568 1,005 -36.10
2018-08-21 2018-08-17 4 AMRS AMYRIS, INC.
Series D Convertible Preferred Stock
M - Exercise -4,111 7,275 -36.10
2018-08-21 2018-08-17 4 AMRS AMYRIS, INC.
Common Stock
M - Exercise 478,571 617,877 343.54 4.40 2,105,712 2,718,659
2018-08-21 2018-08-17 4 AMRS AMYRIS, INC.
Common Stock
M - Exercise 3,465,693 4,474,509 343.54 4.40 15,249,049 19,687,840
2018-08-21 2018-08-17 4 AMRS AMYRIS, INC.
Common Stock
S - Sale -336,914 139,306 -70.75 6.22 -2,095,201 866,316
2018-08-21 2018-08-17 4 AMRS AMYRIS, INC.
Common Stock
S - Sale -2,439,848 1,008,816 -70.75 6.22 -15,172,927 6,273,625
2018-08-21 2018-08-17 4 AMRS AMYRIS, INC.
Common Stock
M - Exercise 133,246 476,220 38.85 4.26 567,628 2,028,697
2018-08-21 2018-08-17 4 AMRS AMYRIS, INC.
Common Stock
M - Exercise 964,927 3,448,664 38.85 4.26 4,110,589 14,691,309
2018-08-03 2018-08-01 4 AMRS AMYRIS, INC.
Stock Option (Right to Buy)
A - Award 3,466 3,466
2018-08-03 2018-08-01 4 AMRS AMYRIS, INC.
Common Stock
A - Award 2,266 4,266 113.30
2017-11-08 2017-11-06 4 AMRS AMYRIS, INC.
Stock Option (Right to Buy)
A - Award 3,000 3,000
2017-11-08 2017-11-06 4 AMRS AMYRIS, INC.
Common Stock
A - Award 2,000 2,000
2017-11-08 3 AMRS AMYRIS, INC.
Common Stock
5,310,448
2017-11-08 3 AMRS AMYRIS, INC.
Common Stock
3,169,685
2017-11-08 3 AMRS AMYRIS, INC.
Common Stock
5,310,448
2017-11-08 3 AMRS AMYRIS, INC.
Common Stock
3,169,685
2015-04-13 2015-04-09 4 SGNT Sagent Pharmaceuticals, Inc.
Restricted Stock Units
A - Award 921 921
2015-02-27 2015-02-25 4 SGNT Sagent Pharmaceuticals, Inc.
Restricted Stock Units
A - Award 1,841 1,841
2015-02-24 2015-02-22 4 SGNT Sagent Pharmaceuticals, Inc.
Restricted Stock Units
M - Exercise -567 567 -50.00
2015-02-24 2015-02-22 4 SGNT Sagent Pharmaceuticals, Inc.
Common Stock
M - Exercise 567 36,909 1.56
2015-02-24 2015-02-21 4 SGNT Sagent Pharmaceuticals, Inc.
Restricted Stock Units
M - Exercise -760 1,520 -33.33
2015-02-24 2015-02-21 4 SGNT Sagent Pharmaceuticals, Inc.
Common Stock
M - Exercise 760 36,342 2.14
2015-02-20 2015-02-18 4 SGNT Sagent Pharmaceuticals, Inc.
Restricted Stock Units
M - Exercise -930 2,790 -25.00
2015-02-20 2015-02-18 4 SGNT Sagent Pharmaceuticals, Inc.
Common Stock
M - Exercise 930 35,582 2.68
2014-11-20 2014-11-18 4 CAPN Capnia, Inc.
Series A Warrant to Purchase Common Stock
P - Purchase 6,870 945,200 0.73
2014-11-20 2014-11-18 4 CAPN Capnia, Inc.
Series B Warrant to Purchase Common Stock
P - Purchase 6,870 945,200 0.73
2014-11-20 2014-11-18 4 CAPN Capnia, Inc.
Series A Warrant to Purchase Common Stock
P - Purchase 585,437 938,330 165.90
2014-11-20 2014-11-18 4 CAPN Capnia, Inc.
Series B Warrant to Purchase Common Stock
P - Purchase 585,437 938,330 165.90
2014-11-20 2014-11-18 4 CAPN Capnia, Inc.
Series A Warrant to Purchase Common Stock
P - Purchase 4,093 352,893 1.17
2014-11-20 2014-11-18 4 CAPN Capnia, Inc.
Series B Warrant to Purchase Common Stock
P - Purchase 4,093 352,893 1.17
2014-11-20 2014-11-18 4 CAPN Capnia, Inc.
Series A Warrant to Purchase Common Stock
P - Purchase 348,800 348,800
2014-11-20 2014-11-18 4 CAPN Capnia, Inc.
Series B Warrant to Purchase Common Stock
P - Purchase 348,800 348,800
2014-11-20 2014-11-18 4 CAPN Capnia, Inc.
Warrant to Purchase Common Stock
J - Other 17 331,111 0.01
2014-11-20 2014-11-18 4 CAPN Capnia, Inc.
Warrant to Purchase Common Stock
J - Other 1,002 331,094 0.30
2014-11-20 2014-11-18 4 CAPN Capnia, Inc.
Warrant to Purchase Common Stock
J - Other 4,205 330,092 1.29
2014-11-20 2014-11-18 4 CAPN Capnia, Inc.
Warrant to Purchase Common Stock
J - Other 3,778 325,887 1.17
2014-11-20 2014-11-18 4 CAPN Capnia, Inc.
Warrant to Purchase Common Stock
J - Other 322,109 322,109
2014-11-20 2014-11-18 4 CAPN Capnia, Inc.
Series A Preferred Stock
C - Conversion -31,250 0 -100.00
2014-11-20 2014-11-18 4 CAPN Capnia, Inc.
Series B Preferred Stock
C - Conversion -1,755 0 -100.00
2014-11-20 2014-11-18 4 CAPN Capnia, Inc.
Series B Preferred Stock
C - Conversion -95,112 1,755 -98.19
2014-11-20 2014-11-18 4 CAPN Capnia, Inc.
Series B Preferred Stock
C - Conversion -19,766 96,867 -16.95
2014-11-20 2014-11-18 4 CAPN Capnia, Inc.
Series C Preferred Stock
C - Conversion -1,102 0 -100.00
2014-11-20 2014-11-18 4 CAPN Capnia, Inc.
Series C Preferred Stock
C - Conversion -59,638 1,102 -98.19
2014-11-20 2014-11-18 4 CAPN Capnia, Inc.
Series C Preferred Stock
C - Conversion -178,408 64,740 -73.37
2014-11-20 2014-11-18 4 CAPN Capnia, Inc.
Series C Preferred Stock
C - Conversion -240 239,148 -0.10
2014-11-20 2014-11-18 4 CAPN Capnia, Inc.
Series C Preferred Stock
C - Conversion -137,277 239,388 -36.45
2014-11-20 2014-11-18 4 CAPN Capnia, Inc.
2014 Convertible Promissory Notes
S - Sale -18,401 0 -100.00
2014-11-20 2014-11-18 4 CAPN Capnia, Inc.
2014 Convertible Promissory Notes
S - Sale -1,567,879 0 -100.00
2014-11-20 2014-11-18 4 CAPN Capnia, Inc.
2010/2012 Convertible Promissory Notes
S - Sale -596 0 -100.00
2014-11-20 2014-11-18 4 CAPN Capnia, Inc.
2010/2012 Convertible Promissory Notes
S - Sale -32,569 0 -100.00
2014-11-20 2014-11-18 4 CAPN Capnia, Inc.
2010/2012 Convertible Promissory Notes
S - Sale -136,441 0 -100.00
2014-11-20 2014-11-18 4 CAPN Capnia, Inc.
2010/2012 Convertible Promissory Notes
S - Sale -110,642 0 -100.00
2014-11-20 2014-11-18 4 CAPN Capnia, Inc.
2010/2012 Convertible Promissory Notes
S - Sale -9,427,595 0 -100.00
2014-11-20 2014-11-18 4 CAPN Capnia, Inc.
Common Stock
P - Purchase 6,870 3,497,288 0.20
2014-11-20 2014-11-18 4 CAPN Capnia, Inc.
Common Stock
P - Purchase 585,437 3,490,418 20.15
2014-11-20 2014-11-18 4 CAPN Capnia, Inc.
Common Stock
P - Purchase 4,093 2,904,981 0.14
2014-11-20 2014-11-18 4 CAPN Capnia, Inc.
Common Stock
P - Purchase 348,800 2,900,888 13.67
2014-11-20 2014-11-18 4 CAPN Capnia, Inc.
Common Stock
P - Purchase 122 2,552,088 0.00
2014-11-20 2014-11-18 4 CAPN Capnia, Inc.
Common Stock
P - Purchase 6,689 2,551,966 0.26
2014-11-20 2014-11-18 4 CAPN Capnia, Inc.
Common Stock
P - Purchase 28,028 2,545,277 1.11
2014-11-20 2014-11-18 4 CAPN Capnia, Inc.
Common Stock
P - Purchase 22,729 2,517,249 0.91
2014-11-20 2014-11-18 4 CAPN Capnia, Inc.
Common Stock
P - Purchase 1,936,843 2,494,520 347.31
2014-11-20 2014-11-18 4 CAPN Capnia, Inc.
Common Stock
C - Conversion 31,250 557,677 5.94
2014-11-20 2014-11-18 4 CAPN Capnia, Inc.
Common Stock
C - Conversion 1,755 526,427 0.33
2014-11-20 2014-11-18 4 CAPN Capnia, Inc.
Common Stock
C - Conversion 95,112 524,672 22.14
2014-11-20 2014-11-18 4 CAPN Capnia, Inc.
Common Stock
C - Conversion 19,766 429,560 4.82
2014-11-20 2014-11-18 4 CAPN Capnia, Inc.
Common Stock
C - Conversion 1,102 409,794 0.27
2014-11-20 2014-11-18 4 CAPN Capnia, Inc.
Common Stock
C - Conversion 59,638 408,692 17.09
2014-11-20 2014-11-18 4 CAPN Capnia, Inc.
Common Stock
C - Conversion 178,408 349,054 104.55
2014-11-20 2014-11-18 4 CAPN Capnia, Inc.
Common Stock
C - Conversion 1,611 170,646 0.95
2014-11-20 2014-11-18 4 CAPN Capnia, Inc.
Common Stock
C - Conversion 137,277 169,035 432.26
2014-11-12 3 CAPN Capnia, Inc.
Common Stock
52,390
2014-11-12 3 CAPN Capnia, Inc.
Common Stock
37,486
2014-11-12 3 CAPN Capnia, Inc.
Common Stock
37,059
2014-11-12 3 CAPN Capnia, Inc.
Common Stock
31,855
2014-11-12 3 CAPN Capnia, Inc.
Common Stock
52,390
2014-11-12 3 CAPN Capnia, Inc.
Common Stock
37,486
2014-11-12 3 CAPN Capnia, Inc.
Common Stock
37,059
2014-11-12 3 CAPN Capnia, Inc.
Common Stock
31,855
2014-11-12 3 CAPN Capnia, Inc.
Common Stock
52,390
2014-11-12 3 CAPN Capnia, Inc.
Common Stock
37,486
2014-11-12 3 CAPN Capnia, Inc.
Common Stock
37,059
2014-11-12 3 CAPN Capnia, Inc.
Common Stock
31,855
2014-11-12 3 CAPN Capnia, Inc.
Common Stock
52,390
2014-11-12 3 CAPN Capnia, Inc.
Common Stock
37,486
2014-11-12 3 CAPN Capnia, Inc.
Common Stock
37,059
2014-11-12 3 CAPN Capnia, Inc.
Common Stock
31,855
2014-11-12 3 CAPN Capnia, Inc.
Common Stock
52,390
2014-11-12 3 CAPN Capnia, Inc.
Common Stock
37,486
2014-11-12 3 CAPN Capnia, Inc.
Common Stock
37,059
2014-11-12 3 CAPN Capnia, Inc.
Common Stock
31,855
2014-11-12 3 CAPN Capnia, Inc.
Common Stock
52,390
2014-11-12 3 CAPN Capnia, Inc.
Common Stock
37,486
2014-11-12 3 CAPN Capnia, Inc.
Common Stock
37,059
2014-11-12 3 CAPN Capnia, Inc.
Common Stock
31,855
2014-11-12 3 CAPN Capnia, Inc.
Common Stock
52,390
2014-11-12 3 CAPN Capnia, Inc.
Common Stock
37,486
2014-11-12 3 CAPN Capnia, Inc.
Common Stock
37,059
2014-11-12 3 CAPN Capnia, Inc.
Common Stock
31,855
2014-11-12 3 CAPN Capnia, Inc.
Common Stock
52,390
2014-11-12 3 CAPN Capnia, Inc.
Common Stock
37,486
2014-11-12 3 CAPN Capnia, Inc.
Common Stock
37,059
2014-11-12 3 CAPN Capnia, Inc.
Common Stock
31,855
2014-11-12 3 CAPN Capnia, Inc.
Common Stock
52,390
2014-11-12 3 CAPN Capnia, Inc.
Common Stock
37,486
2014-11-12 3 CAPN Capnia, Inc.
Common Stock
37,059
2014-11-12 3 CAPN Capnia, Inc.
Common Stock
31,855
2014-11-12 3 CAPN Capnia, Inc.
Common Stock
52,390
2014-11-12 3 CAPN Capnia, Inc.
Common Stock
37,486
2014-11-12 3 CAPN Capnia, Inc.
Common Stock
37,059
2014-11-12 3 CAPN Capnia, Inc.
Common Stock
31,855
2014-11-12 3 CAPN Capnia, Inc.
Common Stock
52,390
2014-11-12 3 CAPN Capnia, Inc.
Common Stock
37,486
2014-11-12 3 CAPN Capnia, Inc.
Common Stock
37,059
2014-11-12 3 CAPN Capnia, Inc.
Common Stock
31,855
2014-02-24 2014-02-22 4 SGNT Sagent Pharmaceuticals, Inc.
Restricted Stock Units
M - Exercise -567 1,134 -33.33
2014-02-24 2014-02-22 4 SGNT Sagent Pharmaceuticals, Inc.
Common Stock
M - Exercise 567 34,652 1.66
2014-02-24 2014-02-21 4 SGNT Sagent Pharmaceuticals, Inc.
Restricted Stock Units
M - Exercise -759 2,280 -24.98
2014-02-24 2014-02-21 4 SGNT Sagent Pharmaceuticals, Inc.
Common Stock
M - Exercise 759 34,085 2.28
2014-02-19 2014-02-18 4 SGNT Sagent Pharmaceuticals, Inc.
Restricted Stock Units
A - Award 3,720 3,720
2013-09-17 2013-09-16 4 SGNT Sagent Pharmaceuticals, Inc.
Common Stock
S - Sale -622,700 4,180,791 -12.96 21.25 -13,232,375 88,841,809
2013-09-17 2013-09-16 4 SGNT Sagent Pharmaceuticals, Inc.
Common Stock
S - Sale -539,017 3,618,946 -12.96 21.25 -11,454,111 76,902,602
2013-02-25 2013-02-22 4 SGNT Sagent Pharmaceuticals, Inc.
Restricted Stock Units
M - Exercise -567 1,701 -25.00
2013-02-25 2013-02-22 4 SGNT Sagent Pharmaceuticals, Inc.
Common Stock
M - Exercise 567 33,326 1.73
2013-02-25 2013-02-21 4 SGNT Sagent Pharmaceuticals, Inc.
Restricted Stock Units
A - Award 3,039 3,039
2012-06-04 2012-06-01 4 SGNT Sagent Pharmaceuticals, Inc.
Stock Option to Buy/Restricted Stock
M - Exercise -3,190 0 -100.00
2012-06-04 2012-06-01 4 SGNT Sagent Pharmaceuticals, Inc.
Common Stock
M - Exercise 3,190 32,759 10.79 4.23 13,494 138,571
2012-04-19 2011-06-01 4 SGNT Sagent Pharmaceuticals, Inc.
Stock Option to Buy/Restricted Stock
M - Exercise -3,190 3,189 -50.01
2012-04-19 2011-06-01 4 SGNT Sagent Pharmaceuticals, Inc.
Common Stock
M - Exercise 3,190 29,569 12.09 4.23 13,494 125,077
2012-02-24 2012-02-22 4 SGNT Sagent Pharmaceuticals, Inc.
Restricted Stock Units
A - Award 2,268 2,268
P
非衍生或衍生证券的公开市场或私下买入
S
非衍生或衍生证券的公开市场或私下卖出
A
公司向内部人员授予、奖励或以其他方式获取证券(例如股票期权)
C
衍生工具转换
D
将证券卖出或转让回公司
F
使用从公司收到的证券的一部分来支付行使价或税务负担。
G
内部人士赠送或接收他人赠送公司股票
K
股权掉期和类似的避险交易
M
行使或转换从公司获得的衍生证券(例如期权)
V
内部人士通过Form 4自愿报告的一笔交易
J
其他(附有交易描述的脚注)