Insider · CIK 0001289783

Cavalier David

Reports to the SEC for 2 companies · MISSION VIEJO, CA

sec.gov

Transactions

Companies

Filings

CIK

0001289783

Forms 4 and 5

Insider transactions

50 trades

Date	Company	Role	Code	Shares	Price	Value	Shares after
2020-08-13	ANIXAnixa Biosciences Inc · Employee Stock Option (Right to Buy)A Award	Director	AAward	+30K sh	—	—	30,000
2019-10-23	ANIXAnixa Biosciences Inc · Employee Stock Option (Right to Buy)A Award	Director	AAward	+45K sh	—	—	45,000
2019-04-29	ANIXAnixa Biosciences IncP Purchase	Director	PPurchase	+2,000 sh	$4.21	+$8,420	2,000
2018-10-08	ANIXAnixa Biosciences Inc · Employee Stock Option (Right to Buy)A Award	Director	AAward	+45K sh	—	—	45,000
2013-05-08	AEOLUS PHARMACEUTICALS, INC.Non-qualified Stock Option (right to buy)A Award	Director	AAward	+75K sh	—	—	75,000
2011-02-16	AEOLUS PHARMACEUTICALS, INC.J Other	Director	JOther	−882K sh	—	—	39,748,589
2010-12-28	AEOLUS PHARMACEUTICALS, INC.Put Option (obligation to buy)J Other	Director	JOther	−2.5M sh	—	—	0
2010-12-28	AEOLUS PHARMACEUTICALS, INC.X Exercise of In-Money	Director	XExercise of In-Money	+2.5M sh	—	—	40,631,077
2010-12-28	AEOLUS PHARMACEUTICALS, INC.Warrants (right to buy)X Exercise of In-Money	Director	XExercise of In-Money	+2.5M sh	—	—	2,500,000
2010-12-28	AEOLUS PHARMACEUTICALS, INC.Call Option (right to buy)X Exercise of In-Money	Director	XExercise of In-Money	−2.5M sh	—	—	0
2010-08-11	AEOLUS PHARMACEUTICALS, INC.Call Option (right to buy)P Purchase	Director	PPurchase	+2.5M sh	—	—	2,500,000
2010-08-11	AEOLUS PHARMACEUTICALS, INC.P Purchase	Director	PPurchase	+2.5M sh	—	—	34,415,876
2010-08-11	AEOLUS PHARMACEUTICALS, INC.Warrants (right to buy)P Purchase	Director	PPurchase	+250K sh	—	—	2,500,000
2010-08-11	AEOLUS PHARMACEUTICALS, INC.Put Option (obligation to buy)S Sale	Director	SSale	−2.5M sh	—	—	2,500,000
2010-07-30	AEOLUS PHARMACEUTICALS, INC.J Other	Director	JOther	+5.89M sh	$0.28	+$1.65M	31,915,876
2010-07-30	AEOLUS PHARMACEUTICALS, INC.Warrants (right to buy)J Other	Director	JOther	+11.8M sh	—	—	11,785,714
2009-12-28	AEOLUS PHARMACEUTICALS, INC.P Purchase	Director	PPurchase	+10K sh	$0.47	+$4,750	26,023,019
2009-12-24	AEOLUS PHARMACEUTICALS, INC.C Conversion	Director	CConversion	+714K sh	—	—	26,013,019
2009-12-24	AEOLUS PHARMACEUTICALS, INC.J Other	Director	JOther	+714K sh	—	—	25,953,019
2009-12-23	AEOLUS PHARMACEUTICALS, INC.P Purchase	Director	PPurchase	+10K sh	$0.43	+$4,300	25,298,733
2009-12-22	AEOLUS PHARMACEUTICALS, INC.P Purchase	Director	PPurchase	+10K sh	$0.41	+$4,150	25,288,733
2009-12-21	AEOLUS PHARMACEUTICALS, INC.P Purchase	Director	PPurchase	+10K sh	$0.43	+$4,338	25,278,733
2009-12-18	AEOLUS PHARMACEUTICALS, INC.P Purchase	Director	PPurchase	+10K sh	$0.38	+$3,825	25,268,733
2009-12-17	AEOLUS PHARMACEUTICALS, INC.P Purchase	Director	PPurchase	+20K sh	$0.35	+$7,076	25,258,733
2009-10-06	AEOLUS PHARMACEUTICALS, INC.Warrants (right to buy)J Other	Director	JOther	−250K sh	—	—	0
2009-10-06	AEOLUS PHARMACEUTICALS, INC.P Purchase	Director	PPurchase	+5.89M sh	$0.28	+$1.65M	22,344,597
2009-10-06	AEOLUS PHARMACEUTICALS, INC.C Conversion	Director	CConversion	+2.86M sh	$0.35	+$1M	25,201,740
2009-10-06	AEOLUS PHARMACEUTICALS, INC.J Other	Director	JOther	+37K sh	$0.35	+$12.8K	25,238,733
2009-10-06	AEOLUS PHARMACEUTICALS, INC.Senior Convertible NoteC Conversion	Director	CConversion	—	—	—	0
2009-10-06	AEOLUS PHARMACEUTICALS, INC.Warrants (right to buy)J Other	Director	JOther	−2.15M sh	—	—	0
2009-10-06	AEOLUS PHARMACEUTICALS, INC.Warrants (right to buy)J Other	Director	JOther	−1M sh	—	—	0
2009-10-06	AEOLUS PHARMACEUTICALS, INC.Warrants (right to buy)J Other	Director	JOther	−250K sh	—	—	0
2009-10-06	AEOLUS PHARMACEUTICALS, INC.Warrants (right to buy)J Other	Director	JOther	−250K sh	—	—	0
2009-10-06	AEOLUS PHARMACEUTICALS, INC.Warrants (right to buy)J Other	Director	JOther	−250K sh	—	—	0
2009-10-06	AEOLUS PHARMACEUTICALS, INC.Warrants (right to buy)J Other	Director	JOther	−13.4M sh	—	—	0
2009-10-06	AEOLUS PHARMACEUTICALS, INC.Warrants (right to buy)J Other	Director	JOther	+31.8M sh	—	—	31,828,571
2009-10-06	AEOLUS PHARMACEUTICALS, INC.Warrants (right to buy)P Purchase	Director	PPurchase	+11.8M sh	—	—	43,614,285
2009-07-31	AEOLUS PHARMACEUTICALS, INC.J Other	Director	JOther	+95.5K sh	$0.36	+$34.7K	16,451,740
2009-07-30	AEOLUS PHARMACEUTICALS, INC.Non-Qualified Stock Option (right to buy)A Award	Director	AAward	+15K sh	—	—	15,000
2009-06-04	AEOLUS PHARMACEUTICALS, INC.Non-Qualified Stock Option (right to buy)A Award	Director	AAward	+11.3K sh	—	—	11,250
2009-04-30	AEOLUS PHARMACEUTICALS, INC.Non-Qualified Stock Option (right to buy)A Award	Director	AAward	+3,750 sh	—	—	3,750
2009-04-22	AEOLUS PHARMACEUTICALS, INC.P Purchase	Director	PPurchase	+20K sh	$0.39	+$7,800	16,356,203
2009-04-02	AEOLUS PHARMACEUTICALS, INC.P Purchase	Director	PPurchase	+20K sh	$0.39	+$7,850	16,336,203
2009-03-30	AEOLUS PHARMACEUTICALS, INC.P Purchase	Director	PPurchase	+5.36M sh	$0.28	+$1.5M	16,186,203
2009-03-30	AEOLUS PHARMACEUTICALS, INC.P Purchase	Director	PPurchase	+5.36M sh	$0.28	+$1.5M	16,316,203
2009-03-30	AEOLUS PHARMACEUTICALS, INC.Warrants (right to buy)P Purchase	Director	PPurchase	+13.4M sh	—	—	13,392,857
2009-03-26	AEOLUS PHARMACEUTICALS, INC.Non-Qualified Stock Option (right to buy)A Award	Director	AAward	+11.3K sh	—	—	11,250
2009-02-24	AEOLUS PHARMACEUTICALS, INC.P Purchase	Director	PPurchase	+20K sh	$0.42	+$8,350	10,959,060
2009-02-11	AEOLUS PHARMACEUTICALS, INC.P Purchase	Director	PPurchase	+20K sh	$0.45	+$9,000	10,939,060
2009-02-10	AEOLUS PHARMACEUTICALS, INC.P Purchase	Director	PPurchase	+40K sh	$0.43	+$17.4K	10,919,060

Recent filings

Accepted (ET)
Aug 174
Cavalier David0001513162-20-000171
SEC(opens sec.gov)
Oct 244
Cavalier David0001513162-19-000224
SEC(opens sec.gov)
Apr 294
Cavalier David0001513162-19-000115
SEC(opens sec.gov)
Oct 94
Cavalier David0001513162-18-000254
SEC(opens sec.gov)
May 104
Cavalier David0001102624-13-000574
SEC(opens sec.gov)
Feb 184
Cavalier David0001140361-11-010940
SEC(opens sec.gov)
Feb 184
Cavalier David0001140361-11-010944
SEC(opens sec.gov)
Aug 164
Cavalier David0001144204-10-044309
SEC(opens sec.gov)
Aug 34
Cavalier David0001144204-10-041026
SEC(opens sec.gov)
Dec 294/A
Cavalier David0001223692-09-000042
SEC(opens sec.gov)

Companies

Address

C/O AEOLUS PHARMACEUTICALS, INC. 26361 CROWN VALLEY PARKWAY # 150

MISSION VIEJO, CA, 92691