Insider · CIK 0001293577

Katz Richard D

Reports to the SEC for 4 companies · DURHAM, NC

sec.gov

Transactions

Companies

Filings

CIK

0001293577

Forms 4 and 5

Insider transactions

42 trades

Date	Company	Role	Code	Shares	Price	Value	Shares after
2022-02-01	Allena Pharmaceuticals, Inc.Restricted Stock UnitsA Award	Chief Financial Officer	AAward	+255K sh	—	—	255,000
2021-02-01	Allena Pharmaceuticals, Inc.Stock Option (Right to Buy)A Award	Chief Financial Officer	AAward	+400K sh	—	—	400,000
2020-03-18	Liquidia Technologies IncEmployee Stock Option (right to buy)A Award	Chief Financial Officer	AAward	+43.3K sh	—	—	43,333
2020-03-18	Liquidia Technologies IncA Award	Chief Financial Officer	AAward	+10.8K sh	—	—	10,833
2019-05-22	Liquidia Technologies IncEmployee Stock Option (right to buy)A Award	Chief Financial Officer	AAward	+155K sh	—	—	155,000
2018-04-25	ARGOS THERAPEUTICS INCD Disposition to Issuer	Vice President and CFO	DDisposition to Issuer	−22.6K sh	—	—	9,697
2018-03-28	ARGOS THERAPEUTICS INCA Award	Vice President and CFO	AAward	+22.6K sh	—	—	32,326
2018-01-03	ARGOS THERAPEUTICS INCS Sale	Vice President and CFO	SSale	−101K sh	$0.16	−$16.5K	298,394
2017-08-30	ARGOS THERAPEUTICS INCA Award	Vice President and CFO	AAward	+396K sh	—	—	399,622
2017-01-19	ARGOS THERAPEUTICS INCStock Option (right to buy)A Award	Vice President and CFO	AAward	+105K sh	—	—	105,000
2017-01-19	ARGOS THERAPEUTICS INCA Award	Vice President and CFO	AAward	+3,958 sh	—	—	3,958
2016-07-11	ARGOS THERAPEUTICS INCStock Option (right to buy)A Award	Vice President and CFO	AAward	+300K sh	—	—	300,000
2011-09-14	ICAGEN INCU Disposition from Tender	Ex VP, Fin & Corp, CFO & Treas	UDisposition from Tender	−33.9K sh	$6.00	−$203K	0
2011-09-09	ICAGEN INCF Tax Payment	Ex VP, Fin & Corp, CFO & Treas	FTax Payment	−17K sh	$6.00	−$102K	33,902
2011-09-02	ICAGEN INCU Disposition from Tender	Ex VP, Fin & Corp, CFO & Treas	UDisposition from Tender	−25K sh	$6.00	−$150K	50,938
2011-08-18	ICAGEN INCS Sale	Ex VP, Fin & Corp, CFO & Treas	SSale	−8 sh	$5.96	−$47.68	75,972
2011-08-18	ICAGEN INCF Tax Payment	Ex VP, Fin & Corp, CFO & Treas	FTax Payment	−841 sh	$5.96	−$5,012.36	75,980
2011-08-17	ICAGEN INCF Tax Payment	Ex VP, Fin & Corp, CFO & Treas	FTax Payment	−235 sh	$6.00	−$1,410	76,821
2011-08-10	ICAGEN INCS Sale	Ex VP, Fin & Corp, CFO & Treas	SSale	−36 sh	$5.96	−$214.56	77,056
2011-08-10	ICAGEN INCF Tax Payment	Ex VP, Fin & Corp, CFO & Treas	FTax Payment	−4,181 sh	$5.96	−$24.9K	77,092
2011-05-25	ICAGEN INCF Tax Payment	Ex VP, Fin & Corp, CFO & Treas	FTax Payment	−854 sh	$2.48	−$2,117.92	81,273
2011-02-08	ICAGEN INCA Award	Ex VP, Fin & Corp, CFO & Treas	AAward	+50K sh	—	—	82,127
2011-02-01	ICAGEN INCF Tax Payment	Ex VP, Fin & Corp, CFO & Treas	FTax Payment	−376 sh	$3.41	−$1,282.16	32,127
2011-01-29	ICAGEN INCF Tax Payment	Ex VP, Fin & Corp, CFO & Treas	FTax Payment	−353 sh	$2.94	−$1,037.82	32,503
2011-01-23	ICAGEN INCF Tax Payment	Ex VP, Fin & Corp, CFO & Treas	FTax Payment	−2,478 sh	$2.49	−$6,170.22	32,856
2011-01-12	ICAGEN INCF Tax Payment	Ex VP, Fin & Corp, CFO & Treas	FTax Payment	−124 sh	$1.93	−$239.32	35,334
2010-02-18	ICAGEN INCA Award	Ex VP, Fin & Corp, CFO & Treas	AAward	+40K sh	—	—	283,658
2010-02-18	ICAGEN INCEmployee Stock Option (right to buy)A Award	Ex VP, Fin & Corp, CFO & Treas	AAward	+175K sh	—	—	175,000
2010-02-01	ICAGEN INCF Tax Payment	Ex VP, Fin & Corp, CFO & Treas	FTax Payment	−3,172 sh	$0.89	−$2,823.08	243,658
2010-01-29	ICAGEN INCF Tax Payment	Ex VP, Fin & Corp, CFO & Treas	FTax Payment	−2,973 sh	$0.86	−$2,556.78	246,830
2010-01-23	ICAGEN INCF Tax Payment	Ex VP, Fin & Corp, CFO & Treas	FTax Payment	−19.8K sh	$0.94	−$18.6K	249,803
2010-01-12	ICAGEN INCF Tax Payment	Ex VP, Fin & Corp, CFO & Treas	FTax Payment	−991 sh	$0.69	−$683.79	269,628
2009-12-16	ICAGEN INCG Gift	Ex VP, Fin & Corp, CFO & Treas	GGift	−18K sh	—	—	270,619
2009-11-02	ICAGEN INCEmployee Stock Option (right to buy)M Exercise/Conversion	Ex VP, Fin & Corp, CFO & Treas	MExercise/Conversion	−14K sh	—	—	240,814
2009-11-02	ICAGEN INCM Exercise/Conversion	Ex VP, Fin & Corp, CFO & Treas	MExercise/Conversion	+14K sh	$0.87	+$12.2K	288,619
2009-08-17	ICAGEN INCF Tax Payment	Ex VP, Fin & Corp, CFO & Treas	FTax Payment	−1,882 sh	$0.69	−$1,298.58	287,447
2009-02-01	ICAGEN INCF Tax Payment	Ex VP, Fin & Corp, CFO & Treas	FTax Payment	−3,172 sh	$0.54	−$1,712.88	289,329
2009-01-29	ICAGEN INCF Tax Payment	Ex VP, Fin & Corp, CFO & Treas	FTax Payment	−2,973 sh	$0.55	−$1,635.15	292,501
2009-01-23	ICAGEN INCA Award	Ex VP, Fin & Corp, CFO & Treas	AAward	+200K sh	—	—	295,474
2009-01-12	ICAGEN INCF Tax Payment	Ex VP, Fin & Corp, CFO & Treas	FTax Payment	−991 sh	$0.45	−$445.95	95,474
2008-02-01	ICAGEN INCF Tax Payment	Ex VP, Fin & Corp, CFO & Treas	FTax Payment	−3,172 sh	$1.50	−$4,758	98,347
2005-05-12	ICAGEN INCStock Option (Right to Buy)A Award	Ex VP, Fin & Corp, CFO & Treas	AAward	+40K sh	—	—	40,000

Recent filings

Accepted (ET)
Feb 24
Katz Richard D0000899243-22-004144
SEC(opens sec.gov)
Feb 24
Katz Richard D0000899243-21-004246
SEC(opens sec.gov)
Mar 204
Katz Richard D0001104659-20-036982
SEC(opens sec.gov)
May 224
Katz Richard D0001104659-19-031118
SEC(opens sec.gov)
Apr 254
Katz Richard D0001171843-18-003058
SEC(opens sec.gov)
Apr 24
Katz Richard D0001171843-18-002408
SEC(opens sec.gov)
Jan 54
Katz Richard D0001293577-18-000001
SEC(opens sec.gov)
Aug 314
Katz Richard D0001293577-17-000002
SEC(opens sec.gov)
Jan 234
ARGOS THERAPEUTICS INC0001293577-17-000001
SEC(opens sec.gov)
Jul 134
ARGOS THERAPEUTICS INC0001293577-16-000002
SEC(opens sec.gov)
Sep 274
ICAGEN INC0001181431-11-050511
SEC(opens sec.gov)
Sep 134
ICAGEN INC0001181431-11-049112
SEC(opens sec.gov)
Sep 74
ICAGEN INC0001209191-11-046935
SEC(opens sec.gov)
Aug 224
ICAGEN INC0001181431-11-046437
SEC(opens sec.gov)
Aug 124
ICAGEN INC0001181431-11-045317
SEC(opens sec.gov)

Companies

Address

C/O ICAGEN, INC., 4222 EMPEROR BOULEVARD SUITE 350

DURHAM, NC, 27703