| Actions en circulation | 543,712,972 shares |
| Actions d'initiés | 92 480 485 shares |
| Participation des initiés | 17,01 % |
Indice de confiance des initiés
L'indice de confiance des initiés identifie les entreprises achetées par les initiés.
Il est le résultat d'un modèle quantitatif sophistiqué et multifactoriel qui identifie les entreprises présentant les niveaux les plus élevés de capitalisation d'initiés. Le modèle de notation utilise une combinaison du nombre net d'initiés ayant acheté des actions au cours des 90 derniers jours, du nombre total d'actions achetées en pourcentage du flottant et du nombre total d'actions détenues par les initiés. Le nombre varie de 0 à 100, les chiffres les plus élevés indiquant un niveau d'accumulation supérieur à celui de ses pairs, et 50 étant la moyenne.
Fréquence de mise à jour : Quotidienne
Indice de confiance des dirigeants
L'indice de confiance des dirigeants identifie les entreprises dont les actions sont achetées par des dirigeants d'entreprise.
Par définition, les dirigeants d'entreprise sont des initiés, mais contrairement à d'autres initiés (actionnaires à 10 % et membres du conseil d'administration), les dirigeants travaillent quotidiennement pour l'entreprise et utilisent leur propre argent lorsqu'ils effectuent des opérations (les actionnaires à 10 % et les membres du conseil d'administration sont souvent des gestionnaires de fonds qui gèrent l'argent d'autrui). À ce titre, les opérations d'initiés réalisées par les dirigeants sont beaucoup plus significatives et doivent être traitées de manière appropriée.
Comme l'indice de confiance des initiés, l'indice de confiance des dirigeants est le résultat d'un modèle quantitatif sophistiqué et multifactoriel qui identifie les entreprises présentant les niveaux les plus élevés d'accumulation de dirigeants.
Fréquence de mise à jour : Quotidienne
Principaux indicateurs des initiés
Cette carte montre comment l'entreprise se positionne par rapport à divers indicateurs d'initiés. La position en centile montre comment cette entreprise se situe par rapport aux autres entreprises sur les marchés américains. Une position plus élevée indique une meilleure situation.
Par exemple, il est généralement admis que les achats d'initiés sont un indicateur positif, de sorte que les entreprises dont les achats d'initiés sont plus nombreux se positionnent mieux que celles dont les achats d'initiés sont moins nombreux (ou même les ventes d'initiés).
Nombre net d'achats d'initiés (position)
N/A
Le nombre net d'initiés achetant est le nombre total d'initiés achetant moins le nombre total d'initiés vendant au cours des 90 derniers jours. La position en centile est indiquée ici (de 0 à 100%).
Pourcentage du flottant acheté par les initiés (position)
N/A
Le pourcentage du flottant acheté par les initiés est le nombre total d'actions achetées par les initiés moins le nombre total d'actions vendues par les initiés au cours des 90 derniers jours, divisé par le flottant total et multiplié par 100.
Graphique des opérations d'initiés
Les opérations d'initiés de Sorrento Therapeutics, Inc. sont présentées dans le graphique suivant. Les initiés sont des dirigeants, des administrateurs ou des investisseurs importants dans une entreprise. En général, il est illégal pour les initiés d'effectuer des opérations d'initiés dans leur entreprise sur la base d'informations matérielles non publiques. Cela ne signifie pas qu'il est illégal pour eux d'effectuer toute transaction dans leurs propres entreprises. Toutefois, ils doivent déclarer toutes les transactions à la SEC au moyen d'un formulaire 4.
Liste d'initiés et indicateurs de rentabilité
Ce tableau présente la liste des initiés connus et est généré automatiquement à partir des dépôts communiqués à la SEC. Outre les noms, le titre le plus récent et la désignation du directeur, du dirigeant ou du propriétaire à 10 %, nous indiquons les dernières participations divulguées. En outre, lorsque cela est possible, nous indiquons les performances historiques des opérations d'initiés. La performance historique des transactions est une moyenne pondérée de la performance des opérations d'achat réelles sur le marché public effectuées par l'initié. Pour plus d'informations sur le mode de calcul, regardez ce webinaire sur YouTube.
See our leaderboard of most profitable insider traders.
| Initié | Profit moyen (%) | Actions détenues |
Fractionnement Ajusté |
|---|
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Historique des achats d'initiés - Analyse des bénéfices à court terme
Dans cette section, nous analysons la rentabilité de chaque achat d'initié non planifié et effectué sur le marché public dans SRNEQ / Sorrento Therapeutics, Inc.. Cette analyse permet de comprendre si l'initié génère régulièrement des rendements anormaux et s'il vaut la peine d'être suivi. Cette analyse porte sur l'année qui suit chaque transaction et les résultats sont théoriques .
Le tableau suivant présente les achats sur le marché public les plus récents qui ne faisaient pas partie d'un plan de trading automatique.
Prix ajusté est le prix ajusté suite au fractionnement. Actions ajustées est le nombre d'actions ajustées suite au fractionnement.
Historique des ventes d'initiés - Analyse des pertes à court terme
Dans cette section, nous analysons l'évitement des pertes à court terme de chaque vente d'initié non planifiée et réalisée sur le marché public dans SRNEQ / Sorrento Therapeutics, Inc.. Un schéma cohérent d'évitement des pertes peut suggérer que les transactions de vente futures peuvent prédire des baisses de prix. Cette analyse porte sur l'année qui suit chaque transaction, et les résultats sont théoriques .
Le tableau suivant présente les ventes les plus récentes sur le marché public qui ne faisaient pas partie d'un plan de trading automatique.
Prix ajusté est le prix ajusté suite au fractionnement. Actions ajustées est le nombre d'actions ajustées suite au fractionnement.
Historique des transactions
Click the link icon to see the full transaction history. Transactions reported as part of a 10b5-1 automatic trading plan will have an X in the column marked 10b-5.
| Date de dépôt |
Date de transaction |
Formulaire | Initié | Libellé | Nom du titre | Code | Direct | Prix d'exercice |
Prix unitaire |
Unités Modifié |
Valeur Modifiée (1K) |
Options restantes |
Actions restantes |
|
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 2023-03-20 | 2023-03-17 | 4 | Ji Henry By BioVintage, Inc. | SRNEQ | Common Stock | I | 0,8027 | 19 500 | 16 | 20 000 | ||||
| 2023-02-06 | 2021-03-15 | 5 | Janda Kim | SRNE | Common Stock | D | 10,4243 | -3 000 | -31 | 0 | ||||
| 2022-12-23 | 2022-12-21 | 4 | Ji Henry By BioVintage, Inc. | SRNE | Common Stock | I | 5,5000 | 300 | 2 | 500 | ||||
| 2022-12-23 | 2022-12-02 | 4 | Ji Henry By BioVintage, Inc. | SRNE | Common Stock | I | 5,5000 | 200 | 1 | 200 | ||||
| 2022-12-16 | 2022-12-15 | 4 | Ji Henry | SRNE | Common Stock | D | 1 500 000 | 6 265 805 | ||||||
| 2022-09-07 | 2022-09-07 | 4 | Ji Henry | SRNE | Common Stock | D | 2,0177 | 88 888 | 179 | 4 765 805 | ||||
| 2022-09-06 | 2022-09-06 | 4 | Ji Henry | SRNE | Common Stock | D | 1,9599 | 55 555 | 109 | 4 676 917 | ||||
| 2022-09-02 | 2022-09-02 | 4 | Ji Henry | SRNE | Common Stock | D | 2 500 000 | 4 621 362 | ||||||
| 2022-08-26 | 2022-08-26 | 4 | Ji Henry | SRNE | Common Stock | D | 2,1100 | 33 333 | 70 | 2 121 362 | ||||
| 2022-08-25 | 2022-08-25 | 4 | Ji Henry | SRNE | Common Stock | D | 2,0596 | 22 222 | 46 | 2 088 029 | ||||
| 2022-06-14 | 2022-06-14 | 4 | Ji Henry | SRNE | Common Stock | D | 1,3999 | 10 000 | 14 | 2 065 807 | ||||
| 2022-05-20 | 2022-05-18 | 4 | CZEREPAK ELIZABETH | SRNE | Stock Option (right to buy) | D | 1,51 | 350 000 | 350 000 | |||||
| 2022-05-20 | 2022-05-18 | 4 | Reilly Tammy | SRNE | Stock Option (right to buy) | D | 1,51 | 100 000 | 100 000 | |||||
| 2021-12-27 | 2021-12-27 | 4 | Janda Kim | SRNE | Non-qualified stock option | D | 4,00 | -3 000 | 0 | |||||
| 2021-12-27 | 2021-12-27 | 4 | Janda Kim | SRNE | Common Stock | D | 5,8800 | -3 000 | -18 | 3 000 | ||||
| 2021-12-27 | 2021-12-27 | 4 | Janda Kim | SRNE | Common Stock | D | 4,0000 | 3 000 | 12 | 6 000 | ||||
| 2021-11-18 | 2021-11-18 | 4 | CZEREPAK ELIZABETH | SRNE | Stock Option (right to buy) | D | 6,01 | 100 000 | 100 000 | |||||
| 2021-09-29 | 2021-09-29 | 4 | Ji Henry | SRNE | Non-qualified stock options | D | 4,00 | -10 000 | 0 | |||||
| 2021-09-29 | 2021-09-29 | 4 | Ji Henry | SRNE | Common Stock | D | 4,0000 | 10 000 | 40 | 2 055 807 | ||||
| 2021-09-28 | 2021-09-27 | 4 | Janda Kim | SRNE | Stock Options | D | 3,57 | -7 357 | 27 643 | |||||
| 2021-09-28 | 2021-09-27 | 4 | Janda Kim | SRNE | Stock Options | D | 1,80 | -35 000 | 0 | |||||
| 2021-09-28 | 2021-09-27 | 4 | Janda Kim | SRNE | Common Stock | D | 8,0204 | -42 357 | -340 | 3 000 | ||||
| 2021-09-28 | 2021-09-27 | 4 | Janda Kim | SRNE | Common Stock | D | 3,5700 | 7 357 | 26 | 45 357 | ||||
| 2021-09-28 | 2021-09-27 | 4 | Janda Kim | SRNE | Common Stock | D | 1,8000 | 35 000 | 63 | 38 000 | ||||
| 2021-09-14 | 2021-09-13 | 4 | Janda Kim | SRNE | Non-qualified stock option | D | 3,50 | -8 000 | 0 | |||||
| 2021-09-14 | 2021-09-13 | 4 | Janda Kim | SRNE | Common Stock | D | 8,0356 | -8 000 | -64 | 3 000 | ||||
| 2021-09-14 | 2021-09-13 | 4 | Janda Kim | SRNE | Common Stock | D | 3,5000 | 8 000 | 28 | 11 000 | ||||
| 2021-09-03 | 2021-09-03 | 4 | Smith Robin L | SRNE | Stock Options | D | 4,89 | -100 000 | 0 | |||||
| 2021-09-03 | 2021-09-03 | 4 | Smith Robin L | SRNE | Stock Options | D | 3,95 | -75 000 | 0 | |||||
| 2021-09-03 | 2021-09-03 | 4 | Smith Robin L | SRNE | Common Stock | D | 4,8900 | 100 000 | 489 | 235 000 | ||||
| 2021-09-03 | 2021-09-03 | 4 | Smith Robin L | SRNE | Common Stock | D | 3,9500 | 75 000 | 296 | 135 000 | ||||
| 2021-08-30 | 2021-08-30 | 4 | Ji Henry | SRNE | Stock option (right to buy) | D | 8,86 | 2 500 000 | 2 500 000 | |||||
| 2021-08-30 | 2021-08-30 | 4 | Smith Robin L | SRNE | Stock option (right to buy) | D | 8,86 | 250 000 | 250 000 | |||||
| 2021-08-30 | 2021-08-30 | 4 | Wu Yue Alexander | SRNE | Stock option (right to buy) | D | 8,86 | 250 000 | 250 000 | |||||
| 2021-08-30 | 2021-08-30 | 4 | SHAH JAISIM | SRNE | Stock option (right to buy) | D | 8,86 | 250 000 | 250 000 | |||||
| 2021-08-30 | 2021-08-30 | 4 | Janda Kim | SRNE | Stock option (right to buy) | D | 8,86 | 250 000 | 250 000 | |||||
| 2021-08-30 | 2021-08-30 | 4 | Lemus David | SRNE | Stock option (right to buy) | D | 8,86 | 250 000 | 250 000 | |||||
| 2021-08-30 | 2021-08-30 | 4 | Followwill Dorman | SRNE | Stock option (right to buy) | D | 8,86 | 250 000 | 250 000 | |||||
| 2021-04-15 | 2021-04-12 | 4 | Janda Kim | SRNE | Non-qualified stock option | D | 3,50 | -1 900 | 0 | |||||
| 2021-04-15 | 2021-04-12 | 4 | Janda Kim | SRNE | Common Stock | D | 6,9742 | -1 900 | -13 | 3 000 | ||||
| 2021-04-15 | 2021-04-12 | 4 | Janda Kim | SRNE | Common Stock | D | 3,5000 | 1 900 | 7 | 4 900 | ||||
| 2021-03-17 | 2021-03-16 | 4 | Asghar Najjam | SRNE | Stock Option | D | 10,18 | 100 000 | 100 000 | |||||
| 2021-03-17 | 2021-03-16 | 4 | Asghar Najjam | SRNE | Common Stock | D | 56 974 | 56 974 | ||||||
| 2021-01-26 | 2020-12-16 | 4 | Followwill Dorman | SRNE | Common Stock | D | 7,1350 | -1 000 | -7 | 2 130 | ||||
| 2021-01-26 | 2020-11-11 | 4 | Followwill Dorman | SRNE | Common Stock | D | 1 000 | 3 130 | ||||||
| 2020-11-13 | 2020-11-12 | 4 | Asghar Najjam | SRNE | Stock Option | D | 6,10 | 120 000 | 120 000 | |||||
| 2020-10-20 | 2020-10-16 | 4 | Ji Henry | SRNE | Non-Qualified Stock Option (right to buy) | D | 17,30 | 24 935 882 | 24 935 882 | |||||
| 2020-08-14 | 2020-08-07 | 4 | Janda Kim | SRNE | Stock Options | D | 14,42 | 150 000 | 150 000 | |||||
| 2020-06-15 | 2020-06-15 | 4 | Smith Robin L | SRNE | Stock Options | D | 4,89 | 100 000 | 100 000 | |||||
| 2020-06-15 | 2020-06-15 | 4 | Ji Henry | SRNE | Stock Options | D | 4,89 | 1 500 000 | 1 500 000 | |||||
| 2020-06-15 | 2020-06-15 | 4 | Janda Kim | SRNE | Stock Options | D | 4,89 | 100 000 | 100 000 | |||||
| 2020-06-15 | 2020-06-15 | 4 | Wu Yue Alexander | SRNE | Stock Options | D | 4,89 | 100 000 | 100 000 | |||||
| 2020-06-15 | 2020-06-15 | 4 | Followwill Dorman | SRNE | Stock Options | D | 4,89 | 100 000 | 100 000 | |||||
| 2020-06-15 | 2020-06-15 | 4 | Lee Edgar | SRNE | Stock Options | D | 4,89 | 100 000 | 100 000 | |||||
| 2020-06-15 | 2020-06-15 | 4 | Lemus David | SRNE | Stock Options | D | 4,89 | 100 000 | 100 000 | |||||
| 2020-06-15 | 2020-06-15 | 4 | SHAH JAISIM | SRNE | Stock Options | D | 4,89 | 100 000 | 100 000 | |||||
| 2020-06-15 | 2020-06-15 | 4 | Shao Jiong | SRNE | Stock Options | D | 4,89 | 120 000 | 120 000 | |||||
| 2020-03-05 | 2020-03-05 | 4 | Smith Robin L | SRNE | Common Stock | D | 2,2724 | 40 000 | 91 | 60 000 | ||||
| 2019-12-18 | 3 | Smith Robin L | SRNE | Common Stock | D | 40 000 | ||||||||
| 2019-12-18 | 3 | Smith Robin L | SRNE | Common Stock | D | 40 000 | ||||||||
| 2019-12-18 | 3 | Smith Robin L | SRNE | Common Stock | D | 40 000 | ||||||||
| 2019-12-18 | 2019-12-16 | 4 | Smith Robin L | SRNE | Stock Options | D | 3,95 | 75 000 | 75 000 | |||||
| 2019-12-11 | 2019-12-09 | 4 | Lee Edgar | SRNE | Common Stock | D | 3,81 | 75 000 | 75 000 | |||||
| 2019-04-23 | 2019-04-19 | 4 | Shao Jiong | SRNE | Stock Options | D | 3,78 | 200 000 | 200 000 | |||||
| 2019-04-23 | 2019-04-19 | 4 | Wu Yue Alexander | SRNE | Stock Options | D | 3,78 | 70 000 | 70 000 | |||||
| 2019-04-23 | 2019-04-19 | 4 | Followwill Dorman | SRNE | Stock Options | D | 3,78 | 70 000 | 70 000 | |||||
| 2019-04-23 | 2019-04-19 | 4 | Ji Henry | SRNE | Stock Options | D | 3,78 | 1 500 000 | 1 500 000 | |||||
| 2019-04-23 | 2019-04-19 | 4 | Janda Kim | SRNE | Stock Options | D | 3,78 | 70 000 | 70 000 | |||||
| 2019-04-23 | 2019-04-19 | 4 | Lemus David | SRNE | Stock Options | D | 3,78 | 70 000 | 70 000 | |||||
| 2019-04-23 | 2019-04-19 | 4 | SHAH JAISIM | SRNE | Stock Options | D | 3,78 | 70 000 | 70 000 | |||||
| 2018-11-27 | 2018-11-26 | 4 | Followwill Dorman | SRNE | Stock Options | D | 3,57 | 35 000 | 35 000 | |||||
| 2018-11-27 | 2018-11-26 | 4 | Janda Kim | SRNE | Stock Options | D | 3,57 | 35 000 | 35 000 | |||||
| 2018-11-27 | 2018-11-26 | 4 | Lemus David | SRNE | Stock Options | D | 3,57 | 35 000 | 35 000 | |||||
| 2018-11-27 | 2018-11-26 | 4 | SHAH JAISIM | SRNE | Stock Options | D | 3,57 | 35 000 | 35 000 | |||||
| 2018-11-27 | 2018-11-26 | 4 | Wu Yue Alexander | SRNE | Stock Options | D | 3,57 | 35 000 | 35 000 | |||||
| 2018-11-27 | 2018-11-26 | 4 | Shao Jiong | SRNE | Stock Options | D | 3,57 | 100 000 | 100 000 | |||||
| 2018-11-27 | 2018-11-26 | 4 | ZELDIS JEROME B | SRNE | Stock Options | D | 3,57 | 100 000 | 100 000 | |||||
| 2018-09-14 | 2018-09-13 | 4 | ABG Management Ltd Through ABG II-SO Limited | SRNE | Common Stock | I | 4,9159 | -78 677 | -387 | 1 013 020 | ||||
| 2018-09-14 | 2018-09-13 | 4 | ABG Management Ltd Through ABG II-SO Limited | SRNE | Common Stock | I | 5,0059 | -29 137 | -146 | 1 091 697 | ||||
| 2018-09-14 | 2018-09-12 | 4 | ABG Management Ltd Through ABG II-SO Limited | SRNE | Common Stock | I | 5,0597 | -189 754 | -960 | 1 120 834 | ||||
| 2018-07-23 | 2018-07-20 | 4 | Ji Henry | SRNE | Common Stock | D | 1,75 | -6 000 | 0 | |||||
| 2018-07-23 | 2018-07-20 | 4 | Ji Henry | SRNE | Common Stock | D | 1,7500 | 6 000 | 10 | 2 045 807 | ||||
| 2018-05-17 | 2018-05-17 | 4 | Ji Henry | SRNE | Stock Options | D | 7,20 | 750 000 | 750 000 | |||||
| 2018-02-28 | 2018-02-28 | 4 | Ji Henry | SRNE | Common Stock | D | 9,9500 | 64 600 | 643 | 1 906 177 | ||||
| 2018-02-28 | 2018-02-28 | 4 | Ji Henry | SRNE | Common Stock | I | 124 298 | 260 161 | ||||||
| 2018-02-28 | 2018-02-28 | 4 | Ng George K By Ng Cha Family Trust | SRNE | Common Stock | I | 9,9500 | 90 000 | 895 | 101 453 | ||||
| 2018-02-28 | 2018-02-28 | 4 | Ng George K | SRNE | Common Stock | D | 163 469 | 302 146 | ||||||
| 2018-02-28 | 2018-02-28 | 4 | Ferrigno Dean | SRNE | Common Stock | D | 118 | 245 | ||||||
| 2018-02-08 | 2018-02-07 | 4 | ABG Management Ltd Through Ally Bridge LB Healthcare Master Fund Limited | SRNE | Common Stock | I | 7,1865 | -150 000 | -1 078 | 1 328 529 | ||||
| 2018-02-08 | 2018-02-06 | 4 | ABG Management Ltd Through Ally Bridge LB Healthcare Master Fund Limited | SRNE | Common Stock | I | 6,7541 | -512 912 | -3 464 | 1 478 529 | ||||
| 2018-02-07 | 2018-02-05 | 4 | ABG Management Ltd Through ABG Innovation-SO Limited | SRNE | Common Stock | I | 8,0038 | -16 973 | -136 | 1 408 027 | ||||
| 2018-02-07 | 2018-02-05 | 4 | ABG Management Ltd Through ABG SRNE Limited | SRNE | Common Stock | I | 8,0038 | -37 483 | -300 | 3 041 759 | ||||
| 2018-02-07 | 2018-02-05 | 4 | ABG Management Ltd Through ABG II-SO Limited | SRNE | Common Stock | I | 8,0038 | -16 265 | -130 | 1 310 588 | ||||
| 2018-01-31 | 2018-01-30 | 4 | ABG Management Ltd Through ABG Innovation-SO Limited | SRNE | Common Stock | I | 7,6527 | -57 037 | -436 | 1 425 000 | ||||
| 2018-01-31 | 2018-01-30 | 4 | ABG Management Ltd Through ABG SRNE Limited | SRNE | Common Stock | I | 7,6527 | -124 333 | -951 | 3 079 242 | ||||
| 2018-01-31 | 2018-01-30 | 4 | ABG Management Ltd Through ABG II-SO Limited | SRNE | Common Stock | I | 7,6527 | -53 786 | -412 | 1 326 853 | ||||
| 2018-01-31 | 2018-01-29 | 4 | ABG Management Ltd Through ABG Innovation-SO Limited | SRNE | Common Stock | I | 7,6063 | -17 963 | -137 | 1 482 037 | ||||
| 2018-01-31 | 2018-01-29 | 4 | ABG Management Ltd Through ABG SRNE Limited | SRNE | Common Stock | I | 7,6063 | -39 667 | -302 | 3 203 575 | ||||
| 2018-01-31 | 2018-01-29 | 4 | ABG Management Ltd Through ABG II-SO Limited | SRNE | Common Stock | I | 7,6063 | -17 214 | -131 | 1 380 639 | ||||
| 2018-01-25 | 3/A | Ferrigno Dean | SRNE | Common Stock | D | 63 | ||||||||
| 2018-01-25 | 2018-01-24 | 4 | Asia Pacific MedTech (BVI) Ltd | SRNE | Common Stock | D | 7,5156 | -577 962 | -4 344 | 8 617 513 | ||||
| 2018-01-25 | 2018-01-23 | 4 | Asia Pacific MedTech (BVI) Ltd | SRNE | Common Stock | D | 7,8246 | -106 326 | -832 | 9 195 475 | ||||
| 2018-01-22 | 2018-01-21 | 4 | Ji Henry | SRNE | Common Stock Warrant (right to buy) | D | 8,50 | 261 438 | 261 438 | |||||
| 2018-01-22 | 2018-01-21 | 4 | Ji Henry | SRNE | Common Stock | D | 1 801 801 | 1 841 577 | ||||||
| 2017-11-16 | 2017-11-14 | 4 | Lemus David | SRNE | Stock Options | D | 2,30 | 35 000 | 35 000 | |||||
| 2017-11-16 | 2017-11-14 | 4 | Followwill Dorman | SRNE | Stock Options | D | 2,30 | 35 000 | 35 000 | |||||
| 2017-10-02 | 3 | Followwill Dorman | SRNE | Common Stock | D | 4 260 | ||||||||
| 2017-10-02 | 3 | Followwill Dorman | SRNE | Common Stock | D | 4 260 | ||||||||
| 2017-09-18 | 2017-09-15 | 4/A | SHAH JAISIM | SRNE | Stock Options | D | 1,80 | 35 000 | 35 000 | |||||
| 2017-09-18 | 2017-09-15 | 4/A | Janda Kim | SRNE | Stock Options | D | 1,80 | 35 000 | 35 000 | |||||
| 2017-09-18 | 2017-09-15 | 4/A | Deming David H | SRNE | Stock Options | D | 1,80 | 35 000 | 35 000 | |||||
| 2017-09-18 | 2017-09-15 | 4/A | Wu Yue Alexander | SRNE | Stock Options | D | 1,80 | 35 000 | 35 000 | |||||
| 2017-09-18 | 2017-09-14 | 4 | Ferrigno Dean | SRNE | Stock Options | D | 1,80 | 25 000 | 25 000 | |||||
| 2017-09-15 | 2017-09-15 | 4 | Wu Yue Alexander | SRNE | Stock Options | D | 1,75 | 35 000 | 35 000 | |||||
| 2017-09-15 | 2017-09-15 | 4 | SHAH JAISIM | SRNE | Stock Options | D | 1,75 | 35 000 | 35 000 | |||||
| 2017-09-15 | 2017-09-15 | 4 | Janda Kim | SRNE | Stock Options | D | 1,75 | 35 000 | 35 000 | |||||
| 2017-09-15 | 2017-09-15 | 4 | Deming David H | SRNE | Stock Options | D | 1,75 | 35 000 | 35 000 | |||||
| 2017-09-15 | 2017-09-14 | 4 | ZELDIS JEROME B | SRNE | Stock Options | D | 1,80 | 150 000 | 150 000 | |||||
| 2017-09-15 | 2017-09-14 | 4 | Ng George K | SRNE | Stock Options | D | 1,80 | 150 000 | 150 000 | |||||
| 2017-09-15 | 2017-09-14 | 4 | Ji Henry | SRNE | Stock Options | D | 1,80 | 750 000 | 750 000 | |||||
| 2017-09-15 | 2017-09-11 | 4 | Ng George K | SRNE | Common Stock | D | 89 339 | 138 677 | ||||||
| 2017-09-15 | 2017-09-11 | 4 | Ferrigno Dean | SRNE | Common Stock | D | 64 | 127 | ||||||
| 2017-09-15 | 2017-09-11 | 4 | Ji Henry | SRNE | Common Stock | I | 67 932 | 135 863 | ||||||
| 2017-06-15 | 2017-06-15 | 4 | Ji Henry By spouse | SRNE | Common Stock | I | 1,8400 | 9 000 | 17 | 29 001 | ||||
| 2017-06-15 | 2017-06-15 | 4 | Ji Henry By spouse | SRNE | Common Stock | I | 1,8000 | 20 001 | 36 | 20 001 | ||||
| 2017-06-15 | 2017-06-15 | 4 | SHAH JAISIM | SRNE | Common Stock | D | 1,7900 | 10 002 | 18 | 112 633 | ||||
| 2017-05-19 | 3 | Ferrigno Dean | SRNE | Common Stock | D | 126 | ||||||||
| 2017-05-19 | 3 | Ferrigno Dean | SRNE | Common Stock | D | 126 | ||||||||
| 2017-05-03 | 3 | Asia Pacific MedTech (BVI) Ltd | SRNE | Common Stock | D | 18 603 602 | ||||||||
| 2017-05-03 | 3 | Asia Pacific MedTech (BVI) Ltd | SRNE | Common Stock | D | 18 603 602 | ||||||||
| 2017-05-03 | 3 | Asia Pacific MedTech (BVI) Ltd | SRNE | Common Stock | D | 18 603 602 | ||||||||
| 2017-04-21 | 2017-04-19 | 4 | ABG Management Ltd Through Ally Bridge LB Healthcare Master Fund Limited See footnote | SRNE | Common Stock | I | 2,0000 | 550 000 | 1 100 | 1 991 441 | ||||
| 2017-04-19 | 2017-04-19 | 4 | Ji Henry | SRNE | Common Stock | D | 2,0000 | 100 000 | 200 | 139 776 | ||||
| 2017-04-17 | 2017-04-13 | 4 | ABG Management Ltd Through ABG Innovation-SO Limited | SRNE | Common Stock | I | 2,0000 | 1 500 000 | 3 000 | 1 500 000 | ||||
| 2017-04-17 | 2017-04-13 | 4 | ABG Management Ltd Through ABG II-SO Limited | SRNE | Common Stock | I | 2,0000 | 1 000 000 | 2 000 | 1 397 853 | ||||
| 2017-02-22 | 2017-02-22 | 4 | Ji Henry | SRNE | Common Stock | D | 5,6000 | 2 000 | 11 | 39 776 | ||||
| 2017-02-10 | 2017-02-10 | 4/A | Ji Henry | SRNE | Common Stock | D | 5,1500 | 20 000 | 103 | 37 776 | ||||
| 2017-02-03 | 2017-02-03 | 4 | ZELDIS JEROME B | SRNE | Common Stock | D | 5,1500 | 10 000 | 52 | 10 000 | ||||
| 2017-02-03 | 2017-02-03 | 4 | SHAH JAISIM | SRNE | Common Stock | D | 5,1500 | 10 000 | 52 | 102 631 | ||||
| 2017-02-03 | 2017-02-03 | 4 | Ng George K | SRNE | Common Stock | D | 5,1500 | -40 000 | -206 | 49 338 | ||||
| 2017-02-03 | 2017-02-03 | 4 | Ji Henry | SRNE | Common Stock | D | 5,1500 | 20 000 | 103 | 37 776 | ||||
| 2017-02-03 | 2017-02-03 | 4 | Herde Kevin | SRNE | Common Stock | D | 5,1500 | 3 000 | 15 | 7 000 | ||||
| 2017-02-03 | 2017-02-03 | 4 | Su Jeffrey | SRNE | Common Stock | D | 5,1500 | 4 000 | 21 | 13 000 | ||||
| 2017-02-03 | 2017-02-03 | 4 | Janda Kim | SRNE | Common Stock | D | 5,1500 | 3 000 | 15 | 3 000 | ||||
| 2017-02-03 | 2017-02-03 | 4 | Wu Yue Alexander | SRNE | Common Stock | D | 5,1500 | 5 000 | 26 | 5 000 | ||||
| 2017-01-09 | 2017-01-05 | 4 | ABG Management Ltd Through ABG SRNE Limited | SRNE | Common Stock | I | 3 243 242 | 3 243 242 | ||||||
| 2017-01-09 | 2017-01-05 | 4 | ABG Management Ltd Through Ally Bridge LB Healthcare Master Fund Limited | SRNE | Common Stock | I | 1 441 441 | 1 441 441 | ||||||
| 2017-01-09 | 2017-01-05 | 4 | ABG Management Ltd Through ABG II-SO Limited | SRNE | Common Stock | I | 397 853 | 397 853 | ||||||
| 2016-11-15 | 2016-08-12 | 4 | ZELDIS JEROME B | SRNE | Stock Options | D | 6,52 | 200 000 | 200 000 | |||||
| 2016-11-14 | 2016-11-11 | 4 | Ji Henry | SRNE | Stock Options | D | 6,52 | -200 000 | 300 000 | |||||
| 2016-11-09 | 2016-11-08 | 4 | Ng George K | SRNE | Common Stock | D | 89 338 | 90 226 | ||||||
| 2016-11-09 | 2016-11-08 | 4 | Ji Henry | SRNE | Common Stock | I | 67 931 | 67 931 | ||||||
| 2016-08-16 | 2016-08-12 | 4 | Su Jeffrey | SRNE | Stock Options | D | 6,52 | 100 000 | 260 000 | |||||
| 2016-08-16 | 2016-08-12 | 4 | Herde Kevin | SRNE | Stock Options | D | 6,52 | 50 000 | 130 000 | |||||
| 2016-08-16 | 2016-08-12 | 4 | Ng George K | SRNE | Stock Options | D | 6,52 | 100 000 | 260 000 | |||||
| 2016-08-16 | 2016-08-12 | 4 | Ji Henry | SRNE | Stock Options | D | 6,52 | 500 000 | 977 000 | |||||
| 2016-07-15 | 3 | Li Bin By ABG SRNE Limited | SRNE | Common Stock, $0.0001 par value | I | 8 325 778 | ||||||||
| 2016-07-15 | 3 | Li Bin By ABG II-SO Limited | SRNE | Common Stock, $0.0001 par value | I | 5 480 389 | ||||||||
| 2016-07-15 | 3 | Li Bin By Ally Bridge LB Healthcare Master Fund Limited | SRNE | Common Stock, $0.0001 par value | I | 6 523 977 | ||||||||
| 2016-07-15 | 3 | Li Bin By ABG SRNE Limited | SRNE | Common Stock, $0.0001 par value | I | 8 325 778 | ||||||||
| 2016-07-15 | 3 | Li Bin By ABG II-SO Limited | SRNE | Common Stock, $0.0001 par value | I | 5 480 389 | ||||||||
| 2016-07-15 | 3 | Li Bin By Ally Bridge LB Healthcare Master Fund Limited | SRNE | Common Stock, $0.0001 par value | I | 6 523 977 | ||||||||
| 2016-07-15 | 3 | Li Bin By ABG SRNE Limited | SRNE | Common Stock, $0.0001 par value | I | 8 325 778 | ||||||||
| 2016-07-15 | 3 | Li Bin By Ally Bridge LB Healthcare Master Fund Limited | SRNE | Common Stock, $0.0001 par value | I | 6 523 977 | ||||||||
| 2016-07-15 | 3 | Li Bin By ABG SRNE Limited | SRNE | Common Stock, $0.0001 par value | I | 8 325 778 | ||||||||
| 2016-07-15 | 3 | Li Bin By ABG II-SO Limited | SRNE | Common Stock, $0.0001 par value | I | 5 480 389 | ||||||||
| 2016-07-15 | 3 | Li Bin By Ally Bridge LB Healthcare Master Fund Limited | SRNE | Common Stock, $0.0001 par value | I | 6 523 977 | ||||||||
| 2016-07-15 | 3 | Li Bin By ABG II-SO Limited | SRNE | Common Stock, $0.0001 par value | I | 5 480 389 | ||||||||
| 2016-07-15 | 3 | Li Bin By ABG SRNE Limited | SRNE | Common Stock, $0.0001 par value | I | 8 325 778 | ||||||||
| 2016-07-15 | 3 | Li Bin By Ally Bridge LB Healthcare Master Fund Limited | SRNE | Common Stock, $0.0001 par value | I | 6 523 977 | ||||||||
| 2016-07-15 | 3 | Li Bin By ABG SRNE Limited | SRNE | Common Stock, $0.0001 par value | I | 8 325 778 | ||||||||
| 2016-07-15 | 3 | Li Bin By ABG II-SO Limited | SRNE | Common Stock, $0.0001 par value | I | 5 480 389 | ||||||||
| 2016-07-15 | 3 | Li Bin By Ally Bridge LB Healthcare Master Fund Limited | SRNE | Common Stock, $0.0001 par value | I | 6 523 977 | ||||||||
| 2016-07-15 | 3 | Li Bin By ABG SRNE Limited | SRNE | Common Stock, $0.0001 par value | I | 8 325 778 | ||||||||
| 2016-07-15 | 3 | Li Bin By ABG II-SO Limited | SRNE | Common Stock, $0.0001 par value | I | 5 480 389 | ||||||||
| 2016-07-15 | 3 | Li Bin By ABG II-SO Limited | SRNE | Common Stock, $0.0001 par value | I | 5 480 389 | ||||||||
| 2016-07-15 | 3 | Li Bin By Ally Bridge LB Healthcare Master Fund Limited | SRNE | Common Stock, $0.0001 par value | I | 6 523 977 | ||||||||
| 2016-07-15 | 3 | Li Bin By ABG SRNE Limited | SRNE | Common Stock, $0.0001 par value | I | 8 325 778 | ||||||||
| 2016-07-15 | 3 | Li Bin By ABG II-SO Limited | SRNE | Common Stock, $0.0001 par value | I | 5 480 389 | ||||||||
| 2016-07-15 | 3 | Li Bin By Ally Bridge LB Healthcare Master Fund Limited | SRNE | Common Stock, $0.0001 par value | I | 6 523 977 | ||||||||
| 2016-07-15 | 3 | Li Bin By ABG SRNE Limited | SRNE | Common Stock, $0.0001 par value | I | 8 325 778 | ||||||||
| 2016-07-15 | 3 | Li Bin By ABG II-SO Limited | SRNE | Common Stock, $0.0001 par value | I | 5 480 389 | ||||||||
| 2016-07-15 | 3 | Li Bin By Ally Bridge LB Healthcare Master Fund Limited | SRNE | Common Stock, $0.0001 par value | I | 6 523 977 | ||||||||
| 2016-07-15 | 3 | Li Bin By ABG II-SO Limited | SRNE | Common Stock, $0.0001 par value | I | 5 480 389 | ||||||||
| 2016-07-15 | 3 | Li Bin By ABG SRNE Limited | SRNE | Common Stock, $0.0001 par value | I | 8 325 778 | ||||||||
| 2016-07-15 | 3 | Li Bin By Ally Bridge LB Healthcare Master Fund Limited | SRNE | Common Stock, $0.0001 par value | I | 6 523 977 | ||||||||
| 2016-07-12 | 2016-07-11 | 4 | Deming David H | SRNE | Stock Options | D | 6,44 | 35 000 | 105 000 | |||||
| 2016-07-12 | 2016-07-11 | 4 | Janda Kim | SRNE | Stock Options | D | 6,44 | 35 000 | 132 400 | |||||
| 2016-07-12 | 2016-07-11 | 4 | SHAH JAISIM | SRNE | Stock Options | D | 6,44 | 35 000 | 305 000 | |||||
| 2016-07-12 | 2016-07-11 | 4 | EBERSOLE DOUGLAS O | SRNE | Stock Options | D | 6,44 | 35 000 | 94 000 | |||||
| 2016-07-12 | 2016-07-11 | 4 | Marth William S | SRNE | Stock Options | D | 6,44 | 49 000 | 182 000 | |||||
| 2016-07-11 | 2016-07-08 | 4 | SOON-SHIONG PATRICK Through Cambridge Equities, LP | SRNE | Warrant | I | 5,80 | -500 000 | 1 224 138 | |||||
| 2016-07-11 | 2016-07-07 | 4 | SOON-SHIONG PATRICK Through The Chan Soon-Shiong Family Foundation | SRNE | Common Stock | I | -7 878 098 | 0 | ||||||
| 2016-07-11 | 2015-07-28 | 4 | SOON-SHIONG PATRICK Through The Chan Soon-Shiong Family Foundation | SRNE | Common Stock | I | 720 174 | 7 878 098 | ||||||
| 2016-07-11 | 2015-07-28 | 4 | SOON-SHIONG PATRICK | SRNE | Common Stock | D | -720 174 | 0 | ||||||
| 2016-07-01 | 2016-06-29 | 4 | SOON-SHIONG PATRICK Through The Chan Soon-Shiong Family Foundation | SRNE | Common Stock | I | 5,8190 | -3 400 | -20 | 7 157 924 | ||||
| 2016-06-24 | 2016-06-23 | 4 | SOON-SHIONG PATRICK Through The Chan Soon-Shiong Family Foundation | SRNE | Common Stock | I | 5,8540 | -6 901 | -40 | 7 161 324 | ||||
| 2016-06-17 | 2016-06-15 | 4 | SOON-SHIONG PATRICK Through The Chan Soon-Shiong Family Foundation | SRNE | Common Stock | I | 5,8720 | -19 836 | -116 | 7 168 225 | ||||
| 2016-06-15 | 2016-06-14 | 4 | SOON-SHIONG PATRICK | SRNE | Common Stock | D | 6,1140 | -15 972 | -98 | 720 174 | ||||
| 2016-06-15 | 2016-06-13 | 4 | SOON-SHIONG PATRICK | SRNE | Common Stock | D | 6,1450 | -37 792 | -232 | 736 146 | ||||
| 2016-04-08 | 3 | Herde Kevin | SRNE | Common Stock | D | 8 000 | ||||||||
| 2016-04-08 | 3 | Herde Kevin | SRNE | Common Stock | D | 8 000 | ||||||||
| 2016-03-15 | 2016-03-11 | 4 | Ji Henry | SRNE | Stock Options | D | 5,79 | 100 000 | 477 000 | |||||
| 2016-03-15 | 2016-03-11 | 4 | Su Jeffrey | SRNE | Stock Options | D | 5,79 | 40 000 | 160 000 | |||||
| 2016-03-15 | 2016-03-11 | 4 | Ng George K | SRNE | Stock Options | D | 5,79 | 40 000 | 160 000 | |||||
| 2016-03-08 | 2016-03-07 | 4 | SOON-SHIONG PATRICK | SRNE | Common Stock | D | 6,1700 | -85 300 | -526 | 773 938 | ||||
| 2016-03-08 | 2016-03-04 | 4 | SOON-SHIONG PATRICK | SRNE | Common Stock | D | 6,3400 | -14 700 | -93 | 859 238 | ||||
| 2016-03-01 | 2015-07-24 | 5 | SOON-SHIONG PATRICK Through The Chan Soon-Shiong Family Foundation | SRNE | Common Stock | I | 7 188 061 | 7 188 061 | ||||||
| 2016-03-01 | 2015-07-24 | 5 | SOON-SHIONG PATRICK Through Cambridge Equities, LP | SRNE | Common Stock | I | -7 188 061 | 0 | ||||||
| 2016-03-01 | 3 | Chan Soon-Shiong Family Foundation | SRNE | Common Stock | D | 14 376 122 | ||||||||
| 2016-03-01 | 3 | Chan Soon-Shiong Family Foundation | SRNE | Common Stock | D | 14 376 122 | ||||||||
| 2015-12-10 | 2015-12-09 | 4 | SOON-SHIONG PATRICK | SRNE | Common Stock | D | 7,9291 | 39 764 | 315 | 873 938 | ||||
| 2015-12-09 | 2015-12-08 | 4 | SOON-SHIONG PATRICK | SRNE | Common Stock | D | 8,0110 | 14 000 | 112 | 834 174 | ||||
| 2015-12-09 | 2015-12-07 | 4 | SOON-SHIONG PATRICK | SRNE | Common Stock | D | 7,8909 | 100 000 | 789 | 820 174 | ||||
| 2015-11-02 | 3 | Su Jeffrey | SRNE | Common Stock | D | 18 000 | ||||||||
| 2015-11-02 | 3 | Su Jeffrey | SRNE | Common Stock | D | 18 000 | ||||||||
| 2015-09-21 | 2015-09-18 | 4 | Uy George | SRNE | Common Stock | D | -47 500 | 201 735 | ||||||
| 2015-08-26 | 2015-08-26 | 4 | Ji Henry | SRNE | SRNE 35 March 2016 Call Options | D | 0,5000 | 3 | 0 | 500 | ||||
| 2015-08-26 | 2015-08-26 | 4 | Ji Henry | SRNE | SRNE 35 March 2016 Call Options | D | 0,9500 | 497 | 0 | 497 | ||||
| 2015-08-24 | 2015-08-24 | 4 | Ji Henry | SRNE | Common Stock | D | 12,8430 | 8 888 | 114 | 17 776 | ||||
| 2015-08-21 | 2015-08-21 | 4 | Ng George K | SRNE | Common Stock | D | 13,3400 | 55 | 1 | 888 | ||||
| 2015-08-21 | 2015-08-21 | 4 | Ng George K | SRNE | Common Stock | D | 13,5460 | 333 | 5 | 833 | ||||
| 2015-08-21 | 2015-08-21 | 4 | Ng George K | SRNE | Common Stock | D | 13,4900 | 500 | 7 | 500 | ||||
| 2015-08-21 | 2015-08-21 | 4 | Ji Henry | SRNE | Common Stock | D | 13,0760 | 8 888 | 116 | 14 888 | ||||
| 2015-08-05 | 2015-08-03 | 4 | Ng George K Through Peng Ventures, LLC | SRNE | Common Stock | I | 11,5000 | 11 453 | 132 | 14 901 | ||||
| 2015-08-05 | 2015-08-03 | 4 | SHAH JAISIM | SRNE | Common Stock | D | 11,5000 | 27 189 | 313 | 92 631 | ||||
| 2015-06-08 | 2015-06-04 | 4 | Marth William S | SRNE | Stock Options | D | 13,79 | 58 000 | 133 000 | |||||
| 2015-06-08 | 2015-06-04 | 4 | Janda Kim | SRNE | Stock Options | D | 13,79 | 28 000 | 97 400 | |||||
| 2015-06-08 | 2015-06-04 | 4 | EBERSOLE DOUGLAS O | SRNE | Stock Options | D | 13,79 | 34 000 | 59 000 | |||||
| 2015-06-08 | 2015-06-04 | 4 | SHAH JAISIM | SRNE | Stock Options | D | 13,79 | 25 000 | 270 000 | |||||
| 2015-06-08 | 2015-06-04 | 4 | Deming David H | SRNE | Stock Options | D | 13,79 | 36 000 | 61 000 | |||||
| 2015-05-22 | 2015-05-21 | 4 | Miao Zhenwei | SRNE | Common Stock | D | -40 000 | 559 390 | ||||||
| 2015-05-01 | 2015-04-29 | 4 | Durand Mark | SRNE | Stock Options | D | 8,95 | 120 000 | 145 000 | |||||
| 2015-04-06 | 3/A | Ng George K Through Peng Ventures, LLC | SRNE | Common Stock | I | 3 448 | ||||||||
| 2015-02-26 | 2015-02-24 | 4 | Uy George | SRNE | Stock Options | D | 12,78 | 80 000 | 207 000 | |||||
| 2015-02-26 | 2015-02-24 | 4 | SHAH JAISIM | SRNE | Stock Options | D | 12,78 | 80 000 | 245 000 | |||||
| 2015-02-26 | 2015-02-24 | 4 | Ji Henry | SRNE | Stock Options | D | 12,78 | 160 000 | 377 000 | |||||
| 2015-01-05 | 2015-01-02 | 4 | Ji Henry | SRNE | Common Stock | I | 10,1600 | -10 000 | -102 | 2 043 162 | ||||
| 2015-01-05 | 2014-12-31 | 4 | Ji Henry | SRNE | Common Stock | I | 10,0700 | -15 000 | -151 | 2 053 162 | ||||
| 2014-12-29 | 3 | Cambridge Equities, LP Through Cambridge Equities, LP | SRNE | Common Stock | I | 15 096 296 | ||||||||
| 2014-12-29 | 3 | Cambridge Equities, LP | SRNE | Common Stock | D | 8 628 409 | ||||||||
| 2014-12-29 | 3 | Cambridge Equities, LP | SRNE | Common Stock | D | 8 628 409 | ||||||||
| 2014-12-29 | 3 | Cambridge Equities, LP | SRNE | Common Stock | D | 8 628 409 | ||||||||
| 2014-12-29 | 3 | Cambridge Equities, LP Through Cambridge Equities, LP | SRNE | Common Stock | I | 15 096 296 | ||||||||
| 2014-12-29 | 3 | Cambridge Equities, LP Through Cambridge Equities, LP | SRNE | Common Stock | I | 15 096 296 | ||||||||
| 2014-12-29 | 3 | Cambridge Equities, LP Through Cambridge Equities, LP | SRNE | Common Stock | I | 15 096 296 | ||||||||
| 2014-12-29 | 3 | Cambridge Equities, LP | SRNE | Common Stock | D | 8 628 409 | ||||||||
| 2014-11-10 | 2014-11-10 | 4 | Ji Henry | SRNE | Common Stock | D | 4,8600 | 2 500 | 12 | 16 999 | ||||
| 2014-11-10 | 2014-11-10 | 4 | Ji Henry | SRNE | Common Stock | D | 4,8500 | 400 | 2 | 14 499 | ||||
| 2014-11-10 | 2014-11-10 | 4 | Ji Henry | SRNE | Common Stock | D | 4,8400 | 100 | 0 | 14 099 | ||||
| 2014-11-10 | 2014-11-10 | 4 | Ji Henry | SRNE | Common Stock | D | 4,8100 | 799 | 4 | 13 999 | ||||
| 2014-11-10 | 2014-11-10 | 4 | Ji Henry | SRNE | Common Stock | D | 4,8000 | 1 200 | 6 | 13 200 | ||||
| 2014-11-10 | 2014-11-10 | 4 | Ji Henry | SRNE | Common Stock | D | 4,7700 | 1 000 | 5 | 12 000 | ||||
| 2014-11-07 | 2014-11-07 | 4 | Ji Henry | SRNE | Common Stock | D | 4,6000 | 1 000 | 5 | 11 000 | ||||
| 2014-11-07 | 2014-11-07 | 4 | Ji Henry | SRNE | Common Stock | D | 4,5700 | 1 000 | 5 | 10 000 | ||||
| 2014-11-07 | 2014-11-07 | 4 | Ji Henry | SRNE | Common Stock | D | 4,5500 | 1 000 | 5 | 9 000 | ||||
| 2014-11-07 | 2014-11-07 | 4 | Ji Henry | SRNE | Common Stock | D | 4,5300 | 1 000 | 5 | 8 000 | ||||
| 2014-11-06 | 2014-11-06 | 4 | Ji Henry | SRNE | Common Stock | D | 4,5000 | 1 000 | 4 | 7 000 | ||||
| 2014-11-06 | 2014-11-06 | 4 | Ji Henry | SRNE | Common Stock | D | 4,5500 | 2 000 | 9 | 6 000 | ||||
| 2014-10-09 | 2014-10-07 | 4 | VINCENT RICHARD G | SRNE | Stock Options | D | 4,32 | 50 000 | 270 000 | |||||
| 2014-10-09 | 2014-10-07 | 4 | Ji Henry | SRNE | Stock Options | D | 4,32 | 100 000 | 308 000 | |||||
| 2014-10-09 | 2014-10-07 | 4 | Miao Zhenwei | SRNE | Stock Options | D | 4,32 | 50 000 | 86 000 | |||||
| 2014-09-29 | 2014-09-26 | 4 | Ji Henry | SRNE | Common Stock | I | -20 000 | 2 068 162 | ||||||
| 2014-09-22 | 2014-09-18 | 4 | Janda Kim | SRNE | Stock Options | D | 4,78 | 12 500 | 69 400 | |||||
| 2014-09-22 | 2014-09-18 | 4 | Uy George | SRNE | Stock Options | D | 4,78 | 80 000 | 127 000 | |||||
| 2014-09-22 | 2014-09-18 | 4 | EBERSOLE DOUGLAS O | SRNE | Stock Options | D | 4,78 | 12 000 | 25 000 | |||||
| 2014-09-22 | 2014-09-18 | 4 | Durand Mark | SRNE | Stock Options | D | 4,78 | 12 000 | 25 000 | |||||
| 2014-09-22 | 2014-09-18 | 4 | Marth William S | SRNE | Stock Options | D | 4,78 | 25 000 | 75 000 | |||||
| 2014-09-22 | 2014-09-18 | 4 | SHAH JAISIM | SRNE | Stock Options | D | 4,78 | 25 000 | 165 000 | |||||
| 2014-06-09 | 2014-06-05 | 4 | Ji Henry | SRNE | Common Stock | I | -250 000 | 2 088 162 | ||||||
| 2014-04-15 | 3 | Miao Zhenwei | SRNE | Common Stock | D | 1 198 780 | ||||||||
| 2014-04-15 | 3 | Miao Zhenwei | SRNE | Common Stock | D | 1 198 780 | ||||||||
| 2014-01-24 | 2014-01-23 | 4 | Gallagher Cam | SRNE | Stock Options | D | 9,82 | 10 000 | 35 000 | |||||
| 2014-01-24 | 2014-01-23 | 4 | Salka Michael Scott | SRNE | Stock Options | D | 9,82 | 10 000 | 38 000 | |||||
| 2014-01-24 | 2014-01-23 | 4 | Marth William S | SRNE | Stock Options | D | 9,82 | 37 000 | 50 000 | |||||
| 2014-01-24 | 2014-01-23 | 4 | Janda Kim | SRNE | Stock Options | D | 9,82 | 10 000 | 56 900 | |||||
| 2013-12-05 | 2013-12-04 | 4 | Ji Henry | SRNE | Common Stock | D | 8,5500 | 300 | 3 | 1 727 162 | ||||
| 2013-12-05 | 2013-12-04 | 4 | Ji Henry | SRNE | Common Stock | D | 8,5400 | 100 | 1 | 1 726 862 | ||||
| 2013-12-05 | 2013-12-04 | 4 | Ji Henry | SRNE | Common Stock | D | 8,5296 | 100 | 1 | 1 726 762 | ||||
| 2013-12-05 | 2013-12-04 | 4 | Ji Henry | SRNE | Common Stock | D | 8,5275 | 500 | 4 | 1 726 662 | ||||
| 2013-12-05 | 2013-12-05 | 4 | Ji Henry | SRNE | Common Stock | D | 8,9500 | 500 | 4 | 1 728 162 | ||||
| 2013-12-05 | 2013-12-05 | 4 | Ji Henry | SRNE | Common Stock | D | 8,8800 | 500 | 4 | 1 727 662 | ||||
| 2013-11-27 | 2013-11-26 | 4 | Opko Health, Inc. | SRNE | Common Stock | D | 8,5400 | -8 714 | -74 | 2 153 045 | ||||
| 2013-11-27 | 2013-11-25 | 4 | Opko Health, Inc. | SRNE | Common Stock | D | 8,5409 | -12 100 | -103 | 2 161 759 | ||||
| 2013-11-26 | 2013-11-25 | 4 | SHAH JAISIM By Spouse | SRNE | Common Stock | I | 8,6500 | 1 000 | 9 | 65 442 | ||||
| 2013-11-25 | 2013-11-22 | 4 | Opko Health, Inc. | SRNE | Common Stock | D | 8,4990 | -8 471 | -72 | 2 173 859 | ||||
| 2013-11-22 | 2013-10-30 | 4/A | Uy George | SRNE | Convertible Notes | D | 7,50 | 0 | 0 | |||||
| 2013-11-22 | 2013-10-30 | 4/A | Uy George | SRNE | Common Stock | D | 7,5000 | 4 842 | 36 | 179 307 | ||||
| 2013-11-22 | 2013-10-29 | 4/A | Uy George | SRNE | Stock Options | D | 8,40 | 47 000 | 47 000 | |||||
| 2013-11-22 | 2013-10-30 | 4/A | Uy George | SRNE | Convertible Notes | D | 7,25 | 0 | 0 | |||||
| 2013-11-22 | 2013-10-30 | 4/A | Uy George | SRNE | Common Stock | D | 7,2500 | 4 842 | 35 | 179 307 | ||||
| 2013-11-22 | 2013-10-29 | 4/A | Uy George | SRNE | Stock Options | D | 8,40 | 47 000 | 47 000 | |||||
| 2013-11-22 | 2013-11-21 | 4 | Uy George | SRNE | Common Stock | D | 8,5700 | 1 000 | 9 | 184 338 | ||||
| 2013-11-22 | 2013-11-21 | 4 | Uy George | SRNE | Common Stock | D | 8,2500 | 2 000 | 16 | 183 338 | ||||
| 2013-11-22 | 2013-11-22 | 4 | Ji Henry | SRNE | Common Stock | D | 8,4660 | 1 000 | 8 | 1 726 162 | ||||
| 2013-11-22 | 2013-11-21 | 4 | Opko Health, Inc. | SRNE | Common Stock | D | 8,5276 | -4 269 | -36 | 2 182 330 | ||||
| 2013-11-21 | 2013-11-20 | 4 | Opko Health, Inc. | SRNE | Common Stock | D | 8,7500 | -16 962 | -148 | 2 186 599 | ||||
| 2013-11-21 | 2013-11-19 | 4 | Opko Health, Inc. | SRNE | Common Stock | D | 8,7500 | -100 | -1 | 2 203 561 | ||||
| 2013-11-20 | 2013-11-19 | 4 | SHAH JAISIM | SRNE | Common Stock | D | 9,0000 | 1 000 | 9 | 64 442 | ||||
| 2013-11-20 | 2013-11-19 | 4 | Uy George | SRNE | Common Stock | D | 8,7200 | 1 000 | 9 | 181 338 | ||||
| 2013-11-20 | 2013-11-19 | 4 | Uy George | SRNE | Common Stock | D | 8,5000 | 1 031 | 9 | 180 338 | ||||
| 2013-11-20 | 2013-11-19 | 4 | Ji Henry By Trust | SRNE | Common Stock | I | 8,6000 | 1 000 | 9 | 1 725 162 | ||||
| 2013-11-20 | 2013-11-19 | 4 | Ji Henry By Trust | SRNE | Common Stock | I | 8,5890 | 1 000 | 9 | 1 724 162 | ||||
| 2013-11-18 | 2013-11-15 | 4 | Opko Health, Inc. | SRNE | Common Stock | D | 8,7500 | -2 710 | -24 | 2 203 661 | ||||
| 2013-11-15 | 2013-11-14 | 4 | Opko Health, Inc. | SRNE | Common Stock | D | 8,7500 | -1 900 | -17 | 2 206 371 | ||||
| 2013-11-14 | 2013-11-13 | 4 | Opko Health, Inc. | SRNE | Common Stock | D | 8,7500 | -13 457 | -118 | 2 208 271 | ||||
| 2013-11-12 | 2013-11-08 | 4 | Opko Health, Inc. | SRNE | Common Stock | D | 8,7500 | -2 000 | -18 | 2 221 728 | ||||
| 2013-11-08 | 2013-11-07 | 4 | Opko Health, Inc. | SRNE | Common Stock | D | 9,0721 | -5 418 | -49 | 2 223 728 | ||||
| 2013-11-08 | 2013-11-06 | 4 | Opko Health, Inc. | SRNE | Common Stock | D | 9,0300 | -114 962 | -1 038 | 2 229 146 | ||||
| 2013-10-31 | 2013-10-29 | 4 | Salka Michael Scott | SRNE | Stock Options | D | 8,40 | 9 000 | 28 000 | |||||
| 2013-10-31 | 2013-10-29 | 4 | Uy George | SRNE | Stock Options | D | 8,40 | 47 000 | 47 000 | |||||
| 2013-10-31 | 2013-10-29 | 4 | SHAH JAISIM | SRNE | Stock Options | D | 8,40 | 80 000 | 140 000 | |||||
| 2013-10-31 | 2013-10-29 | 4 | VINCENT RICHARD G | SRNE | Stock Options | D | 8,40 | 100 000 | 220 000 | |||||
| 2013-10-31 | 2013-10-29 | 4 | Gallagher Cam | SRNE | Stock Options | D | 8,40 | 9 000 | 25 000 | |||||
| 2013-10-31 | 2013-10-29 | 4 | Ji Henry | SRNE | Stock Options | D | 8,40 | 101 000 | 117 000 | |||||
| 2013-10-31 | 2013-10-29 | 4 | Webb David Ritchie | SRNE | Stock Options | D | 8,40 | 11 000 | 29 000 | |||||
| 2013-10-31 | 2013-10-29 | 4 | Janda Kim | SRNE | Stock Options | D | 8,40 | 9 000 | 46 900 | |||||
| 2013-10-31 | 2013-10-29 | 4 | Trieu Vuong | SRNE | Stock Options | D | 8,40 | 36 000 | 36 000 | |||||
| 2013-10-31 | 2013-10-29 | 4 | AFTING ERNST-GUENTER | SRNE | Stock Options | D | 8,40 | 9 000 | 26 600 | |||||
| 2013-10-23 | 2013-10-21 | 4 | Uy George | SRNE | Convertible Note | D | 35 000,0000 | 0 | 0 | 0 | ||||
| 2013-09-27 | 2013-09-25 | 4 | Ji Henry By Trust | SRNE | Common Stock | I | -2 000 | 1 723 162 | ||||||
| 2013-09-20 | 3 | SHAH JAISIM | SRNE | Common Stock | D | 0 | ||||||||
| 2013-09-19 | 3 | Trieu Vuong | SRNE | Common Stock | D | 3 006 641 | ||||||||
| 2013-09-19 | 3 | Uy George | SRNE | Common Stock | D | 0 | ||||||||
| 2013-09-04 | 2013-09-04 | 4 | Opko Health, Inc. | OTCQB:SRNE | Common Stock | D | 8,0100 | -55 | -0 | 2 344 108 | ||||
| 2013-09-04 | 2013-09-04 | 4 | Opko Health, Inc. | OTCQB:SRNE | Common Stock | D | 7,7500 | -9 300 | -72 | 2 344 163 | ||||
| 2013-08-30 | 2013-08-29 | 4 | Opko Health, Inc. | OTCQB:SRNE | Common Stock | D | 7,7500 | -100 | -1 | 2 353 463 | ||||
| 2013-08-28 | 2013-08-28 | 4 | Opko Health, Inc. | OTCQB:SRNE | Common Stock | D | 7,7500 | -641 | -5 | 2 353 563 | ||||
| 2013-08-28 | 2013-08-26 | 4 | Opko Health, Inc. | OTCQB:SRNE | Common Stock | D | 8,0000 | -1 615 | -13 | 2 354 204 | ||||
| 2013-08-21 | 2013-08-20 | 4 | Opko Health, Inc. | OTCQB:SRNE | Common Stock | D | 7,7788 | -1 560 | -12 | 2 355 819 | ||||
| 2013-08-16 | 2013-08-14 | 4 | Opko Health, Inc. | OTCQB:SRNE | Common Stock | D | 8,9500 | -2 900 | -26 | 2 357 379 | ||||
| 2013-08-15 | 2013-08-07 | 4 | Opko Health, Inc. | OTCQB:SRNE | Common Stock | D | 8,5000 | -331 | -3 | 2 360 279 | ||||
| 2013-07-05 | 2013-07-03 | 4 | Ji Henry By Trust | SRNE | Common Stock | I | -25 000 | 43 129 032 | ||||||
| 2012-10-19 | 2012-09-30 | 4 | VINCENT RICHARD G | SRNE | Non-qualified stock option | D | 0,16 | -725 000 | 2 275 000 | |||||
| 2012-10-19 | 2012-10-17 | 4 | Webb David Ritchie | SRNE | Non-qualified stock option | D | 0,14 | -37 500 | 0 | |||||
| 2012-10-19 | 2012-10-17 | 4 | Webb David Ritchie | SRNE | Non-qualified stock option | D | 0,16 | 450 000 | 450 000 | |||||
| 2012-10-19 | 2012-09-30 | 4 | VINCENT RICHARD G | SRNE | Non-qualified stock option | D | 0,16 | -725 000 | 2 275 000 | |||||
| 2012-10-19 | 2012-10-17 | 4 | Salka Michael Scott | SRNE | Non-qualified stock option | D | 0,16 | 400 000 | 400 000 | |||||
| 2012-10-19 | 2012-10-17 | 4 | Salka Michael Scott | SRNE | Call option | D | 0,16 | -300 000 | 0 | |||||
| 2012-10-19 | 2012-10-17 | 4 | AFTING ERNST-GUENTER | SRNE | Non-qualified stock option | D | 0,16 | 400 000 | 400 000 | |||||
| 2012-10-19 | 2012-10-17 | 4 | Gallagher Cam | SRNE | Non-qualified stock option | D | 0,16 | 400 000 | 400 000 | |||||
| 2012-10-19 | 2012-10-17 | 4 | Janda Kim | SRNE | Non-qualified stock option | D | 0,16 | 400 000 | 400 000 | |||||
| 2012-09-25 | 2012-09-22 | 4 | VINCENT RICHARD G | SRNE | Non-qualified stock options | D | 0,16 | 3 000 000 | 3 000 000 | |||||
| 2012-09-13 | 3 | Gallagher Cam | SRNE | No securities beneficially owned | D | 0 | ||||||||
| 2012-09-13 | 3 | Webb David Ritchie | SRNE | No securities beneficially owned. | D | 0 | ||||||||
| 2012-07-20 | 2012-07-20 | 4 | Lockshin Curtis | SRNE | Non-qualifed stock option | D | 0,16 | 15 000 | 15 000 | |||||
| 2012-07-20 | 2012-07-20 | 4 | Salka Michael Scott | SRNE | Non-qualified stock options | D | 0,16 | 15 000 | 15 000 | |||||
| 2012-07-20 | 2012-07-20 | 4 | Janda Kim | SRNE | Non-qualified stock option | D | 0,16 | 25 000 | 25 000 | |||||
| 2012-07-20 | 2012-07-20 | 4 | Tang-Liu Diane D S | SRNE | Non-qualified stock options | D | 0,16 | 15 000 | 15 000 | |||||
| 2012-05-16 | 2012-05-15 | 4 | SCIFRES DONALD R | SRNE | Call Option (Obligation to Sell) | I | 0,16 | -300 000 | 300 000 | |||||
| 2012-05-16 | 2012-05-15 | 4 | Salka Michael Scott | SRNE | Call Option (right to buy) | D | 0,16 | 300 000 | 300 000 | |||||
| 2012-05-16 | 2012-05-15 | 4 | Ji Henry Footnote 1 | SRNE | Common Stock | I | 0,1600 | 6 250 000 | 1 000 | 6 250 000 | ||||
| 2012-04-03 | 2012-03-30 | 4 | Ji Henry By Trust | SRNE | Common Stock | I | -150 000 | 43 154 032 | ||||||
| 2012-02-28 | 2012-02-23 | 4 | Tang-Liu Diane D S | SRNE | Non-qualified stock options | D | 0,16 | 60 000 | 60 000 | |||||
| 2012-02-27 | 2012-02-23 | 4 | Salka Michael Scott | SRNE | Non-qualified stock options | D | 0,16 | 60 000 | 60 000 | |||||
| 2012-02-27 | 2012-02-23 | 4 | Ji Henry By Trust | SRNE | Common Stock | I | -150 000 | 43 304 032 | ||||||
| 2012-02-27 | 2012-02-23 | 4 | Ji Henry By Trust | SRNE | Common Stock | I | -150 000 | 43 454 032 | ||||||
| 2012-02-27 | 2012-02-23 | 4 | Ji Henry By Trust | SRNE | Common Stock | I | -150 000 | 43 604 032 | ||||||
| 2012-02-09 | 2011-12-29 | 5/A | SCIFRES DONALD R | SRNE | Common Stock | I | 0,1600 | 12 500 000 | 2 000 | 38 844 714 | ||||
| 2012-02-09 | 2011-08-28 | 5/A | SCIFRES DONALD R | SRNE | Common Stock | I | -9 813 880 | 26 344 714 | ||||||
| 2012-02-07 | 2012-02-06 | 4 | Ji Henry | SRNE | Non-qualified stock options | D | 0,16 | 250 000 | 250 000 | |||||
| 2012-02-07 | 2012-02-06 | 4 | VINCENT RICHARD G | SRNE | Non-qualified stock options | D | 0,16 | 125 000 | 125 000 | |||||
| 2012-02-07 | 2012-02-06 | 4 | Lockshin Curtis | SRNE | Non-qualifed stock option | D | 0,16 | 100 000 | 100 000 | |||||
| 2012-02-07 | 2012-02-06 | 4 | Janda Kim | SRNE | Non-qualified stock option | D | 0,16 | 75 000 | 75 000 | |||||
| 2012-02-07 | 2012-02-06 | 4 | HSIAO JANE PH D | SRNE | Non-qualified stock options | D | 0,16 | 75 000 | 75 000 | |||||
| 2012-02-07 | 2012-02-06 | 4 | HALPRYN GLENN L | SRNE | Non-qualified stock option | D | 0,16 | 140 000 | 140 000 | |||||
| 2012-01-06 | 2011-12-29 | 5 | SCIFRES DONALD R | SRNE | Common Stock | I | 0,1600 | 12 500 000 | 2 000 | 48 658 594 | ||||
| 2010-02-26 | 2010-02-05 | 4 | Lockshin Curtis | SRNE | Non-qualifed stock option | D | 0,07 | 15 000 | 55 000 | |||||
| 2010-02-26 | 2010-02-05 | 4 | HALPRYN GLENN L | SRNE | Non-qualified stock option | D | 0,07 | 10 000 | 50 000 | |||||
| 2010-02-05 | 3 | ZANIBONI STEVE | SRNE | Common Stock | D | 25 484 329 | ||||||||
| 2010-01-27 | 3 | HSIAO JANE PH D By partnership | SRNE | Common Stock | I | 2 231 719 | ||||||||
| 2009-09-23 | 3 | Ji Henry | QBSW | Common Stock | D | 1 785 375 | ||||||||
| 2009-09-23 | 3 | Shuster Lewis | QBSW | Common Stock | D | 669 516 | ||||||||
| 2009-09-23 | 3 | AFTING ERNST-GUENTER | QBSW | Common Stock | D | 557 930 |
P
Achat sur le marché public ou privé d'un titre non dérivé ou dérivé
S
Vente sur le marché public ou privé d'un titre non dérivé ou dérivé
A
Attribution, récompense ou autre acquisition de titres de l'entreprise (comme une option).
C
Conversion d'un produit dérivé
D
Vente ou transfert de titres à l'entreprise
F
Paiement du prix d'exercice ou de la dette fiscale en utilisant une partie des titres reçus de l'entreprise
G
Don de titres par ou à l'initié
K
Swaps d'actions et opérations de couverture similaires
M
Exercice ou conversion d'un titre dérivé reçu de l'entreprise (tel qu'une option)
V
Une transaction déclarée volontairement sur le formulaire 4
J
Autre (accompagnée d'une note de bas de page décrivant la transaction)
