Home

THOMAS R BARUCH

CIK 1005563 · last filed 2020-06-16

THOMAS R BARUCH is a corporate insider who has filed 39 SEC Form 4 insider transactions across 5 companies since 2007. The most recent filing shows the insider sold $52.5K of CDXS on Jun 16, 2020. Across all open-market trades the lifetime net is −$2.6M, making them a net seller over the disclosed history. Current disclosed insider exposure totals $48.3K across reported positions. 11 SEC filings were submitted jointly with James F Watson.

"Disclosed insider exposure" sums this person's most-recently-reported share counts across each company they're an insider in, multiplied by the current underlying price. It is not net worth — it misses retail holdings, private investments, real estate, index funds, and any company where the person isn't an SEC-reporting insider. For informational purposes only.

Loading insider history…
Disclosed Exposure

$48.3K

Companies

5

Total Filings

39

Lifetime Open-Market Net

-$2.63M

Filer Profile

Reported Address
1 LETTERMAN DRIVE
BUILDING C, SUITE CM500
SAN FRANCISCO, CA 94129
Related Filers
James F Watson — 11 joint filings, latest 2013-09-20
David J Collier — 7 joint filings, latest 2013-09-20
Profile details as reported on the filer's SEC submissions — for individual insiders the address is often in care of the issuer. Related filers are identified from jointly filed SEC submissions and shared reported addresses. View filings on SEC EDGAR.

Holdings By Company

Latest on-record share count from this person's most recent non-derivative Form 4 transaction in each company. Disclosed exposure = shares × current underlying price.
Symbol Role Shares Price Disclosed Exposure Lifetime OM Net Filings Latest Filed
CDXS Director 33,093 $1.46 $48.3K -$2.63M 20 2020-06-16
INTERMOLECULAR INC (IMI) Delisted Director 4,430,980 — — $0 9 2016-05-26
ENTROPIC COMMUNICATIONS INC (ENTR) Delisted Director 3,707,806 $15.31 $56.77M $0 8 2011-05-20
SYMYX TECHNOLOGIES INC (SMMX) Delisted Director 6,410 — — $0 1 2007-06-14
Monogram Biosciences, Inc. (MGRM) Delisted Director — $6.00 — $0 1 2007-04-13

Recent Filings

39 filings
Insider activity across all companies, newest first. Form 4 rows are post-trade confirmations (buys, sells, grants, exercises). Notice (144) rows are pre-trade notices of intent to sell restricted or control stock under Rule 144 — they may not all execute. Compare adjacent dates to see which notices became actual sales.
Filed Symbol Action Net Shares Net $ Link
2020-06-16 CDXS Sell (S) −4,947 -$52.5K EDGAR
2020-04-03 CDXS Sell (S) −15,000 -$160.4K EDGAR
2020-01-17 CDXS Sell (S) −20,000 -$372.9K EDGAR
2019-12-12 CDXS Sell (S) −35,000 -$546.1K EDGAR
2019-06-13 CDXS Grant (A) +4,947 $0 EDGAR
2018-12-31 CDXS Sell (S) −25,000 -$400.8K EDGAR
2018-09-28 CDXS Sell (S) −25,000 -$463.4K EDGAR
2018-06-27 CDXS Sell (S) −25,000 -$373.3K EDGAR
2018-06-12 CDXS Grant (A) +5,923 $0 EDGAR
2018-03-30 CDXS Sell (S) −25,000 -$276.3K EDGAR
Showing 1–10 of 39
Page 1 of 4
Form 4 codes: P = open-market purchase · S = open-market sale · A = grant/award · M = option exercise · F = tax withholding at vest · G = bona-fide gift · D = disposition to issuer · J = other (see filing footnote). Only P / S codes carry directional signal.
Notice (144 / 144/A): Form 144 is a notice of intent to sell restricted/control stock under Rule 144, filed before the sale; 144/A is an amendment. Many notices are pre-scheduled under Rule 10b5-1 plans. A Form 4 with code S typically follows within a few days when the planned sale executes; missing follow-up Form 4s suggest the notice was cancelled or modified.