Katharine E. Spink
CIK 1457130 · EVP & COO · last filed 2017-06-28
"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.
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Disclosed Exposure
$480.3K
Companies
3
Total Filings
23
Lifetime Open-Market Net
-$337.6K
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 |
|---|---|---|---|---|---|---|---|
| Asterias Biotherapeutics, Inc. (AST.WS) Delisted | EVP & COO | 10,949 | — | — | -$148.2K | 9 | 2017-06-28 |
| Asterias Biotherapeutics, Inc. (AST) Delisted | Chief Operating Officer | 30,635 | — | — | -$22.6K | 6 | 2016-03-29 |
| GERN | SVP Alliance Mgmt & Operations | 331,213 | $1.45 | $480.3K | -$166.9K | 8 | 2011-06-16 |
Recent Filings · Page 2 of 3
23 filingsInsider 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 |
|---|---|---|---|---|---|
| 2016-03-01 | Asterias Biotherapeutics, Inc. (AST) Delisted | Grant (A) | — | $0 | EDGAR |
| 2015-11-06 | Asterias Biotherapeutics, Inc. (AST) Delisted | Grant (A) | — | $0 | EDGAR |
| 2015-09-16 | Asterias Biotherapeutics, Inc. (AST) Delisted | Sell (S) | −3,760 | -$22.6K | EDGAR |
| 2015-07-02 | Asterias Biotherapeutics, Inc. (AST) Delisted | Tax (F) | −3,291 | -$15.1K | EDGAR |
| 2015-02-18 | Asterias Biotherapeutics, Inc. (AST) Delisted | Grant (A) | — | $0 | EDGAR |
| 2011-06-16 | GERN | Sell (S) | −22,591 | -$96.7K | EDGAR |
| 2011-05-24 | GERN | Mixed | +34,581 | -$1.9K | EDGAR |
| 2010-07-13 | GERN | Grant (A) | +225,000 | $0 | EDGAR |
| 2010-06-03 | GERN | Sell (S) | −8,186 | -$44.4K | EDGAR |
| 2010-05-25 | GERN | Sell (S) | −385 | -$2.0K | EDGAR |
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.
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.