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Rick L. Sterling

CIK 1583123 · Chief Financial Officer · last filed 2023-06-16

Rick L. Sterling is a Chief Financial Officer who has filed 27 SEC Form 4 insider transactions across 3 companies since 2014. The most recent filing, for AQB, was dated Jun 16, 2023. Across all open-market trades the lifetime net is −$554.7K, making them a net seller over the disclosed history. Current disclosed insider exposure totals $1.9M across reported positions.

"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

$1.92M

Companies

3

Total Filings

27

Lifetime Open-Market Net

-$554.7K

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
AQB Director 2,842 $0.92 $2.6K $3.0K 5 2023-06-16
PGEN Chief Financial Officer 346,116 $5.53 $1.91M -$391.1K 8 2021-01-06
PRECIGEN, INC. (XON) Delisted Chief Financial Officer 149,565 — — -$166.6K 14 2020-01-07

Recent Filings

27 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
2023-06-16 AQB Grant (A) +55,555 $0 EDGAR
2022-03-16 AQB Grant (A) — $0 EDGAR
2021-03-11 AQB Grant (A) — $0 EDGAR
2021-01-06 PGEN Mixed +12,844 -$64.4K EDGAR
2021-01-05 PGEN Mixed +6,279 -$35.4K EDGAR
2020-12-17 PGEN Mixed +15,584 -$67.8K EDGAR
2020-09-17 PGEN Mixed +17,340 -$40.0K EDGAR
2020-08-11 AQB Buy (P) +1,200 $3.0K EDGAR
2020-06-17 PGEN Mixed +17,381 -$34.3K EDGAR
2020-05-19 PGEN Mixed +118,147 -$134.4K EDGAR
Showing 1–10 of 27
Page 1 of 3
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.