PFENNIGER RICHARD C JR — SEC Form 4 filings
SEC reporting owner CIK 1200796. 18 Form 4 filings on record with FilingPulse; latest filed 2026-06-23.
Transaction summary — filings shown
Covers all 18 filings on record, filed 2024-01-05 to 2026-06-23. Counts and totals are arithmetic on values as filed — descriptive data, not a recommendation.
- Open-market purchases (code P, non-derivative): 2 legs across 1 filing — 25,000 shares, $23,429 total (shares × price as filed).
- Open-market sales (code S, non-derivative): none reported.
- Other reported legs (grants, option exercises, tax withholding, gifts, derivative-security transactions, …): 24.
- Largest priced transaction: purchase of 13,000 shares @ $0.93 ($12,043) in OPKO HEALTH, INC., filed 2024-01-05.
By issuer — same filings
Open-market purchase/sale legs on non-derivative securities, grouped by issuer. Role is as filed on the newest filing for that issuer. Dollar totals cover priced legs only (shares × price as filed). Ordered by priced transaction value, largest first.
| Issuer | Role (as filed) | Filings | Purchases (P) | Sales (S) | Other legs |
|---|---|---|---|---|---|
| OPKO HEALTH, INC. (OPK) | Director | 4 | 2 legs · 25,000 sh · $23,429 | — | 2 |
| GeneDx Holdings Corp. (WGS) | Director | 6 | — | — | 13 |
| Cocrystal Pharma, Inc. (COCP) | Director | 3 | — | — | 4 |
| Fluent, Inc. (FLNT) | Director | 4 | — | — | 4 |
| ASENSUS SURGICAL, INC. (ASXC) | Director | 1 | — | — | 1 |
Form 4 filings — PFENNIGER RICHARD C JR
| Filed | Form | Issuer | Reported transactions | Source |
|---|---|---|---|---|
| 2026-06-23 | 4 | GeneDx Holdings Corp. (WGS) | Option exercise (M): 3,576 @ $0 · Grant/award (A): 4,248 (derivative) @ $0 · Option exercise (M): 3,576 (derivative) @ $0 | EDGAR |
| 2026-06-22 | 4 | OPKO HEALTH, INC. (OPK) | Grant/award (A): 60,000 (derivative) @ $0 | EDGAR |
| 2026-06-18 | 4/A | Fluent, Inc. (FLNT) | Grant/award (A): 21,429 @ $0 | EDGAR |
| 2026-06-18 | 4 | Fluent, Inc. (FLNT) | Grant/award (A): 30,096 @ $0 | EDGAR |
| 2026-01-13 | 4 | Cocrystal Pharma, Inc. (COCP) | Grant/award (A): 16,410 (derivative) @ $0 | EDGAR |
| 2025-10-30 | 4 | Cocrystal Pharma, Inc. (COCP) | Grant/award (A): 20,000 · Grant/award (A): 40,000 (derivative) @ $1.39 | EDGAR |
| 2025-06-23 | 4 | GeneDx Holdings Corp. (WGS) | Option exercise (M): 12,924 @ $0 · Grant/award (A): 3,576 (derivative) @ $0 · Option exercise (M): 12,924 (derivative) @ $0 | EDGAR |
| 2025-06-23 | 4 | Fluent, Inc. (FLNT) | Grant/award (A): 39,682 @ $0 | EDGAR |
| 2025-05-05 | 4 | GeneDx Holdings Corp. (WGS) | Option exercise (M): 918 @ $0 · Option exercise (M): 918 (derivative) @ $0 | EDGAR |
| 2025-04-23 | 4 | OPKO HEALTH, INC. (OPK) | Grant/award (A): 60,000 (derivative) @ $0 | EDGAR |
| 2024-10-11 | 4 | Cocrystal Pharma, Inc. (COCP) | Grant/award (A): 8,067 | EDGAR |
| 2024-08-22 | 4 | ASENSUS SURGICAL, INC. (ASXC) | Disposition to issuer (D): 189,417 | EDGAR |
| 2024-07-02 | 4 | Fluent, Inc. (FLNT) | Grant/award (A): 21,429 @ $0 | EDGAR |
| 2024-06-27 | 4 | GeneDx Holdings Corp. (WGS) | Grant/award (A): 12,924 (derivative) @ $0 | EDGAR |
| 2024-06-24 | 4 | GeneDx Holdings Corp. (WGS) | Option exercise (M): 5,828 @ $0 · Option exercise (M): 5,828 (derivative) @ $0 | EDGAR |
| 2024-05-03 | 4 | GeneDx Holdings Corp. (WGS) | Option exercise (M): 918 @ $0 · Option exercise (M): 918 (derivative) @ $0 | EDGAR |
| 2024-03-29 | 4 | OPKO HEALTH, INC. (OPK) | Holdings only — no transactions reported | EDGAR |
| 2024-01-05 | 4 | OPKO HEALTH, INC. (OPK) | Purchase (P): 13,000 @ $0.93 · Purchase (P): 12,000 @ $0.95 | EDGAR |
FilingPulse's Form 4 archive currently extends back to 2024-01-04 and is expanding backward through EDGAR history — earlier filings by this insider may not be indexed yet. Names and roles are shown as filed.
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