Thomas Steffen — SEC Form 4 filings
SEC reporting owner CIK 1646396. 4 Form 4 filings on record with FilingPulse; latest filed 2025-06-09.
Transaction summary — filings shown
Covers all 4 filings on record, filed 2024-02-23 to 2025-06-09. Counts and totals are arithmetic on values as filed — descriptive data, not a recommendation.
- Open-market purchases (code P, non-derivative): 1 leg across 1 filing — 5,000 shares, $22,600 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, …): 5.
- Largest priced transaction: purchase of 5,000 shares @ $4.52 ($22,600) in ANAVEX LIFE SCIENCES CORP., filed 2024-05-17.
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 |
|---|---|---|---|---|---|
| ANAVEX LIFE SCIENCES CORP. (AVXL) | Director | 4 | 1 leg · 5,000 sh · $22,600 | — | 5 |
Form 4 filings — Thomas Steffen
| Filed | Form | Issuer | Reported transactions | Source |
|---|---|---|---|---|
| 2025-06-09 | 4 | ANAVEX LIFE SCIENCES CORP. (AVXL) | Option exercise (M): 50,000 @ $1.76 · Tax withholding (F): 11,349 @ $7.75 · Option exercise (M): 50,000 (derivative) @ $0 | EDGAR |
| 2025-04-02 | 4 | ANAVEX LIFE SCIENCES CORP. (AVXL) | Grant/award (A): 50,000 (derivative) @ $0 | EDGAR |
| 2024-05-17 | 4 | ANAVEX LIFE SCIENCES CORP. (AVXL) | Purchase (P): 5,000 @ $4.52 | EDGAR |
| 2024-02-23 | 4 | ANAVEX LIFE SCIENCES CORP. (AVXL) | Grant/award (A): 50,000 (derivative) @ $0 | EDGAR |
FilingPulse's Form 4 archive currently extends back to 2024-01-11 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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