Scott M. Rocklage

CIK 1219014 · View on SEC EDGAR ↗

Activist

First SEC filing: May 6, 2026 · Latest: May 6, 2026

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Insider at

Insider transactions

0 buys (P) 0 sells (S) Net: $0 + 18 non-open-market transactions below last 12 months, based on the transactions shown below

Price change vs current quote, split-adjusted for corporate actions since the filing — not benchmarked, not annualized, not size-weighted

18 other filings hidden
Date Ticker Code Shares Price Value Owned after Δ own A/D vs now
June 16, 2020 APRE S 4,807 $33.30 $160,073 75,965 Indirect -5.95% Disposed -99.9% (price as of 2026-08-20)
June 16, 2020 APRE S 115,357 $33.30 $3,841,388 1,823,192 Indirect -5.95% Disposed -99.9% (price as of 2026-08-20)
June 11, 2020 APRE S 9,800 $28.75 $281,750 80,772 Indirect -10.82% Disposed -99.9% (price as of 2026-08-20)
June 11, 2020 APRE S 235,200 $28.75 $6,762,000 1,938,549 Indirect -10.82% Disposed -99.9% (price as of 2026-08-20)
May 19, 2020 APRE S 10,200 $35.15 $358,530 90,572 Indirect -10.12% Disposed -99.9% (price as of 2026-08-20)
May 19, 2020 APRE S 244,800 $35.15 $8,604,720 2,173,748 Indirect -10.12% Disposed -99.9% (price as of 2026-08-20)
June 16, 2015 PULM P 4,815 $6.88 $33,127 168,873 Indirect +2.93% Acquired -99.9% (price as of 2026-08-20)
June 16, 2015 PULM P 33,990 $6.88 $233,851 1,192,154 Indirect +2.93% Acquired -99.9% (price as of 2026-08-20)

P = Open-market purchase · S = Sale · A = Grant/award · M = Option exercise · G = Gift · F = Tax withholding

Insider transactions are not a recommendation; sales are often driven by liquidity or tax reasons.

Derivative holdings (Form 4 Table II)

Options, RSUs and convertible securities reported on Form 4 Table II.

Date Ticker Security Underlying Exercise price Expiration Shares A/D
June 30, 2020 APRE Stock Option (right to Buy) Common Stock (5,600) $38.78 June 30, 2030 5,600 Acquired
Oct. 7, 2019 APRE Series C Convertible Preferred Stock Common Stock (20,519) — — 20,519 Disposed
Oct. 7, 2019 APRE Series C Convertible Preferred Stock Common Stock (492,475) — — 492,475 Disposed
Oct. 7, 2019 APRE Series B Convertible Preferred Stock Common Stock (79,746) — — 79,746 Disposed
Oct. 7, 2019 APRE Series B Convertible Preferred Stock Common Stock (1,913,910) — — 1,913,910 Disposed
Feb. 3, 2016 PULM Stock Option (Right to Buy) Common Stock (8,800) $2.80 Feb. 3, 2026 8,800 Acquired
June 24, 2015 PULM Stock Option (Right to Buy) Common Stock (1,108) $11.00 June 24, 2025 1,108 Acquired
June 16, 2015 PULM Stock Option (Right to Buy) Common Stock $11.80 June 16, 2025 17,710 Acquired
June 15, 2015 PULM Warrants to Purchase Common Stock Common Stock — — 52,784 Acquired
June 15, 2015 PULM Warrants to Purchase Common Stock Common Stock — — 372,606 Acquired
June 15, 2015 PULM Warrants to Purchase Common Stock Common Stock $7.56 — 52,784 Acquired
June 15, 2015 PULM Warrants to Purchase Common Stock Common Stock $7.56 — 372,606 Acquired

Exercise/conversion price is blank when not applicable (e.g. RSUs).

Initial ownership (Form 3) 6 holdings

Securities held when first becoming an insider, per SEC Form 3.

Date Ticker Security Shares Ownership
Oct. 2, 2019 APRE Common Stock 12,163 Indirect
Oct. 2, 2019 APRE Common Stock 507 Indirect
Oct. 2, 2019 APRE Series B Convertible Preferred Stock→ Common Stock (1,913,910) 1,913,910 Indirect
Oct. 2, 2019 APRE Series B Convertible Preferred Stock→ Common Stock (79,746) 79,746 Indirect
Oct. 2, 2019 APRE Series C Convertible Preferred Stock→ Common Stock (492,475) 492,475 Indirect
Oct. 2, 2019 APRE Series C Convertible Preferred Stock→ Common Stock (20,519) 20,519 Indirect