Filer Snapshot

James R. Neal

CIK 0001600865. SEC filing timeline plus parsed ownership intelligence from 13F, 13D/G, and Forms 3/4/5 where available.

Entity Type

Individual

Total Filings

65

Latest Filing

02 Apr 2026

Industry

n/a

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  • Open 13F if you want portfolio holdings.
  • Open 13D/G or insider pages only when this CIK has those rows.
Open reporting owner context
Source: SEC Forms 3/4/5

4 filed on 02 Apr 2026 for CIK 0001600865.

View Source Filing
Business address
2910 Seventh Street, Berkeley, CA, 94710
Top ownership issuers
XOMA AKTX PALI PCSA

Filer intelligence

What SEC filings say about James R. Neal

A compact read of parsed XML filings. 13F, 13D/G, and Forms 3/4/5 are shown separately because they answer different ownership questions.

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Quick read

  • Forms 3/4/5 show insider context for XOMA worth $636.6K.

SEC source mix

Counts show available parsed rows, not one combined ownership total.

XML parsed
13F portfolio No rows yet

Quarterly institutional portfolio holdings.

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13D/G stakes No rows yet

Beneficial ownership and large-stake disclosures.

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Forms 3/4/5 5 rows

Officer, director, and 10% owner holdings or transactions.

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Forms 3/4/5 insider context

XOMA

15 Jul 2022 ยท CEO

$636.6K
Issuer page Owner page

AKTX

16 Dec 2025

$40.6K
Issuer page Owner page

PALI

09 Feb 2024

$4.8K
Issuer page Owner page

PCSA

31 Mar 2026

$2.1K
Issuer page Owner page

Latest update

What changed recently for James R. Neal

Ownership report updated

Latest ownership report period: 31 Mar 2026. Open the source-backed page to inspect the fresh filing or facts context.

Update date

02 Apr 2026

Page type

Ownership filings

Latest period

31 Mar 2026

Ownership context was refreshed from SEC Forms 3/4/5 filed on 02 Apr 2026.

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SEC filing record

CIK 0001600865 filing coverage

Start with this filing record, then use the linked ownership pages when parsed 13F, 13D/G, Forms 3/4/5, or facts data exists for this CIK.

SEC filings
65
First seen
03 Mar 2014
Latest filing
02 Apr 2026
Entity
Individual

Observed form types

4 4/A 3 5

Primary evidence

Open SEC filing index James R. Neal SEC filings James R. Neal owner filings

Latest Filings

Recent SEC filings for James R. Neal with direct links to document and filing folders.

4 File 001-39531

FORM 4

Filing date
02 Apr 2026
Reporting date
31 Mar 2026
SEC evidence
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4 File 001-36288

4

Filing date
16 Mar 2026
Reporting date
16 Dec 2025
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4 File 001-39531

4 filing

Filing date
03 Oct 2025
Reporting date
01 Oct 2025
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4/A File 001-39531

4/A filing

Filing date
18 Sep 2025
Reporting date
24 Jul 2025
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4 File 001-39531

4 filing

Filing date
28 Jul 2025
Reporting date
24 Jul 2025
SEC evidence
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4 File 001-36288

4

Filing date
24 Mar 2025
Reporting date
20 Mar 2025
SEC evidence
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4 File 001-36288

4

Filing date
10 Mar 2025
Reporting date
06 Mar 2025
SEC evidence
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4 File 001-36288

4

Filing date
10 Jan 2025
Reporting date
09 Jan 2025
SEC evidence
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4 File 001-36288

4

Filing date
26 Dec 2024
Reporting date
23 Dec 2024
SEC evidence
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3 File 001-36288

3

Filing date
22 Nov 2024
Reporting date
14 Nov 2024
SEC evidence
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4 File 001-39951

4

Filing date
18 Nov 2024
Reporting date
14 Nov 2024
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4 File 001-39531

4 filing

Filing date
18 Sep 2024
Reporting date
03 Sep 2024
SEC evidence
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4 File 001-33672

4 filing

Filing date
13 Feb 2024
Reporting date
09 Feb 2024
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4 File 001-33672

4 filing

Filing date
24 Nov 2023
Reporting date
21 Nov 2023
SEC evidence
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4 File 001-39531

4 filing

Filing date
24 Jul 2023
Reporting date
27 Jun 2023
SEC evidence
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4 File 001-33672

4 filing

Filing date
13 Jun 2023
Reporting date
11 Jun 2023
SEC evidence
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4 File 001-39951

FORM 4 SUBMISSION

Filing date
02 May 2023
Reporting date
28 Apr 2023
SEC evidence
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3 File 001-39951

FORM 3 SUBMISSION

Filing date
03 Nov 2022
Reporting date
01 Nov 2022
SEC evidence
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4 File 001-39531

FORM 4

Filing date
21 Jul 2022
Reporting date
19 Jul 2022
SEC evidence
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3 File 001-39531

FORM 3

Filing date
21 Jul 2022
Reporting date
19 Jul 2022
SEC evidence
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4 File 001-39801

PRIMARY DOCUMENT

Filing date
18 Jul 2022
Reporting date
15 Jul 2022
SEC evidence
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4 File 001-39801

PRIMARY DOCUMENT

Filing date
23 Mar 2022
Reporting date
21 Mar 2022
SEC evidence
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4 File 001-33672

FORM 4 SUBMISSION

Filing date
10 Feb 2022
Reporting date
18 Nov 2021
SEC evidence
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4 File 001-39801

PRIMARY DOCUMENT

Filing date
23 Dec 2021
Reporting date
21 Dec 2021
SEC evidence
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3 File 001-40861

FORM 3

Filing date
30 Sep 2021
Reporting date
30 Sep 2021
SEC evidence
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4 File 001-39801

PRIMARY DOCUMENT

Filing date
29 Jun 2021
Reporting date
25 Jun 2021
SEC evidence
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4 File 001-33672

FORM 4 SUBMISSION

Filing date
29 Apr 2021
Reporting date
27 Apr 2021
SEC evidence
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3 File 001-33672

FORM 3 SUBMISSION

Filing date
29 Apr 2021
Reporting date
27 Apr 2021
SEC evidence
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4 File 001-39801

PRIMARY DOCUMENT

Filing date
13 Apr 2021
Reporting date
09 Apr 2021
SEC evidence
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4 File 001-39801

PRIMARY DOCUMENT

Filing date
19 Feb 2021
Reporting date
17 Feb 2021
SEC evidence
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4 File 001-39801

PRIMARY DOCUMENT

Filing date
17 Dec 2020
Reporting date
15 Dec 2020
SEC evidence
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4 File 000-14710

PRIMARY DOCUMENT

Filing date
24 Nov 2020
Reporting date
20 Nov 2020
SEC evidence
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4 File 000-14710

PRIMARY DOCUMENT

Filing date
06 Nov 2020
Reporting date
05 Nov 2020
SEC evidence
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4 File 000-14710

PRIMARY DOCUMENT

Filing date
24 Mar 2020
Reporting date
23 Mar 2020
SEC evidence
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4 File 000-14710

PRIMARY DOCUMENT

Filing date
23 Mar 2020
Reporting date
20 Mar 2020
SEC evidence
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4 File 000-14710

PRIMARY DOCUMENT

Filing date
16 Mar 2020
Reporting date
13 Mar 2020
SEC evidence
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4 File 000-14710

PRIMARY DOCUMENT

Filing date
16 Jan 2020
Reporting date
23 Dec 2019
SEC evidence
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4 File 000-14710

PRIMARY DOCUMENT

Filing date
08 Nov 2019
Reporting date
06 Nov 2019
SEC evidence
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4 File 000-14710

FORM 4 SUBMISSION

Filing date
20 Sep 2019
Reporting date
18 Sep 2019
SEC evidence
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4 File 000-14710

PRIMARY DOCUMENT

Filing date
15 Feb 2019
Reporting date
13 Feb 2019
SEC evidence
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4 File 000-14710

PRIMARY DOCUMENT

Filing date
21 Dec 2018
Reporting date
20 Dec 2018
SEC evidence
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4 File 000-14710

PRIMARY DOCUMENT

Filing date
15 Nov 2018
Reporting date
13 Nov 2018
SEC evidence
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4 File 000-14710

PRIMARY DOCUMENT

Filing date
27 Apr 2018
Reporting date
26 Apr 2018
SEC evidence
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4 File 000-14710

PRIMARY DOCUMENT

Filing date
16 Feb 2018
Reporting date
14 Feb 2018
SEC evidence
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4 File 000-14710

PRIMARY DOCUMENT

Filing date
15 Nov 2017
Reporting date
13 Nov 2017
SEC evidence
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4 File 000-14710

PRIMARY DOCUMENT

Filing date
22 May 2017
Reporting date
10 Feb 2017
SEC evidence
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4 File 000-14710

PRIMARY DOCUMENT

Filing date
23 Mar 2017
Reporting date
21 Mar 2017
SEC evidence
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4 File 000-14710

PRIMARY DOCUMENT

Filing date
01 Feb 2017
Reporting date
01 Feb 2017
SEC evidence
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4 File 000-14710

PRIMARY DOCUMENT

Filing date
10 Jan 2017
Reporting date
09 Jan 2017
SEC evidence
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4 File 000-14710

PRIMARY DOCUMENT

Filing date
23 Dec 2016
Reporting date
22 Dec 2016
SEC evidence
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4 File 000-14710

PRIMARY DOCUMENT

Filing date
03 Nov 2016
Reporting date
01 Nov 2016
SEC evidence
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4 File 000-14710

PRIMARY DOCUMENT

Filing date
11 Oct 2016
Reporting date
07 Oct 2016
SEC evidence
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4 File 000-14710

PRIMARY DOCUMENT

Filing date
22 Mar 2016
Reporting date
22 Mar 2016
SEC evidence
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4 File 000-14710

PRIMARY DOCUMENT

Filing date
29 Feb 2016
Reporting date
25 Feb 2016
SEC evidence
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5 File 000-14710

PRIMARY DOCUMENT

Filing date
16 Feb 2016
Reporting date
31 Dec 2015
SEC evidence
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4 File 000-14710

PRIMARY DOCUMENT

Filing date
18 Aug 2015
Reporting date
14 Aug 2015
SEC evidence
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4 File 000-14710

PRIMARY DOCUMENT

Filing date
20 Mar 2015
Reporting date
18 Mar 2015
SEC evidence
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4 File 000-14710

PRIMARY DOCUMENT

Filing date
02 Mar 2015
Reporting date
26 Feb 2015
SEC evidence
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5 File 000-14710

PRIMARY DOCUMENT

Filing date
17 Feb 2015
Reporting date
31 Dec 2014
SEC evidence
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4 File 000-14710

PRIMARY DOCUMENT

Filing date
01 Dec 2014
Reporting date
26 Nov 2014
SEC evidence
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4 File 000-14710

PRIMARY DOCUMENT

Filing date
24 Nov 2014
Reporting date
24 Nov 2014
SEC evidence
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4 File 000-14710

PRIMARY DOCUMENT

Filing date
17 Nov 2014
Reporting date
13 Nov 2014
SEC evidence
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4 File 000-14710

PRIMARY DOCUMENT

Filing date
18 Aug 2014
Reporting date
15 Aug 2014
SEC evidence
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4 File 000-14710

PRIMARY DOCUMENT

Filing date
20 Mar 2014
Reporting date
18 Mar 2014
SEC evidence
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3 File 000-14710

PRIMARY DOCUMENT

Filing date
03 Mar 2014
Reporting date
27 Feb 2014
SEC evidence
Open document Open filing
Next action
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