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Nasdaq · USD

ABEO

ABEONA THERAPEUTICS INC.

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5808
SEC CIK
0000318306
Parsed reports
305

Last 12 months

Inside the activity.

0 purchase rows · 34 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202501
Dec 202501
Jan 202605
Feb 202605
Mar 202602
Apr 202600
May 202603
Jun 2026011
Jul 202605
Aug 202600
Sep 202601
Oct 202600

Latest available

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
May 25, 2021 Filed May 28, 2021 01:52 UTC GrantCommon Stock 77,181 $0.00 $0.00
Disclosure

SEC source: 0001493152-21-013130 · ownership.xml · nonDerivative · entry 1

Wuchterl Donald A. · CIK 0001857854 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,181

F1 · shares: All of the restricted stock will vest on November 25, 2021.

Read SEC document
May 25, 2021 Filed May 28, 2021 01:49 UTC GrantStock Option (right to buy) · Derivative 49,084 $0.00 Strike: $1.49 $0.00
Disclosure

SEC source: 0001493152-21-013126 · ownership.xml · derivative · entry 2

Mann Paul Elliot · CIK 0001744816 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,084

Underlying: Common Stock · 49,084 shares

Expires 2031-05-25

F2 · derivative.exercise_date: All of the stock options will vest on November 25, 2021.

Read SEC document
May 25, 2021 Filed May 28, 2021 01:49 UTC GrantCommon Stock 38,590 $0.00 $0.00
Disclosure

SEC source: 0001493152-21-013126 · ownership.xml · nonDerivative · entry 1

Mann Paul Elliot · CIK 0001744816 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,590

F1 · shares: All of the restricted stock will vest on November 25, 2021.

Read SEC document
May 25, 2021 Filed May 28, 2021 01:49 UTC
Wider ToddDirector
GrantStock Option (right to buy) · Derivative 49,084 $0.00 Strike: $1.49 $0.00
Disclosure

SEC source: 0001493152-21-013125 · ownership.xml · derivative · entry 2

Wider Todd · CIK 0001642715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,084

Underlying: Common Stock · 49,084 shares

Expires 2031-05-25

F2 · derivative.exercise_date: All of the stock options will vest on November 25, 2021.

Read SEC document
May 25, 2021 Filed May 28, 2021 01:49 UTC
Wider ToddDirector
GrantCommon Stock 38,590 $0.00 $0.00
Disclosure

SEC source: 0001493152-21-013125 · ownership.xml · nonDerivative · entry 1

Wider Todd · CIK 0001642715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,590

F1 · shares: All of the restricted stock will vest on November 25, 2021.

Read SEC document
May 25, 2021 Filed May 28, 2021 01:46 UTC GrantStock Option (right to buy) · Derivative 98,168 $0.00 Strike: $1.49 $0.00
Disclosure

SEC source: 0001493152-21-013122 · ownership.xml · derivative · entry 2

Charles Faith L. · CIK 0001853985 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 98,168

Underlying: Common Stock · 98,168 shares

Expires 2031-05-25

F2 · derivative.exercise_date: All of the stock options will vest on November 25, 2021.

Read SEC document
May 25, 2021 Filed May 28, 2021 01:46 UTC GrantCommon Stock 77,181 $0.00 $0.00
Disclosure

SEC source: 0001493152-21-013122 · ownership.xml · nonDerivative · entry 1

Charles Faith L. · CIK 0001853985 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,181

F1 · shares: All of the restricted stock will vest on November 25, 2021.

Read SEC document
May 25, 2021 Filed May 28, 2021 01:45 UTC GrantStock Option (right to buy) · Derivative 49,084 $0.00 Strike: $1.49 $0.00
Disclosure

SEC source: 0001493152-21-013121 · ownership.xml · derivative · entry 2

Silverstein Christine Berni · CIK 0001772546 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,084

Underlying: Common Stock · 49,084 shares

Expires 2031-05-25

F2 · derivative.exercise_date: All of the stock options will vest on November 25, 2021.

Read SEC document
May 25, 2021 Filed May 28, 2021 01:45 UTC GrantCommon Stock 38,590 $0.00 $0.00
Disclosure

SEC source: 0001493152-21-013121 · ownership.xml · nonDerivative · entry 1

Silverstein Christine Berni · CIK 0001772546 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 118,590

F1 · shares: All of the restricted stock will vest on November 25, 2021.

Read SEC document
May 25, 2021 Filed May 28, 2021 01:44 UTC
Alvino MarkDirector
GrantStock Option (right to buy) · Derivative 98,168 $0.00 Strike: $1.49 $0.00
Disclosure

SEC source: 0001493152-21-013118 · ownership.xml · derivative · entry 2

Alvino Mark · CIK 0001356828 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 98,168

Underlying: Common Stock · 98,168 shares

Expires 2031-05-25

F2 · derivative.exercise_date: All of the stock options will vest on November 25, 2021.

Read SEC document
May 25, 2021 Filed May 28, 2021 01:44 UTC
Alvino MarkDirector
GrantCommon Stock 77,181 $0.00 $0.00
Disclosure

SEC source: 0001493152-21-013118 · ownership.xml · nonDerivative · entry 1

Alvino Mark · CIK 0001356828 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 82,181

F1 · shares: All of the restricted stock will vest on November 25, 2021.

Read SEC document
May 25, 2021 Filed May 28, 2021 01:42 UTC
Rouhandeh Steven HDirector · 10% owner
GrantStock Option (right to buy) · Derivative 49,084 $0.00 Strike: $1.49 $0.00
Disclosure

SEC source: 0001493152-21-013115 · ownership.xml · derivative · entry 2

Rouhandeh Steven H · CIK 0001294343 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,084

Underlying: Common Stock · 49,084 shares

Expires 2031-05-25

F2 · derivative.exercise_date: All of the stock options will vest on November 25, 2021.

Read SEC document
May 25, 2021 Filed May 28, 2021 01:42 UTC
Rouhandeh Steven HDirector · 10% owner
GrantCommon Stock 38,590 $0.00 $0.00
Disclosure

SEC source: 0001493152-21-013115 · ownership.xml · nonDerivative · entry 1

Rouhandeh Steven H · CIK 0001294343 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 533,590

F1 · shares: All of the restricted stock will vest on November 25, 2021.

Read SEC document
May 25, 2021 Filed May 28, 2021 01:41 UTC
Alland LeilaDirector
GrantStock Option (right to buy) · Derivative 98,168 $0.00 Strike: $1.49 $0.00
Disclosure

SEC source: 0001493152-21-013114 · ownership.xml · derivative · entry 2

Alland Leila · CIK 0001825216 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 98,168

Underlying: Common Stock · 98,168 shares

Expires 2031-05-25

F2 · derivative.exercise_date: All of the stock options will vest on November 25, 2021.

Read SEC document
May 25, 2021 Filed May 28, 2021 01:41 UTC
Alland LeilaDirector
GrantCommon Stock 77,181 $0.00 $0.00
Disclosure

SEC source: 0001493152-21-013114 · ownership.xml · nonDerivative · entry 1

Alland Leila · CIK 0001825216 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,181

F1 · shares: All of the restricted stock will vest on November 25, 2021.

Read SEC document
May 03, 2021 Filed May 5, 2021 20:05 UTC
SCO CAPITAL PARTNERS LLCDirector · 10% owner
Rouhandeh Steven HDirector · 10% owner
SaleCommon Stock 80,000 $2.01 $160,888.00
Disclosure

SEC source: 0001493152-21-010518 · ownership.xml · nonDerivative · entry 1

SCO CAPITAL PARTNERS LLC · CIK 0001225978 · Director · 10% owner

Rouhandeh Steven H · CIK 0001294343 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · SCO Capital Partners LLC

Disclosed balance after: 11,079,292

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by SCO Capital Partners LLC on July 13, 2020.

F2 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $2.00 to $2.035, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder, or the Staff of the SEC, upon request, full information regarding the number of shares disposed at each separate price within the ranges set forth in this footnote.

Read SEC document
April 05, 2021 Filed Apr 5, 2021 22:31 UTC
CARR EDWARDChief Accounting Officer
SaleCommon stock 35,000 $1.80 $62,846.00
Disclosure

SEC source: 0001493152-21-008025 · ownership.xml · nonDerivative · entry 2

CARR EDWARD · CIK 0001273351 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 191,291

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by Edward Carr on February 23, 2021.

F3 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $1.76 to $1.85, inclusive. The reporting person undertakes to provide to the Issuer, any security holder, or the Staff of the SEC, upon request, full information regarding the number of shares disposed at each separate price within the ranges set forth in this footnote.

Read SEC document
April 01, 2021 Filed Apr 5, 2021 22:31 UTC
CARR EDWARDChief Accounting Officer
SaleCommon stock 20,445 $1.85 $37,866.18
Disclosure

SEC source: 0001493152-21-008025 · ownership.xml · nonDerivative · entry 1

CARR EDWARD · CIK 0001273351 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 226,291

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by Edward Carr on February 23, 2021.

F2 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $1.7893 to $1.97, inclusive. The reporting person undertakes to provide to the Issuer, any security holder, or the Staff of the SEC, upon request, full information regarding the number of shares disposed at each separate price within the ranges set forth in this footnote.

Read SEC document
March 31, 2021 Filed Apr 2, 2021 23:12 UTC
Amoroso MichaelDirector · Chief Executive Officer
SaleCommon stock 45,409 $1.87 $84,919.37
Disclosure

SEC source: 0001493152-21-007902 · ownership.xml · nonDerivative · entry 1

Amoroso Michael · CIK 0001830874 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 650,046

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by Michael Amoroso on February 24, 2021.

F2 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $1.805 to $1.945, inclusive. The reporting person undertakes to provide to the Issuer, any security holder, or the Staff of the SEC, upon request, full information regarding the number of shares disposed at each separate price within the ranges set forth in this footnote.

Read SEC document
March 19, 2021 Filed Mar 23, 2021 20:08 UTC
Amoroso MichaelDirector · Chief Executive Officer
GrantStock Option (right to buy) · Derivative 500,000 $0.00 Strike: $2.18 $0.00
Disclosure

SEC source: 0001493152-21-006622 · ownership.xml · derivative · entry 2

Amoroso Michael · CIK 0001830874 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500,000

Underlying: Common Stock · 500,000 shares

Expires 2031-03-19

F2 · derivative.exercise_date: The options will vest 25% on March 19, 2022, and in 36 equal monthly installments thereafter.

Read SEC document
March 19, 2021 Filed Mar 23, 2021 20:08 UTC
Amoroso MichaelDirector · Chief Executive Officer
GrantCommon stock 250,000 $0.00 $0.00
Disclosure

SEC source: 0001493152-21-006622 · ownership.xml · nonDerivative · entry 1

Amoroso Michael · CIK 0001830874 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 695,455

F1 · shares: The restricted stock will vest 25% on each of March 19, 2022 and in 12 quarterly installments thereafter.

Read SEC document
March 18, 2021 Filed Mar 19, 2021 20:05 UTC
SCO CAPITAL PARTNERS LLCDirector · 10% owner
Rouhandeh Steven HDirector · 10% owner
SaleCommon Stock 80,000 $2.23 $178,624.00
Disclosure

SEC source: 0001493152-21-006427 · ownership.xml · nonDerivative · entry 1

SCO CAPITAL PARTNERS LLC · CIK 0001225978 · Director · 10% owner

Rouhandeh Steven H · CIK 0001294343 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · SCO Capital Partners LLC

Disclosed balance after: 11,159,292

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by SCO Capital Partners LLC on July 13, 2020.

F2 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $2.13 to $2.28, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder, or the Staff of the SEC, upon request, full information regarding the number of shares disposed at each separate price within the ranges set forth in this footnote.

Read SEC document
March 01, 2021 Filed Mar 3, 2021 21:05 UTC
Amoroso MichaelChief Operating Officer
GrantStock Option (right to buy) · Derivative 400,000 $0.00 Strike: $2.34 $0.00
Disclosure

SEC source: 0001493152-21-005275 · ownership.xml · derivative · entry 2

Amoroso Michael · CIK 0001830874 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 400,000

Underlying: Common Stock · 400,000 shares

Expires 2031-03-01

F2 · derivative.exercise_date: The options will vest 25% on March 1, 2022, and in 36 equal monthly installments thereafter.

Read SEC document
March 01, 2021 Filed Mar 3, 2021 21:05 UTC
Amoroso MichaelChief Operating Officer
GrantCommon stock 200,000 $0.00 $0.00
Disclosure

SEC source: 0001493152-21-005275 · ownership.xml · nonDerivative · entry 1

Amoroso Michael · CIK 0001830874 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 445,455

F1 · shares: The restricted stock will vest 25% on each of March 1, 2022, March 1, 2023, March 1, 2024 and March 1, 2025.

Read SEC document
March 01, 2021 Filed Mar 3, 2021 21:05 UTC
CARR EDWARDChief Accounting Officer
GrantStock Option (right to buy) · Derivative 100,000 $0.00 Strike: $2.34 $0.00
Disclosure

SEC source: 0001493152-21-005274 · ownership.xml · derivative · entry 2

CARR EDWARD · CIK 0001273351 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2031-03-01

F2 · derivative.exercise_date: The options will vest 25% on March 1, 2022, and in 36 equal monthly installments thereafter.

Read SEC document
March 01, 2021 Filed Mar 3, 2021 21:05 UTC
CARR EDWARDChief Accounting Officer
GrantCommon stock 50,000 $0.00 $0.00
Disclosure

SEC source: 0001493152-21-005274 · ownership.xml · nonDerivative · entry 1

CARR EDWARD · CIK 0001273351 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 246,736

F1 · shares: The restricted stock will vest 25% on each of March 1, 2022, March 1, 2023, March 1, 2024 and March 1, 2025.

Read SEC document
February 19, 2021 Filed Feb 23, 2021 21:14 UTC Exercise / conversionStock Option (Right to Buy) · Derivative 45,566 $0.00 Strike: $1.28 $0.00
Disclosure

SEC source: 0001493152-21-004598 · ownership.xml · derivative · entry 3

Mann Paul Elliot · CIK 0001744816 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 45,566 shares

Expires 2030-06-17

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
February 19, 2021 Filed Feb 23, 2021 21:14 UTC SaleCommon Stock 45,566 $2.38 $108,501.76
Disclosure

SEC source: 0001493152-21-004598 · ownership.xml · nonDerivative · entry 2

Mann Paul Elliot · CIK 0001744816 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $2.34 to $2.42, inclusive. The reporting person undertakes to provide to the Issuer, any security holder, or the Staff of the SEC, upon request, full information regarding the number of shares disposed at each separate price within the ranges set forth in this footnote.

Read SEC document
February 19, 2021 Filed Feb 23, 2021 21:14 UTC Exercise / conversionCommon Stock 45,566 $1.28 $58,324.48
Disclosure

SEC source: 0001493152-21-004598 · ownership.xml · nonDerivative · entry 1

Mann Paul Elliot · CIK 0001744816 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,566

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
February 19, 2021 Filed Feb 23, 2021 21:05 UTC
Wider ToddDirector
SaleCommon Stock 251,625 $2.39 $601,056.64
Disclosure

SEC source: 0001493152-21-004592 · ownership.xml · nonDerivative · entry 1

Wider Todd · CIK 0001642715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $2.371 to $2.402, inclusive. The reporting person undertakes to provide to the Issuer, any security holder, or the Staff of the SEC, upon request, full information regarding the number of shares disposed at each separate price within the ranges set forth in this footnote.

Read SEC document
February 18, 2021 Filed Feb 19, 2021 21:05 UTC
Wider ToddDirector
Exercise / conversionStock Option (Right to Buy) · Derivative 1,345 $0.00 Strike: $1.28 $0.00
Disclosure

SEC source: 0001493152-21-004407 · ownership.xml · derivative · entry 18

Wider Todd · CIK 0001642715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,345 shares

Expires 2030-05-20

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
February 18, 2021 Filed Feb 19, 2021 21:05 UTC
Wider ToddDirector
SaleCommon Stock 1,345 $2.43 $3,272.79
Disclosure

SEC source: 0001493152-21-004407 · ownership.xml · nonDerivative · entry 10

Wider Todd · CIK 0001642715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 276,625

F2 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $2.43 to $2.45, inclusive. The reporting person undertakes to provide to the Issuer, any security holder, or the Staff of the SEC, upon request, full information regarding the number of shares disposed at each separate price within the ranges set forth in this footnote.

Read SEC document
February 18, 2021 Filed Feb 19, 2021 21:05 UTC
Wider ToddDirector
Exercise / conversionCommon Stock 1,345 $1.28 $1,721.60
Disclosure

SEC source: 0001493152-21-004407 · ownership.xml · nonDerivative · entry 9

Wider Todd · CIK 0001642715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 277,970

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
February 17, 2021 Filed Feb 19, 2021 21:05 UTC SaleCommon Stock 132,664 $2.34 $310,168.43
Disclosure

SEC source: 0001493152-21-004408 · ownership.xml · nonDerivative · entry 1

Mann Paul Elliot · CIK 0001744816 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $2.19 to $2.66, inclusive. The reporting person undertakes to provide to the Issuer, any security holder, or the Staff of the SEC, upon request, full information regarding the number of shares disposed at each separate price within the ranges set forth in this footnote.

F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $2.19 to $2.66, inclusive. The reporting person undertakes to provide to the Issuer, any security holder, or the Staff of the SEC, upon request, full information regarding the number of shares disposed at each separate price within the ranges set forth in this footnote.

Read SEC document
February 17, 2021 Filed Feb 19, 2021 21:05 UTC
Wider ToddDirector
Exercise / conversionStock Option (Right to Buy) · Derivative 20,173 $0.00 Strike: $1.28 $0.00
Disclosure

SEC source: 0001493152-21-004407 · ownership.xml · derivative · entry 17

Wider Todd · CIK 0001642715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,345

Underlying: Common Stock · 20,173 shares

Expires 2030-05-20

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
February 17, 2021 Filed Feb 19, 2021 21:05 UTC
Wider ToddDirector
Exercise / conversionStock Option (Right to Buy) · Derivative 19,827 $0.00 Strike: $1.28 $0.00
Disclosure

SEC source: 0001493152-21-004407 · ownership.xml · derivative · entry 16

Wider Todd · CIK 0001642715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 19,827 shares

Expires 2029-05-21

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
February 17, 2021 Filed Feb 19, 2021 21:05 UTC
Wider ToddDirector
Exercise / conversionStock Option (Right to Buy) · Derivative 50,000 $0.00 Strike: $1.28 $0.00
Disclosure

SEC source: 0001493152-21-004407 · ownership.xml · derivative · entry 15

Wider Todd · CIK 0001642715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 50,000 shares

Expires 2028-03-29

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
February 17, 2021 Filed Feb 19, 2021 21:05 UTC
Wider ToddDirector
Exercise / conversionStock Option (Right to Buy) · Derivative 30,000 $0.00 Strike: $1.28 $0.00
Disclosure

SEC source: 0001493152-21-004407 · ownership.xml · derivative · entry 14

Wider Todd · CIK 0001642715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 30,000 shares

Expires 2027-12-14

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
February 17, 2021 Filed Feb 19, 2021 21:05 UTC
Wider ToddDirector
Exercise / conversionStock Option (Right to Buy) · Derivative 50,000 $0.00 Strike: $1.28 $0.00
Disclosure

SEC source: 0001493152-21-004407 · ownership.xml · derivative · entry 13

Wider Todd · CIK 0001642715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 50,000 shares

Expires 2026-12-13

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
February 17, 2021 Filed Feb 19, 2021 21:05 UTC
Wider ToddDirector
Exercise / conversionStock Option (Right to Buy) · Derivative 50,000 $0.00 Strike: $1.28 $0.00
Disclosure

SEC source: 0001493152-21-004407 · ownership.xml · derivative · entry 12

Wider Todd · CIK 0001642715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 50,000 shares

Expires 2026-02-11

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
February 17, 2021 Filed Feb 19, 2021 21:05 UTC
Wider ToddDirector
Exercise / conversionStock Option (Right to Buy) · Derivative 100,000 $0.00 Strike: $1.28 $0.00
Disclosure

SEC source: 0001493152-21-004407 · ownership.xml · derivative · entry 11

Wider Todd · CIK 0001642715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 100,000 shares

Expires 2025-05-11

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
February 17, 2021 Filed Feb 19, 2021 21:05 UTC
Wider ToddDirector
SaleCommon Stock 320,000 $2.34 $749,792.00
Disclosure

SEC source: 0001493152-21-004407 · ownership.xml · nonDerivative · entry 8

Wider Todd · CIK 0001642715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 276,625

F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $2.30 to $2.475, inclusive. The reporting person undertakes to provide to the Issuer, any security holder, or the Staff of the SEC, upon request, full information regarding the number of shares disposed at each separate price within the ranges set forth in this footnote.

Read SEC document
February 17, 2021 Filed Feb 19, 2021 21:05 UTC
Wider ToddDirector
Exercise / conversionCommon Stock 20,173 $1.28 $25,821.44
Disclosure

SEC source: 0001493152-21-004407 · ownership.xml · nonDerivative · entry 7

Wider Todd · CIK 0001642715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 596,625

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

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February 17, 2021 Filed Feb 19, 2021 21:05 UTC
Wider ToddDirector
Exercise / conversionCommon Stock 19,827 $1.28 $25,378.56
Disclosure

SEC source: 0001493152-21-004407 · ownership.xml · nonDerivative · entry 6

Wider Todd · CIK 0001642715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 576,452

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

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February 17, 2021 Filed Feb 19, 2021 21:05 UTC
Wider ToddDirector
Exercise / conversionCommon Stock 50,000 $1.28 $64,000.00
Disclosure

SEC source: 0001493152-21-004407 · ownership.xml · nonDerivative · entry 5

Wider Todd · CIK 0001642715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 566,625

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

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February 17, 2021 Filed Feb 19, 2021 21:05 UTC
Wider ToddDirector
Exercise / conversionCommon Stock 30,000 $1.28 $38,400.00
Disclosure

SEC source: 0001493152-21-004407 · ownership.xml · nonDerivative · entry 4

Wider Todd · CIK 0001642715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 506,625

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

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February 17, 2021 Filed Feb 19, 2021 21:05 UTC
Wider ToddDirector
Exercise / conversionCommon Stock 50,000 $1.28 $64,000.00
Disclosure

SEC source: 0001493152-21-004407 · ownership.xml · nonDerivative · entry 3

Wider Todd · CIK 0001642715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 476,625

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
February 17, 2021 Filed Feb 19, 2021 21:05 UTC
Wider ToddDirector
Exercise / conversionCommon Stock 50,000 $1.28 $64,000.00
Disclosure

SEC source: 0001493152-21-004407 · ownership.xml · nonDerivative · entry 2

Wider Todd · CIK 0001642715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 426,625

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

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February 17, 2021 Filed Feb 19, 2021 21:05 UTC
Wider ToddDirector
Exercise / conversionCommon Stock 100,000 $1.28 $128,000.00
Disclosure

SEC source: 0001493152-21-004407 · ownership.xml · nonDerivative · entry 1

Wider Todd · CIK 0001642715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 376,625

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

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February 16, 2021 Filed Feb 18, 2021 21:05 UTC
SCO CAPITAL PARTNERS LLCDirector · 10% owner
Rouhandeh Steven HDirector · 10% owner
SaleCommon Stock 120,000 $2.97 $356,808.00
Disclosure

SEC source: 0001493152-21-004255 · ownership.xml · nonDerivative · entry 1

SCO CAPITAL PARTNERS LLC · CIK 0001225978 · Director · 10% owner

Rouhandeh Steven H · CIK 0001294343 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · SCO Capital Partners LLC

Disclosed balance after: 11,239,292

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by SCO Capital Partners LLC on July 13, 2020.

F2 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $2.71 to $3.08, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder, or the Staff of the SEC, upon request, full information regarding the number of shares disposed at each separate price within the ranges set forth in this footnote.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.