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Nasdaq · USD

ACHV

ACHIEVE LIFE SCIENCES, INC.

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5072
SEC CIK
0000949858
Parsed reports
233

Last 12 months

Inside the activity.

0 purchase rows · 1 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202600
Feb 202600
Mar 202600
Apr 202600
May 202600
Jun 202600
Jul 202600
Aug 202601
Sep 202600
Oct 202600

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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
January 22, 2024 Filed Jan 25, 2024 00:05 UTC
Wan JerryPrincipal Accounting Officer
GrantStock Option (right to buy) · Derivative 10,500 $0.00 Strike: $4.55 $0.00
Disclosure

SEC source: 0001209191-24-002198 · doc4.xml · derivative · entry 2

Wan Jerry · CIK 0001828041 · Principal Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,500

Underlying: Common Stock · 10,500 shares

Expires 2034-01-22

F3 · derivative.exercise_date: The options vest one-third on the first anniversary of January 22, 2024 and thereafter in monthly installments over 24 months.

Read SEC document
January 22, 2024 Filed Jan 25, 2024 00:05 UTC
Wan JerryPrincipal Accounting Officer
GrantPerformance Restricted Stock Unit (PRSU) · Derivative 24,500 $0.00 $0.00
Disclosure

SEC source: 0001209191-24-002198 · doc4.xml · derivative · entry 1

Wan Jerry · CIK 0001828041 · Principal Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 24,500

Underlying: Common Stock · 24,500 shares

Expires 2028-01-22

F1 · derivative.exercise_price: Each PRSU represents a contingent right to receive one share of the issuer's common stock at settlement.

F2 · derivative.exercise_date: Pursuant to the terms of the award agreement governing the PRSU, the total number of shares underlying the PRSU vest on the achievement of one of certain milestones being met. The PRSUs will lapse in full if achievement of at least one of the milestones is not met.

Read SEC document
January 22, 2024 Filed Jan 25, 2024 00:01 UTC
Stewart Richard AlistairDirector · Executive Chairman
GrantStock Option (right to buy) · Derivative 60,000 $0.00 Strike: $4.55 $0.00
Disclosure

SEC source: 0001209191-24-002196 · doc4.xml · derivative · entry 2

Stewart Richard Alistair · CIK 0001713369 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Common Stock · 60,000 shares

Expires 2034-01-22

F3 · derivative.exercise_date: The options vest one-third on the first anniversary of January 22, 2024 and thereafter in monthly installments over 24 months.

Read SEC document
January 22, 2024 Filed Jan 25, 2024 00:01 UTC
Stewart Richard AlistairDirector · Executive Chairman
GrantPerformance Restricted Stock Unit (PRSU) · Derivative 140,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-24-002196 · doc4.xml · derivative · entry 1

Stewart Richard Alistair · CIK 0001713369 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 140,000

Underlying: Common Stock · 140,000 shares

Expires 2028-01-22

F1 · derivative.exercise_price: Each PRSU represents a contingent right to receive one share of the issuer's common stock at settlement.

F2 · derivative.exercise_date: Pursuant to the terms of the award agreement governing the PRSU, the total number of shares underlying the PRSU vest on the achievement of one of certain milestones being met. The PRSUs will lapse in full if achievement of at least one of the milestones is not met.

Read SEC document
January 22, 2024 Filed Jan 24, 2024 23:54 UTC
Bencich JohnDirector · CEO
GrantStock Option (right to buy) · Derivative 75,000 $0.00 Strike: $4.55 $0.00
Disclosure

SEC source: 0001209191-24-002192 · doc4.xml · derivative · entry 2

Bencich John · CIK 0001477056 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 75,000 shares

Expires 2034-01-22

F3 · derivative.exercise_date: The options vest one-third on the first anniversary of January 22, 2024 and thereafter in monthly installments over 24 months.

Read SEC document
January 22, 2024 Filed Jan 24, 2024 23:54 UTC
Bencich JohnDirector · CEO
GrantPerformance Restricted Stock Unit (PRSU) · Derivative 175,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-24-002192 · doc4.xml · derivative · entry 1

Bencich John · CIK 0001477056 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 175,000

Underlying: Common Stock · 175,000 shares

Expires 2028-01-22

F1 · derivative.exercise_price: Each PRSU represents a contingent right to receive one share of the issuer's common stock at settlement.

F2 · derivative.exercise_date: Pursuant to the terms of the award agreement governing the PRSU, the total number of shares underlying the PRSU vest on the achievement of one of certain milestones being met. The PRSUs will lapse in full if achievement of at least one of the milestones is not met.

Read SEC document
January 22, 2024 Filed Jan 24, 2024 23:58 UTC
JACOBS CINDYDirector · President & CMO
GrantStock Option (right to buy) · Derivative 36,000 $0.00 Strike: $4.55 $0.00
Disclosure

SEC source: 0001209191-24-002194 · doc4.xml · derivative · entry 2

JACOBS CINDY · CIK 0001229762 · Director · President & CMO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 36,000

Underlying: Common Stock · 36,000 shares

Expires 2034-01-22

F3 · derivative.exercise_date: The options vest one-third on the first anniversary of January 22, 2024 and thereafter in monthly installments over 24 months.

Read SEC document
January 22, 2024 Filed Jan 24, 2024 23:58 UTC
JACOBS CINDYDirector · President & CMO
GrantPerformance Restricted Stock Unit (PRSU) · Derivative 84,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-24-002194 · doc4.xml · derivative · entry 1

JACOBS CINDY · CIK 0001229762 · Director · President & CMO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 84,000

Underlying: Common Stock · 84,000 shares

Expires 2028-01-22

F1 · derivative.exercise_price: Each PRSU represents a contingent right to receive one share of the issuer's common stock at settlement.

F2 · derivative.exercise_date: Pursuant to the terms of the award agreement governing the PRSU, the total number of shares underlying the PRSU vest on the achievement of one of certain milestones being met. The PRSUs will lapse in full if achievement of at least one of the milestones is not met.

Read SEC document
January 22, 2024 Filed Jan 29, 2024 19:07 UTC GrantStock Option (right to buy) · Derivative 31,500 $0.00 Strike: $4.55 $0.00
Disclosure

SEC source: 0001209191-24-002333 · doc4.xml · derivative · entry 1

Martell Bridget A · CIK 0001629627 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 31,500

Underlying: Common Stock · 31,500 shares

Expires 2034-01-22

F1 · derivative.exercise_date: The options vest 100% on the earlier of 18 months from the grant date or the date immediately prior to the Issuer's 2025 annual meeting of stockholders.

Read SEC document
June 07, 2023 Filed Jun 9, 2023 20:15 UTC GrantStock Option (right to buy) · Derivative 31,500 $0.00 Strike: $6.00 $0.00
Disclosure

SEC source: 0001209191-23-035791 · doc4.xml · derivative · entry 1

HIMES VAUGHN B · CIK 0001361966 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 31,500

Underlying: Common Stock · 31,500 shares

Expires 2033-06-07

F1 · derivative.exercise_date: The options vest 100% on the earlier of June 7, 2024 or the date immediately prior to the Issuer's next annual meeting of stockholders.

Read SEC document
June 07, 2023 Filed Jun 9, 2023 20:15 UTC GrantStock Option (right to buy) · Derivative 31,500 $0.00 Strike: $6.00 $0.00
Disclosure

SEC source: 0001209191-23-035793 · doc4.xml · derivative · entry 1

Martell Bridget A · CIK 0001629627 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 31,500

Underlying: Common Stock · 31,500 shares

Expires 2033-06-07

F1 · derivative.exercise_date: The options vest 100% on the earlier of June 7, 2024 or the date immediately prior to the Issuer's next annual meeting of stockholders.

Read SEC document
May 30, 2023 Filed Jun 1, 2023 21:42 UTC
Bencich JohnDirector · CEO
PurchaseCommon Stock 5,000 $5.50 $27,500.00
Disclosure

SEC source: 0001209191-23-033392 · doc4.xml · nonDerivative · entry 1

Bencich John · CIK 0001477056 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 66,730

F1 · shares: The shares reported on this Form 4 were purchased in a registered direct offering at a price of $5.50 per share, for an aggregate purchase price of $27,500, pursuant to a Securities Purchase Agreement dated May 25, 2023.

Read SEC document
April 28, 2023 Filed May 1, 2023 21:55 UTC
Wan JerryPrincipal Accounting Officer
Exercise / conversionPerformance Restricted Stock Unit (PRSU) · Derivative 1,250 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-026322 · doc4.xml · derivative · entry 3

Wan Jerry · CIK 0001828041 · Principal Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,250 shares

Expires 2025-01-26

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.

F3 · derivative.exercise_price: Each PRSU represents a contingent right to receive one share of the issuer's common stock at settlement.

F4 · derivative.exercise_date: Pursuant to the terms of the PRSU 50% of the total shares underlying the PRSU vest on the achievement of a performance-based milestone, and 50% vest on the first anniversary of the achievement of such milestone.

Read SEC document
April 28, 2023 Filed May 1, 2023 21:55 UTC
Wan JerryPrincipal Accounting Officer
Tax withholdingCommon Stock 669 $8.29 $5,546.01
Disclosure

SEC source: 0001209191-23-026322 · doc4.xml · nonDerivative · entry 2

Wan Jerry · CIK 0001828041 · Principal Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,432

F2 · shares: Represents shares of common stock that have been withheld by the issuer to satisfy the tax liability in connection with the settlement of PRSUs.

Read SEC document
April 28, 2023 Filed May 1, 2023 21:55 UTC
Wan JerryPrincipal Accounting Officer
Exercise / conversionCommon Stock 1,250 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-026322 · doc4.xml · nonDerivative · entry 1

Wan Jerry · CIK 0001828041 · Principal Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,101

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.

F1 · shares: Represents shares of common stock acquired upon settlement of the performance restricted stock units ("PRSUs") listed in Table II.

Read SEC document
April 28, 2023 Filed May 1, 2023 21:54 UTC
JACOBS CINDYDirector · President & CMO
Exercise / conversionPerformance Restricted Stock Unit (PRSU) · Derivative 2,500 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-026321 · doc4.xml · derivative · entry 3

JACOBS CINDY · CIK 0001229762 · Director · President & CMO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,500 shares

Expires 2025-01-26

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.

F3 · derivative.exercise_price: Each PRSU represents a contingent right to receive one share of the issuer's common stock at settlement.

F4 · derivative.exercise_date: Pursuant to the terms of the PRSU 50% of the total shares underlying the PRSU vest on the achievement of a performance-based milestone, and 50% vest on the first anniversary of the achievement of such milestone.

Read SEC document
April 28, 2023 Filed May 1, 2023 21:54 UTC
JACOBS CINDYDirector · President & CMO
Tax withholdingCommon Stock 609 $8.29 $5,048.61
Disclosure

SEC source: 0001209191-23-026321 · doc4.xml · nonDerivative · entry 2

JACOBS CINDY · CIK 0001229762 · Director · President & CMO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 18,261

F2 · shares: Represents shares of common stock that have been withheld by the issuer to satisfy the tax liability in connection with the settlement of PRSUs.

Read SEC document
April 28, 2023 Filed May 1, 2023 21:54 UTC
JACOBS CINDYDirector · President & CMO
Exercise / conversionCommon Stock 2,500 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-026321 · doc4.xml · nonDerivative · entry 1

JACOBS CINDY · CIK 0001229762 · Director · President & CMO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 18,870

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.

F1 · shares: Represents shares of common stock acquired upon settlement of the performance restricted stock units ("PRSUs") listed in Table II.

Read SEC document
April 28, 2023 Filed May 1, 2023 21:53 UTC
Bencich JohnDirector · CEO
Exercise / conversionPerformance Restricted Stock Unit (PRSU) · Derivative 7,500 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-026319 · doc4.xml · derivative · entry 3

Bencich John · CIK 0001477056 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,500 shares

Expires 2025-01-26

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.

F3 · derivative.exercise_price: Each PRSU represents a contingent right to receive one share of the issuer's common stock at settlement.

F4 · derivative.exercise_date: Pursuant to the terms of the PRSU 50% of the total shares underlying the PRSU vest on the achievement of a performance-based milestone, and 50% vest on the first anniversary of the achievement of such milestone.

Read SEC document
April 28, 2023 Filed May 1, 2023 21:53 UTC
Bencich JohnDirector · CEO
Tax withholdingCommon Stock 1,827 $8.29 $15,145.83
Disclosure

SEC source: 0001209191-23-026319 · doc4.xml · nonDerivative · entry 2

Bencich John · CIK 0001477056 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 61,730

F2 · shares: Represents shares of common stock that have been withheld by the issuer to satisfy the tax liability in connection with the settlement of PRSUs.

Read SEC document
April 28, 2023 Filed May 1, 2023 21:53 UTC
Bencich JohnDirector · CEO
Exercise / conversionCommon Stock 7,500 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-026319 · doc4.xml · nonDerivative · entry 1

Bencich John · CIK 0001477056 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 63,557

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.

F1 · shares: Represents shares of common stock acquired upon settlement of the performance restricted stock units ("PRSUs") listed in Table II.

Read SEC document
April 28, 2023 Filed May 1, 2023 21:51 UTC
Stewart Richard AlistairDirector · Executive Chairman
Exercise / conversionPerformance Restricted Stock Unit (PRSU) · Derivative 5,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-026318 · doc4.xml · derivative · entry 5

Stewart Richard Alistair · CIK 0001713369 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,000 shares

Expires 2025-01-26

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.

F4 · derivative.exercise_price: Each PRSU represents a contingent right to receive one share of the issuer's common stock at settlement.

F5 · derivative.exercise_date: Pursuant to the terms of the PRSU 50% of the total shares underlying the PRSU vest on the achievement of a performance-based milestone, and 50% vest on the first anniversary of the achievement of such milestone.

Read SEC document
April 28, 2023 Filed May 1, 2023 21:51 UTC
Stewart Richard AlistairDirector · Executive Chairman
Tax withholdingCommon Stock 2,250 $8.29 $18,652.50
Disclosure

SEC source: 0001209191-23-026318 · doc4.xml · nonDerivative · entry 2

Stewart Richard Alistair · CIK 0001713369 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 28,501

F2 · shares: Represents shares of common stock that have been withheld by the issuer to satisfy the tax liability in connection with the settlement of PRSUs.

Read SEC document
April 28, 2023 Filed May 1, 2023 21:51 UTC
Stewart Richard AlistairDirector · Executive Chairman
Exercise / conversionCommon Stock 5,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-026318 · doc4.xml · nonDerivative · entry 1

Stewart Richard Alistair · CIK 0001713369 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,751

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.

F1 · shares: Represents shares of common stock acquired upon settlement of the performance restricted stock units ("PRSUs") listed in Table II.

Read SEC document
April 21, 2023 Filed Apr 24, 2023 20:17 UTC
Wan JerryPrincipal Accounting Officer
Exercise / conversionPerformance Restricted Stock Unit (PRSU) · Derivative 5,625 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-025384 · doc4.xml · derivative · entry 3

Wan Jerry · CIK 0001828041 · Principal Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,625

Underlying: Common Stock · 5,625 shares

Expires 2026-01-03

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.

F3 · derivative.exercise_price: Each PRSU represents a contingent right to receive one share of the issuer's common stock at settlement.

F4 · derivative.exercise_date: Pursuant to the terms of the PRSU 50% of the total shares underlying the PRSU vest on the achievement of a performance-based milestone, and 50% vest on the first anniversary of the achievement of such milestone.

Read SEC document
April 21, 2023 Filed Apr 24, 2023 20:17 UTC
Wan JerryPrincipal Accounting Officer
Tax withholdingCommon Stock 3,010 $6.80 $20,468.00
Disclosure

SEC source: 0001209191-23-025384 · doc4.xml · nonDerivative · entry 2

Wan Jerry · CIK 0001828041 · Principal Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,851

F2 · shares: Represents shares of common stock that have been withheld by the issuer to satisfy the tax liability in connection with the settlement of PRSUs.

Read SEC document
April 21, 2023 Filed Apr 24, 2023 20:17 UTC
Wan JerryPrincipal Accounting Officer
Exercise / conversionCommon Stock 5,625 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-025384 · doc4.xml · nonDerivative · entry 1

Wan Jerry · CIK 0001828041 · Principal Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,861

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.

F1 · shares: Represents shares of common stock acquired upon settlement of the performance restricted stock units ("PRSUs") listed in Table II.

Read SEC document
April 21, 2023 Filed Apr 24, 2023 20:15 UTC
Stewart Richard AlistairDirector · Executive Chairman
Exercise / conversionPerformance Restricted Stock Unit (PRSU) · Derivative 22,500 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-025383 · doc4.xml · derivative · entry 5

Stewart Richard Alistair · CIK 0001713369 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,500

Underlying: Common Stock · 22,500 shares

Expires 2026-01-03

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.

F4 · derivative.exercise_price: Each PRSU represents a contingent right to receive one share of the issuer's common stock at settlement.

F5 · derivative.exercise_date: Pursuant to the terms of the PRSU 50% of the total shares underlying the PRSU vest on the achievement of a performance-based milestone, and 50% vest on the first anniversary of the achievement of such milestone.

Read SEC document
April 21, 2023 Filed Apr 24, 2023 20:15 UTC
Stewart Richard AlistairDirector · Executive Chairman
Tax withholdingCommon Stock 10,125 $6.80 $68,850.00
Disclosure

SEC source: 0001209191-23-025383 · doc4.xml · nonDerivative · entry 2

Stewart Richard Alistair · CIK 0001713369 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,751

F2 · shares: Represents shares of common stock that have been withheld by the issuer to satisfy the tax liability in connection with the settlement of PRSUs.

Read SEC document
April 21, 2023 Filed Apr 24, 2023 20:15 UTC
Stewart Richard AlistairDirector · Executive Chairman
Exercise / conversionCommon Stock 22,500 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-025383 · doc4.xml · nonDerivative · entry 1

Stewart Richard Alistair · CIK 0001713369 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,876

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.

F1 · shares: Represents shares of common stock acquired upon settlement of the performance restricted stock units ("PRSUs") listed in Table II.

Read SEC document
April 21, 2023 Filed Apr 24, 2023 20:14 UTC
JACOBS CINDYDirector · President & CMO
Exercise / conversionPerformance Restricted Stock Unit (PRSU) · Derivative 16,250 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-025381 · doc4.xml · derivative · entry 3

JACOBS CINDY · CIK 0001229762 · Director · President & CMO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,250

Underlying: Common Stock · 16,250 shares

Expires 2026-01-03

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.

F3 · derivative.exercise_price: Each PRSU represents a contingent right to receive one share of the issuer's common stock at settlement.

F4 · derivative.exercise_date: Pursuant to the terms of the PRSU 50% of the total shares underlying the PRSU vest on the achievement of a performance-based milestone, and 50% vest on the first anniversary of the achievement of such milestone.

Read SEC document
April 21, 2023 Filed Apr 24, 2023 20:14 UTC
JACOBS CINDYDirector · President & CMO
Tax withholdingCommon Stock 4,819 $6.80 $32,769.20
Disclosure

SEC source: 0001209191-23-025381 · doc4.xml · nonDerivative · entry 2

JACOBS CINDY · CIK 0001229762 · Director · President & CMO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,362

F2 · shares: Represents shares of common stock that have been withheld by the issuer to satisfy the tax liability in connection with the settlement of PRSUs.

Read SEC document
April 21, 2023 Filed Apr 24, 2023 20:14 UTC
JACOBS CINDYDirector · President & CMO
Exercise / conversionCommon Stock 16,250 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-025381 · doc4.xml · nonDerivative · entry 1

JACOBS CINDY · CIK 0001229762 · Director · President & CMO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,181

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.

F1 · shares: Represents shares of common stock acquired upon settlement of the performance restricted stock units ("PRSUs") listed in Table II.

Read SEC document
April 21, 2023 Filed Apr 24, 2023 20:13 UTC
Bencich JohnDirector · CEO
Exercise / conversionPerformance Restricted Stock Unit (PRSU) · Derivative 25,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-025380 · doc4.xml · derivative · entry 3

Bencich John · CIK 0001477056 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2026-01-03

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.

F3 · derivative.exercise_price: Each PRSU represents a contingent right to receive one share of the issuer's common stock at settlement.

F4 · derivative.exercise_date: Pursuant to the terms of the PRSU 50% of the total shares underlying the PRSU vest on the achievement of a performance-based milestone, and 50% vest on the first anniversary of the achievement of such milestone.

Read SEC document
April 21, 2023 Filed Apr 24, 2023 20:13 UTC
Bencich JohnDirector · CEO
Tax withholdingCommon Stock 7,324 $6.80 $49,803.20
Disclosure

SEC source: 0001209191-23-025380 · doc4.xml · nonDerivative · entry 2

Bencich John · CIK 0001477056 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 54,596

F2 · shares: Represents shares of common stock that have been withheld by the issuer to satisfy the tax liability in connection with the settlement of PRSUs.

Read SEC document
April 21, 2023 Filed Apr 24, 2023 20:13 UTC
Bencich JohnDirector · CEO
Exercise / conversionCommon Stock 25,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-025380 · doc4.xml · nonDerivative · entry 1

Bencich John · CIK 0001477056 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 61,920

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.

F1 · shares: Represents shares of common stock acquired upon settlement of the performance restricted stock units ("PRSUs") listed in Table II.

Read SEC document
April 21, 2023 Filed Apr 25, 2023 20:28 UTC Amendment
Bencich JohnDirector · CEO
Tax withholdingCommon Stock 5,863 $6.80 $39,868.40
Disclosure

SEC source: 0001209191-23-025536 · doc4a.xml · nonDerivative · entry 1

Bencich John · CIK 0001477056 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 56,057

F1 · shares: This amended Form 4 is filed to correct an administrative error which applied additional taxes and misreported the number of shares of common stock withheld by the issuer to satisfy the tax liability in connection with the settlement of performance restricted stock units. 5,863 shares were withheld instead of 7,324.

F2 · balance_after: The number of shares beneficially owned by the reporting person increased from 54,596 shares to 56,075 shares.

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April 21, 2023 Filed Apr 25, 2023 20:27 UTC Amendment
JACOBS CINDYDirector · President & CMO
Tax withholdingCommon Stock 3,811 $6.80 $25,914.80
Disclosure

SEC source: 0001209191-23-025534 · doc4a.xml · nonDerivative · entry 1

JACOBS CINDY · CIK 0001229762 · Director · President & CMO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,370

F1 · shares: This amended Form 4 is filed to correct an administrative error which applied additional taxes and misreported the number of shares of common stock withheld by the issuer to satisfy the tax liability in connection with the settlement of performance restricted stock units. 3,811 shares were withheld instead of 4,819.

F2 · balance_after: The number of shares beneficially owned by the reporting person increased from 15,362 shares to 16,370 shares.

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March 29, 2023 Filed Mar 30, 2023 15:28 UTC GrantStock Option (right to buy) · Derivative 24,000 $0.00 Strike: $5.97 $0.00
Disclosure

SEC source: 0001209191-23-021586 · doc4.xml · derivative · entry 1

Sellig Thomas · CIK 0001969416 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 24,000

Underlying: Common Stock · 24,000 shares

Expires 2033-03-29

F1 · derivative.exercise_date: The options vest on the one month anniversary of March 29, 2023 and thereafter in monthly installments over 36 months.

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March 29, 2023 Filed Mar 30, 2023 15:27 UTC GrantStock Option (right to buy) · Derivative 24,000 $0.00 Strike: $5.97 $0.00
Disclosure

SEC source: 0001209191-23-021585 · doc4.xml · derivative · entry 1

KING THOMAS BRAXTON · CIK 0001279309 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 24,000

Underlying: Common Stock · 24,000 shares

Expires 2033-03-29

F1 · derivative.exercise_date: The options vest on the one month anniversary of March 29, 2023 and thereafter in monthly installments over 36 months.

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March 29, 2023 Filed Mar 30, 2023 15:25 UTC
Duty StuartDirector
GrantStock Option (right to buy) · Derivative 24,000 $0.00 Strike: $5.97 $0.00
Disclosure

SEC source: 0001209191-23-021584 · doc4.xml · derivative · entry 1

Duty Stuart · CIK 0001970274 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 24,000

Underlying: Common Stock · 24,000 shares

Expires 2033-03-29

F1 · derivative.exercise_date: The options vest on the one month anniversary of March 29, 2023 and thereafter in monthly installments over 36 months.

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March 29, 2023 Filed Jun 9, 2023 20:15 UTC GrantStock Option (right to buy) · Derivative 23,250 $0.00 Strike: $5.97 $0.00
Disclosure

SEC source: 0001209191-23-035786 · doc4.xml · derivative · entry 1

Sellig Thomas · CIK 0001969416 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,250

Underlying: Common Stock · 23,250 shares

Expires 2033-03-29

F1 · derivative.exercise_date: These options were granted on March 29, 2023 (the "Grant Date") pursuant to the 2023 Non-Employee Director Equity Incentive Plan (the "Plan"), subject to the Plans approval by the Issuers stockholders. The Plan was approved by the Issuers stockholders at the Issuers 2023 Annual Meeting of Stockholders on June 7, 2023. These options will vest on the one month anniversary of the Grant Date and thereafter in monthly installments over 36 months.

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March 29, 2023 Filed Jun 9, 2023 20:15 UTC
Duty StuartDirector
GrantStock Option (right to buy) · Derivative 23,250 $0.00 Strike: $5.97 $0.00
Disclosure

SEC source: 0001209191-23-035785 · doc4.xml · derivative · entry 1

Duty Stuart · CIK 0001970274 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,250

Underlying: Common Stock · 23,250 shares

Expires 2033-03-29

F1 · derivative.exercise_date: These options were granted on March 29, 2023 (the "Grant Date") pursuant to the 2023 Non-Employee Director Equity Incentive Plan (the "Plan"), subject to the Plans approval by the Issuers stockholders. The Plan was approved by the Issuers stockholders at the Issuers 2023 Annual Meeting of Stockholders on June 7, 2023. These options will vest on the one month anniversary of the Grant Date and thereafter in monthly installments over 36 months.

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March 29, 2023 Filed Jun 9, 2023 20:15 UTC GrantStock Option (right to buy) · Derivative 23,250 $0.00 Strike: $5.97 $0.00
Disclosure

SEC source: 0001209191-23-035787 · doc4.xml · derivative · entry 1

KING THOMAS BRAXTON · CIK 0001279309 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,250

Underlying: Common Stock · 23,250 shares

Expires 2033-03-29

F1 · derivative.exercise_date: These options were granted on March 29, 2023 (the "Grant Date") pursuant to the 2023 Non-Employee Director Equity Incentive Plan (the "Plan"), subject to the Plans approval by the Issuers stockholders. The Plan was approved by the Issuers stockholders at the Issuers 2023 Annual Meeting of Stockholders on June 7, 2023. These options will vest on the one month anniversary of the Grant Date and thereafter in monthly installments over 36 months.

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January 25, 2023 Filed Jan 27, 2023 21:48 UTC
Stewart Richard AlistairDirector · Executive Chairman
GrantStock Option (right to buy) · Derivative 75,000 $0.00 Strike: $4.90 $0.00
Disclosure

SEC source: 0001209191-23-005288 · doc4.xml · derivative · entry 2

Stewart Richard Alistair · CIK 0001713369 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 75,000 shares

Expires 2033-01-25

F3 · derivative.exercise_date: The options vest one-third on the first anniversary of January 25, 2023 and thereafter in monthly installments over 24 months.

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January 25, 2023 Filed Jan 27, 2023 21:48 UTC
Stewart Richard AlistairDirector · Executive Chairman
GrantPerformance Restricted Stock Unit (PRSU) · Derivative 75,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-005288 · doc4.xml · derivative · entry 1

Stewart Richard Alistair · CIK 0001713369 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 75,000 shares

Expires 2025-12-31

F1 · derivative.exercise_price: Each PRSU represents a contingent right to receive one share of the issuer's common stock at settlement.

F2 · derivative.exercise_date: Pursuant to the terms of the award agreement governing the PRSU, the number of underlying shares of the Issuers common stock that may ultimately vest range from 0% to 100% of the number of PRSUs initially granted, subject to certain milestones being met during the measurement period that begins on January 3, 2023 and ends on December 31, 2025.

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January 25, 2023 Filed Jan 27, 2023 21:49 UTC
Wan JerryPrincipal Accounting Officer
GrantStock Option (right to buy) · Derivative 15,000 $0.00 Strike: $4.90 $0.00
Disclosure

SEC source: 0001209191-23-005291 · doc4.xml · derivative · entry 2

Wan Jerry · CIK 0001828041 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2033-01-25

F3 · derivative.exercise_date: The options vest one-third on the first anniversary of January 25, 2023 and thereafter in monthly installments over 24 months.

Read SEC document
January 25, 2023 Filed Jan 27, 2023 21:49 UTC
Wan JerryPrincipal Accounting Officer
GrantPerformance Restricted Stock Unit (PRSU) · Derivative 15,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-005291 · doc4.xml · derivative · entry 1

Wan Jerry · CIK 0001828041 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2025-12-31

F1 · derivative.exercise_price: Each PRSU represents a contingent right to receive one share of the issuer's common stock at settlement.

F2 · derivative.exercise_date: Pursuant to the terms of the award agreement governing the PRSU, the number of underlying shares of the Issuers common stock that may ultimately vest range from 0% to 100% of the number of PRSUs initially granted, subject to certain milestones being met during the measurement period that begins on January 3, 2023 and ends on December 31, 2025.

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January 25, 2023 Filed Jan 27, 2023 21:47 UTC
JACOBS CINDYDirector · President & CMO
GrantStock Option (right to buy) · Derivative 60,000 $0.00 Strike: $4.90 $0.00
Disclosure

SEC source: 0001209191-23-005286 · doc4.xml · derivative · entry 2

JACOBS CINDY · CIK 0001229762 · Director · President & CMO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Common Stock · 60,000 shares

Expires 2033-01-25

F3 · derivative.exercise_date: The options vest one-third on the first anniversary of January 25, 2023 and thereafter in monthly installments over 24 months.

Read SEC document
January 25, 2023 Filed Jan 27, 2023 21:47 UTC
JACOBS CINDYDirector · President & CMO
GrantPerformance Restricted Stock Unit (PRSU) · Derivative 60,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-005286 · doc4.xml · derivative · entry 1

JACOBS CINDY · CIK 0001229762 · Director · President & CMO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Common Stock · 60,000 shares

Expires 2025-12-31

F1 · derivative.exercise_price: Each PRSU represents a contingent right to receive one share of the issuer's common stock at settlement.

F2 · derivative.exercise_date: Pursuant to the terms of the award agreement governing the PRSU, the number of underlying shares of the Issuers common stock that may ultimately vest range from 0% to 100% of the number of PRSUs initially granted, subject to certain milestones being met during the measurement period that begins on January 3, 2023 and ends on December 31, 2025.

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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.