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
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 0 |
| Dec 2025 | 0 | 0 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 0 | 0 |
| Mar 2026 | 0 | 0 |
| Apr 2026 | 0 | 1 |
| May 2026 | 0 | 0 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 0 | 0 |
| Sep 2026 | 0 | 0 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
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 date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| March 02, 2020 Filed Mar 4, 2020 21:26 UTC |
Molineaux Christopher P.Director
|
GrantRestricted stock units · Derivative | 8,876 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-016084 · doc4.xml · derivative · entry 2 Molineaux Christopher P. · CIK 0001654773 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,876 Underlying: Common Stock · 8,876 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock of the issuer. F2 · derivative.exercise_date: The shares underlying these restricted stock units vest immediately. F2 · derivative.expiration_date: The shares underlying these restricted stock units vest immediately. Read SEC document |
| March 02, 2020 Filed Mar 4, 2020 21:26 UTC |
Molineaux Christopher P.Director
|
Exercise / conversionCommon Stock | 8,876 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-20-016084 · doc4.xml · nonDerivative · entry 1 Molineaux Christopher P. · CIK 0001654773 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,558 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 · price: Each restricted stock unit represents a contingent right to receive one share of common stock of the issuer. Read SEC document |
| March 02, 2020 Filed Mar 4, 2020 21:25 UTC |
Mehra AnandDirector
|
Exercise / conversionRestricted stock units · Derivative | 8,876 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-016081 · doc4.xml · derivative · entry 3 Mehra Anand · CIK 0001590102 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 8,876 shares Expires not disclosed 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 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock of the issuer. F2 · derivative.exercise_date: The shares underlying these restricted stock units vest immediately. F2 · derivative.expiration_date: The shares underlying these restricted stock units vest immediately. Read SEC document |
| March 02, 2020 Filed Mar 4, 2020 21:25 UTC |
Mehra AnandDirector
|
GrantRestricted stock units · Derivative | 8,876 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-016081 · doc4.xml · derivative · entry 2 Mehra Anand · CIK 0001590102 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,876 Underlying: Common Stock · 8,876 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock of the issuer. F2 · derivative.exercise_date: The shares underlying these restricted stock units vest immediately. F2 · derivative.expiration_date: The shares underlying these restricted stock units vest immediately. Read SEC document |
| March 02, 2020 Filed Mar 4, 2020 21:25 UTC |
Mehra AnandDirector
|
Exercise / conversionCommon Stock | 8,876 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-20-016081 · doc4.xml · nonDerivative · entry 1 Mehra Anand · CIK 0001590102 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,876 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 · price: Each restricted stock unit represents a contingent right to receive one share of common stock of the issuer. Read SEC document |
| March 02, 2020 Filed Mar 4, 2020 21:20 UTC |
Gordon David N.Chief Medical Officer
|
GrantRestricted stock units · Derivative | 33,189 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-016065 · doc4.xml · derivative · entry 5 Gordon David N. · CIK 0001751167 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,189 Underlying: Common Stock · 33,189 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock of the issuer. F5 · derivative.exercise_date: The shares underlying these restricted stock units vest in four equal annual installments beginning on March 2, 2021, subject to the Reporting Person's continuous service with the issuer as of the applicable vesting date. F5 · derivative.expiration_date: The shares underlying these restricted stock units vest in four equal annual installments beginning on March 2, 2021, subject to the Reporting Person's continuous service with the issuer as of the applicable vesting date. Read SEC document |
| March 02, 2020 Filed Mar 4, 2020 21:20 UTC |
Gordon David N.Chief Medical Officer
|
GrantEmployee Stock Option (Right to Buy) · Derivative | 116,160 | $0.00 Strike: $1.26 | $0.00 |
DisclosureSEC source: 0001209191-20-016065 · doc4.xml · derivative · entry 4 Gordon David N. · CIK 0001751167 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 116,160 Underlying: Common Stock · 116,160 shares Expires 2030-03-01 F4 · derivative.exercise_date: Exercisable with respect to 25% of the shares subject to the option vesting on each of the first, second, third and fourth anniversaries of the grant date, subject to Reporting Person's continuous service through each such date. Read SEC document |
| March 02, 2020 Filed Mar 4, 2020 21:20 UTC |
Gordon David N.Chief Medical Officer
|
Exercise / conversionRestricted stock units · Derivative | 20,600 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-016065 · doc4.xml · derivative · entry 3 Gordon David N. · CIK 0001751167 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,800 Underlying: Common Stock · 20,600 shares Expires not disclosed 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 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock of the issuer. F3 · derivative.exercise_date: The shares underlying these restricted stock units vest in four equal annual installments beginning on March 1, 2020, subject to the Reporting Person's continuous service with the issuer as of the applicable vesting date. F3 · derivative.expiration_date: The shares underlying these restricted stock units vest in four equal annual installments beginning on March 1, 2020, subject to the Reporting Person's continuous service with the issuer as of the applicable vesting date. Read SEC document |
| March 02, 2020 Filed Mar 4, 2020 21:20 UTC |
Gordon David N.Chief Medical Officer
|
Tax withholdingCommon Stock | 5,512 | $1.26 | $6,945.12 |
DisclosureSEC source: 0001209191-20-016065 · doc4.xml · nonDerivative · entry 2 Gordon David N. · CIK 0001751167 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,440 F2 · kind: The transaction reported represents the withholding of shares by the Issuer to satisfy the Reporting Person's tax withholding obligations in connection with the vesting and settlement of the restricted stock units being reported in this Form 4. Read SEC document |
| March 02, 2020 Filed Mar 4, 2020 21:20 UTC |
Gordon David N.Chief Medical Officer
|
Exercise / conversionCommon Stock | 20,600 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-20-016065 · doc4.xml · nonDerivative · entry 1 Gordon David N. · CIK 0001751167 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,952 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 · price: Each restricted stock unit represents a contingent right to receive one share of common stock of the issuer. Read SEC document |
| February 03, 2020 Filed Feb 5, 2020 00:11 UTC |
Ali-Jackson KamilChief Legal Officer
|
Exercise / conversionRestricted Stock Units · Derivative | 3,875 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-006666 · doc4.xml · derivative · entry 3 Ali-Jackson Kamil · CIK 0001654337 · Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,750 Underlying: Common Stock · 3,875 shares Expires not disclosed 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 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis. F3 · derivative.exercise_date: The shares underlying these restricted stock units vest in four equal annual installments beginning on February 1, 2019, subject to the reporting person's continuous service with the issuer as of the applicable vesting date. F3 · derivative.expiration_date: The shares underlying these restricted stock units vest in four equal annual installments beginning on February 1, 2019, subject to the reporting person's continuous service with the issuer as of the applicable vesting date. Read SEC document |
| February 03, 2020 Filed Feb 5, 2020 00:11 UTC |
Ali-Jackson KamilChief Legal Officer
|
Tax withholdingCommon Stock | 1,318 | $1.28 | $1,687.04 |
DisclosureSEC source: 0001209191-20-006666 · doc4.xml · nonDerivative · entry 2 Ali-Jackson Kamil · CIK 0001654337 · Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 86,803 F2 · kind: The transaction reported represents the withholding of shares by the issuer to satisfy the reporting person's tax withholding obligations in connection with the vesting and settlement of the restricted stock units being reported in this Form 4. Read SEC document |
| February 03, 2020 Filed Feb 5, 2020 00:11 UTC |
Ali-Jackson KamilChief Legal Officer
|
Exercise / conversionCommon Stock | 3,875 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-20-006666 · doc4.xml · nonDerivative · entry 1 Ali-Jackson Kamil · CIK 0001654337 · Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 88,121 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 · price: Restricted stock units convert into common stock on a one-for-one basis. Read SEC document |
| February 03, 2020 Filed Feb 5, 2020 00:13 UTC |
Walker NealDirector · President and CEO
|
Exercise / conversionRestricted Stock Units · Derivative | 10,800 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-006668 · doc4.xml · derivative · entry 3 Walker Neal · CIK 0001604457 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,600 Underlying: Common Stock · 10,800 shares Expires not disclosed 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 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis. F3 · derivative.exercise_date: The shares underlying these restricted stock units vest in four equal annual installments beginning on February 1, 2019, subject to the reporting person's continuous service with the issuer as of the applicable vesting date. F3 · derivative.expiration_date: The shares underlying these restricted stock units vest in four equal annual installments beginning on February 1, 2019, subject to the reporting person's continuous service with the issuer as of the applicable vesting date. Read SEC document |
| February 03, 2020 Filed Feb 5, 2020 00:13 UTC |
Walker NealDirector · President and CEO
|
Tax withholdingCommon Stock | 3,675 | $1.28 | $4,704.00 |
DisclosureSEC source: 0001209191-20-006668 · doc4.xml · nonDerivative · entry 2 Walker Neal · CIK 0001604457 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 928,903 F2 · kind: The transaction reported represents the withholding of shares by the issuer to satisfy the reporting person's tax withholding obligations in connection with the vesting and settlement of the restricted stock units being reported in this Form 4. Read SEC document |
| February 03, 2020 Filed Feb 5, 2020 00:13 UTC |
Walker NealDirector · President and CEO
|
Exercise / conversionCommon Stock | 10,800 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-20-006668 · doc4.xml · nonDerivative · entry 1 Walker Neal · CIK 0001604457 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 932,578 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 · price: Restricted stock units convert into common stock on a one-for-one basis. Read SEC document |
| February 03, 2020 Filed Feb 5, 2020 00:12 UTC |
Ruffo FrankChief Financial Officer
|
Exercise / conversionRestricted Stock Units · Derivative | 3,875 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-006667 · doc4.xml · derivative · entry 3 Ruffo Frank · CIK 0001654450 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,750 Underlying: Common Stock · 3,875 shares Expires not disclosed 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 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis. F3 · derivative.exercise_date: The shares underlying these restricted stock units vest in four equal annual installments beginning on February 1, 2019, subject to the reporting person's continuous service with the issuer as of the applicable vesting date. F3 · derivative.expiration_date: The shares underlying these restricted stock units vest in four equal annual installments beginning on February 1, 2019, subject to the reporting person's continuous service with the issuer as of the applicable vesting date. Read SEC document |
| February 03, 2020 Filed Feb 5, 2020 00:12 UTC |
Ruffo FrankChief Financial Officer
|
Tax withholdingCommon Stock | 1,308 | $1.28 | $1,674.24 |
DisclosureSEC source: 0001209191-20-006667 · doc4.xml · nonDerivative · entry 2 Ruffo Frank · CIK 0001654450 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 169,367 F2 · kind: The transaction reported represents the withholding of shares by the issuer to satisfy the reporting person's tax withholding obligations in connection with the vesting and settlement of the restricted stock units being reported in this Form 4. Read SEC document |
| February 03, 2020 Filed Feb 5, 2020 00:12 UTC |
Ruffo FrankChief Financial Officer
|
Exercise / conversionCommon Stock | 3,875 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-20-006667 · doc4.xml · nonDerivative · entry 1 Ruffo Frank · CIK 0001654450 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 170,675 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 · price: Restricted stock units convert into common stock on a one-for-one basis. Read SEC document |
| January 07, 2020 Filed Jan 9, 2020 21:39 UTC |
MILANO VINCENTDirector
|
GrantStock Option (right to buy) · Derivative | 22,000 | $0.00 Strike: $1.85 | $0.00 |
DisclosureSEC source: 0001209191-20-002767 · doc4.xml · derivative · entry 1 MILANO VINCENT · CIK 0001187159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,000 Underlying: Common Stock · 22,000 shares Expires 2030-01-06 F1 · shares: This grant was made pursuant to the issuer's second amended and restated non-employee director compensation policy. F2 · derivative.exercise_date: The shares subject to this stock option will vest in thirty-six (36) equal monthly installments commencing on the one-month anniversary of January 7, 2020, subject to the reporting person's continuous service through each vesting date. Read SEC document |
| December 18, 2019 Filed Dec 20, 2019 21:17 UTC |
Ali-Jackson KamilChief Legal Officer
|
Exercise / conversionRestricted Stock Units · Derivative | 1,075 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-061536 · doc4.xml · derivative · entry 3 Ali-Jackson Kamil · CIK 0001654337 · Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,075 shares Expires not disclosed 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 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis. F3 · derivative.exercise_date: On December 18, 2015, the reporting person was granted 4,300 restricted stock units, vesting in four equal annual installments beginning on December 18, 2016, subject to the reporting person's continuous service with the issuer as of the applicable vesting date. F3 · derivative.expiration_date: On December 18, 2015, the reporting person was granted 4,300 restricted stock units, vesting in four equal annual installments beginning on December 18, 2016, subject to the reporting person's continuous service with the issuer as of the applicable vesting date. Read SEC document |
| December 18, 2019 Filed Dec 20, 2019 21:17 UTC |
Ali-Jackson KamilChief Legal Officer
|
Tax withholdingCommon Stock | 277 | $1.81 | $501.37 |
DisclosureSEC source: 0001209191-19-061536 · doc4.xml · nonDerivative · entry 2 Ali-Jackson Kamil · CIK 0001654337 · Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 84,246 F2 · kind: The transaction reported represents the withholding of shares by the issuer to satisfy the reporting person's tax withholding obligations in connection with the vesting and settlement of the restricted stock units being reported in this Form 4. Read SEC document |
| December 18, 2019 Filed Dec 20, 2019 21:17 UTC |
Ali-Jackson KamilChief Legal Officer
|
Exercise / conversionCommon Stock | 1,075 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-19-061536 · doc4.xml · nonDerivative · entry 1 Ali-Jackson Kamil · CIK 0001654337 · Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 84,523 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 · price: Restricted stock units convert into common stock on a one-for-one basis. Read SEC document |
| December 18, 2019 Filed Dec 20, 2019 21:19 UTC |
Walker NealDirector · President and CEO
|
Exercise / conversionRestricted Stock Units · Derivative | 2,925 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-061545 · doc4.xml · derivative · entry 3 Walker Neal · CIK 0001604457 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,925 shares Expires not disclosed 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 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis. F3 · derivative.exercise_date: On December 18, 2015, the reporting person was granted 11,700 restricted stock units, vesting in four equal annual installments beginning on December 18, 2016, subject to the reporting person's continuous service with the issuer as of the applicable vesting date. F3 · derivative.expiration_date: On December 18, 2015, the reporting person was granted 11,700 restricted stock units, vesting in four equal annual installments beginning on December 18, 2016, subject to the reporting person's continuous service with the issuer as of the applicable vesting date. Read SEC document |
| December 18, 2019 Filed Dec 20, 2019 21:19 UTC |
Walker NealDirector · President and CEO
|
Tax withholdingCommon Stock | 743 | $1.81 | $1,344.83 |
DisclosureSEC source: 0001209191-19-061545 · doc4.xml · nonDerivative · entry 2 Walker Neal · CIK 0001604457 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 921,778 F2 · kind: The transaction reported represents the withholding of shares by the issuer to satisfy the reporting person's tax withholding obligations in connection with the vesting and settlement of the restricted stock units being reported in this Form 4. Read SEC document |
| December 18, 2019 Filed Dec 20, 2019 21:19 UTC |
Walker NealDirector · President and CEO
|
Exercise / conversionCommon Stock | 2,925 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-19-061545 · doc4.xml · nonDerivative · entry 1 Walker Neal · CIK 0001604457 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 922,521 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 · price: Restricted stock units convert into common stock on a one-for-one basis. Read SEC document |
| December 18, 2019 Filed Dec 20, 2019 21:18 UTC |
Ruffo FrankChief Financial Officer
|
Exercise / conversionRestricted Stock Units · Derivative | 1,250 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-061540 · doc4.xml · derivative · entry 3 Ruffo Frank · CIK 0001654450 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,250 shares Expires not disclosed 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 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis. F3 · derivative.exercise_date: On December 18, 2015, the reporting person was granted 5,000 restricted stock units, vesting in four equal annual installments beginning on December 18, 2016, subject to the reporting person's continuous service with the issuer as of the applicable vesting date. F3 · derivative.expiration_date: On December 18, 2015, the reporting person was granted 5,000 restricted stock units, vesting in four equal annual installments beginning on December 18, 2016, subject to the reporting person's continuous service with the issuer as of the applicable vesting date. Read SEC document |
| December 18, 2019 Filed Dec 20, 2019 21:18 UTC |
Ruffo FrankChief Financial Officer
|
Tax withholdingCommon Stock | 356 | $1.81 | $644.36 |
DisclosureSEC source: 0001209191-19-061540 · doc4.xml · nonDerivative · entry 2 Ruffo Frank · CIK 0001654450 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 166,800 F2 · kind: The transaction reported represents the withholding of shares by the issuer to satisfy the reporting person's tax withholding obligations in connection with the vesting and settlement of the restricted stock units being reported in this Form 4. Read SEC document |
| December 18, 2019 Filed Dec 20, 2019 21:18 UTC |
Ruffo FrankChief Financial Officer
|
Exercise / conversionCommon Stock | 1,250 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-19-061540 · doc4.xml · nonDerivative · entry 1 Ruffo Frank · CIK 0001654450 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 167,156 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 · price: Restricted stock units convert into common stock on a one-for-one basis. Read SEC document |
| December 16, 2019 Filed Dec 18, 2019 16:00 UTC |
Ali-Jackson KamilChief Legal Officer
|
Exercise / conversionRestricted Stock Units · Derivative | 1,733 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-061067 · doc4.xml · derivative · entry 3 Ali-Jackson Kamil · CIK 0001654337 · Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,734 Underlying: Common Stock · 1,733 shares Expires not disclosed 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 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis. F3 · derivative.exercise_date: On December 15, 2016, the reporting person was granted 13,866 restricted stock units. 50% of the shares underlying these restricted stock units vested on May 7, 2018 upon the achievement of a specified commercial milestone. The other 50% of the shares underlying the restricted stock units vest in four equal annual installments beginning on December 15, 2017, subject to the reporting person's continuous service with the issuer as of the applicable vesting date. F3 · derivative.expiration_date: On December 15, 2016, the reporting person was granted 13,866 restricted stock units. 50% of the shares underlying these restricted stock units vested on May 7, 2018 upon the achievement of a specified commercial milestone. The other 50% of the shares underlying the restricted stock units vest in four equal annual installments beginning on December 15, 2017, subject to the reporting person's continuous service with the issuer as of the applicable vesting date. Read SEC document |
| December 16, 2019 Filed Dec 18, 2019 16:00 UTC |
Ali-Jackson KamilChief Legal Officer
|
Tax withholdingCommon Stock | 497 | $1.80 | $894.60 |
DisclosureSEC source: 0001209191-19-061067 · doc4.xml · nonDerivative · entry 2 Ali-Jackson Kamil · CIK 0001654337 · Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 83,448 F2 · kind: The transaction reported represents the withholding of shares by the issuer to satisfy the reporting person's tax withholding obligations in connection with the vesting and settlement of the restricted stock units being reported in this Form 4. Read SEC document |
| December 16, 2019 Filed Dec 18, 2019 16:00 UTC |
Ali-Jackson KamilChief Legal Officer
|
Exercise / conversionCommon Stock | 1,733 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-19-061067 · doc4.xml · nonDerivative · entry 1 Ali-Jackson Kamil · CIK 0001654337 · Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 83,945 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 · price: Restricted stock units convert into common stock on a one-for-one basis. Read SEC document |
| December 16, 2019 Filed Dec 18, 2019 16:04 UTC |
Walker NealDirector · President and CEO
|
Exercise / conversionRestricted Stock Units · Derivative | 3,033 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-061069 · doc4.xml · derivative · entry 3 Walker Neal · CIK 0001604457 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,034 Underlying: Common Stock · 3,033 shares Expires not disclosed 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 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis. F3 · derivative.exercise_date: On December 15, 2016, the reporting person was granted 24,266 restricted stock units. 50% of the shares underlying these restricted stock units vested on May 7, 2018 upon the achievement of a specified commercial milestone. The other 50% of the shares underlying the restricted stock units vest in four equal annual installments beginning on December 15, 2017, subject to the reporting person's continuous service with the issuer as of the applicable vesting date. F3 · derivative.expiration_date: On December 15, 2016, the reporting person was granted 24,266 restricted stock units. 50% of the shares underlying these restricted stock units vested on May 7, 2018 upon the achievement of a specified commercial milestone. The other 50% of the shares underlying the restricted stock units vest in four equal annual installments beginning on December 15, 2017, subject to the reporting person's continuous service with the issuer as of the applicable vesting date. Read SEC document |
| December 16, 2019 Filed Dec 18, 2019 16:04 UTC |
Walker NealDirector · President and CEO
|
Tax withholdingCommon Stock | 782 | $1.80 | $1,407.60 |
DisclosureSEC source: 0001209191-19-061069 · doc4.xml · nonDerivative · entry 2 Walker Neal · CIK 0001604457 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 919,596 F2 · kind: The transaction reported represents the withholding of shares by the issuer to satisfy the reporting person's tax withholding obligations in connection with the vesting and settlement of the restricted stock units being reported in this Form 4. Read SEC document |
| December 16, 2019 Filed Dec 18, 2019 16:04 UTC |
Walker NealDirector · President and CEO
|
Exercise / conversionCommon Stock | 3,033 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-19-061069 · doc4.xml · nonDerivative · entry 1 Walker Neal · CIK 0001604457 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 920,378 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 · price: Restricted stock units convert into common stock on a one-for-one basis. Read SEC document |
| December 16, 2019 Filed Dec 18, 2019 16:02 UTC |
Ruffo FrankChief Financial Officer
|
Exercise / conversionRestricted Stock Units · Derivative | 1,300 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-061068 · doc4.xml · derivative · entry 3 Ruffo Frank · CIK 0001654450 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,300 Underlying: Common Stock · 1,300 shares Expires not disclosed 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 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis. F3 · derivative.exercise_date: On December 15, 2016, the reporting person was granted 10,400 restricted stock units. 50% of the shares underlying these restricted stock units vested on May 7, 2018 upon the achievement of a specified commercial milestone. The other 50% of the shares underlying the restricted stock units vest in four equal annual installments beginning on December 15, 2017, subject to the reporting person's continuous service with the issuer as of the applicable vesting date. F3 · derivative.expiration_date: On December 15, 2016, the reporting person was granted 10,400 restricted stock units. 50% of the shares underlying these restricted stock units vested on May 7, 2018 upon the achievement of a specified commercial milestone. The other 50% of the shares underlying the restricted stock units vest in four equal annual installments beginning on December 15, 2017, subject to the reporting person's continuous service with the issuer as of the applicable vesting date. Read SEC document |
| December 16, 2019 Filed Dec 18, 2019 16:02 UTC |
Ruffo FrankChief Financial Officer
|
Tax withholdingCommon Stock | 370 | $1.80 | $666.00 |
DisclosureSEC source: 0001209191-19-061068 · doc4.xml · nonDerivative · entry 2 Ruffo Frank · CIK 0001654450 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 165,906 F2 · kind: The transaction reported represents the withholding of shares by the issuer to satisfy the reporting person's tax withholding obligations in connection with the vesting and settlement of the restricted stock units being reported in this Form 4. Read SEC document |
| December 16, 2019 Filed Dec 18, 2019 16:02 UTC |
Ruffo FrankChief Financial Officer
|
Exercise / conversionCommon Stock | 1,300 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-19-061068 · doc4.xml · nonDerivative · entry 1 Ruffo Frank · CIK 0001654450 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 166,276 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 · price: Restricted stock units convert into common stock on a one-for-one basis. Read SEC document |
| October 30, 2019 Filed Oct 31, 2019 20:18 UTC |
Gordon David N.Chief Medical Officer
|
GrantRestricted stock units · Derivative | 175,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-054623 · doc4.xml · derivative · entry 1 Gordon David N. · CIK 0001751167 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 175,000 Underlying: Common Stock · 175,000 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock of the issuer. F2 · derivative.exercise_date: The shares underlying these restricted stock units vest in two equal annual installments beginning on June 1, 2020, subject to the Reporting Person's continuous service with the issuer as of the applicable vesting date. F2 · derivative.expiration_date: The shares underlying these restricted stock units vest in two equal annual installments beginning on June 1, 2020, subject to the Reporting Person's continuous service with the issuer as of the applicable vesting date. Read SEC document |
| July 02, 2019 Filed Jul 3, 2019 20:47 UTC |
GOWEN MAXINEDirector
|
GrantStock option (right to buy) · Derivative | 16,000 | $0.00 Strike: $2.34 | $0.00 |
DisclosureSEC source: 0001209191-19-041175 · doc4.xml · derivative · entry 1 GOWEN MAXINE · CIK 0001280044 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,000 Underlying: Common Stock · 16,000 shares Expires 2029-07-01 F1 · shares: This grant was made pursuant to the issuer's amended and restated non-employee director compensation policy. F2 · derivative.exercise_date: The shares subject to this stock option will vest in thirty-six (36) equal monthly installments commencing on the one-month anniversary of July 2, 2019, subject to the reporting person's continuous service through each vesting date. Read SEC document |
| July 02, 2019 Filed Jul 3, 2019 20:44 UTC |
Gordon David N.Chief Medical Officer
|
Exercise / conversionRestricted Stock Units · Derivative | 6,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-041173 · doc4.xml · derivative · entry 3 Gordon David N. · CIK 0001751167 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,000 Underlying: Common Stock · 6,000 shares Expires not disclosed 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 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock of the issuer. F3 · derivative.exercise_date: The shares underlying these restricted stock units vest over a period of four years, with 25% vesting on the first, second, third and fourth anniversaries of the date of grant, beginning on July 2, 2019 and subject to the reporting person's continuous service with the issuer as of the applicable vesting date. F3 · derivative.expiration_date: The shares underlying these restricted stock units vest over a period of four years, with 25% vesting on the first, second, third and fourth anniversaries of the date of grant, beginning on July 2, 2019 and subject to the reporting person's continuous service with the issuer as of the applicable vesting date. Read SEC document |
| July 02, 2019 Filed Jul 3, 2019 20:44 UTC |
Gordon David N.Chief Medical Officer
|
Tax withholdingCommon Stock | 1,648 | $2.34 | $3,856.32 |
DisclosureSEC source: 0001209191-19-041173 · doc4.xml · nonDerivative · entry 2 Gordon David N. · CIK 0001751167 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,352 F2 · kind: The transaction reported represents the withholding of shares by the issuer to satisfy the reporting person's tax withholding obligations in connection with the vesting and settlement of the restricted stock units being reported in this Form 4. Read SEC document |
| July 02, 2019 Filed Jul 3, 2019 20:44 UTC |
Gordon David N.Chief Medical Officer
|
Exercise / conversionCommon Stock | 6,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-19-041173 · doc4.xml · nonDerivative · entry 1 Gordon David N. · CIK 0001751167 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,000 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 · price: Each restricted stock unit represents a contingent right to receive one share of common stock of the issuer. Read SEC document |
| June 27, 2019 Filed Jul 1, 2019 21:01 UTC |
Flynn James E10% owner
Deerfield Mgmt L.P.10% owner
DEERFIELD MANAGEMENT COMPANY, L.P.10% owner
Deerfield Special Situations Fund, L.P.Possible Member of a 10% Group
DEERFIELD PARTNERS, L.P.10% owner
|
SaleCommon Stock | 590,801 | $2.69 | $1,589,668.25 |
DisclosureSEC source: 0001193805-19-000616 · e618541_4-aclaris.xml · nonDerivative · entry 2 Flynn James E · CIK 0001352546 · 10% owner Deerfield Mgmt L.P. · CIK 0001010823 · 10% owner DEERFIELD MANAGEMENT COMPANY, L.P. (SERIES C) · CIK 0001009258 · 10% owner Deerfield Special Situations Fund, L.P. · CIK 0001354395 · Possible Member of a 10% Group DEERFIELD PARTNERS, L.P. · CIK 0001301041 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Through Deerfield Partners, L.P. Disclosed balance after: 3,159,165 F1 · price: The price reported in Column 4 represents a weighted average price. The shares were sold in multiple transactions at prices ranging from $2.50 to $2.98, inclusive. The reporting persons undertake to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F2 · ownership.nature: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Partners, L.P. ("Deerfield Partners") and Deerfield Special Situations Fund, L.P. (collectively with Deerfield Partners, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F3 · ownership.nature: In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. Read SEC document |
| June 27, 2019 Filed Jul 1, 2019 21:01 UTC |
Flynn James E10% owner
Deerfield Mgmt L.P.10% owner
DEERFIELD MANAGEMENT COMPANY, L.P.10% owner
Deerfield Special Situations Fund, L.P.Possible Member of a 10% Group
DEERFIELD PARTNERS, L.P.10% owner
|
SaleCommon Stock | 108,674 | $2.69 | $292,409.13 |
DisclosureSEC source: 0001193805-19-000616 · e618541_4-aclaris.xml · nonDerivative · entry 1 Flynn James E · CIK 0001352546 · 10% owner Deerfield Mgmt L.P. · CIK 0001010823 · 10% owner DEERFIELD MANAGEMENT COMPANY, L.P. (SERIES C) · CIK 0001009258 · 10% owner Deerfield Special Situations Fund, L.P. · CIK 0001354395 · Possible Member of a 10% Group DEERFIELD PARTNERS, L.P. · CIK 0001301041 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Through Deerfield Special Situations Fund, L.P. Disclosed balance after: 964,101 F1 · price: The price reported in Column 4 represents a weighted average price. The shares were sold in multiple transactions at prices ranging from $2.50 to $2.98, inclusive. The reporting persons undertake to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F2 · ownership.nature: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Partners, L.P. ("Deerfield Partners") and Deerfield Special Situations Fund, L.P. (collectively with Deerfield Partners, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F3 · ownership.nature: In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. Read SEC document |
| June 26, 2019 Filed Jun 26, 2019 21:52 UTC |
Flynn James E10% owner
Deerfield Mgmt L.P.10% owner
DEERFIELD MANAGEMENT COMPANY, L.P.10% owner
Deerfield Special Situations Fund, L.P.Possible Member of a 10% Group
DEERFIELD PARTNERS, L.P.10% owner
|
SaleCommon Stock | 1,352 | $4.50 | $6,086.03 |
DisclosureSEC source: 0001193805-19-000603 · e618536_4-aclaris.xml · nonDerivative · entry 2 Flynn James E · CIK 0001352546 · 10% owner Deerfield Mgmt L.P. · CIK 0001010823 · 10% owner DEERFIELD MANAGEMENT COMPANY, L.P. (SERIES C) · CIK 0001009258 · 10% owner Deerfield Special Situations Fund, L.P. · CIK 0001354395 · Possible Member of a 10% Group DEERFIELD PARTNERS, L.P. · CIK 0001301041 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Through Deerfield Partners, L.P. Disclosed balance after: 3,749,966 F1 · price: The price reported in Column 4 represents a weighted average price. The shares were sold in multiple transactions at prices ranging from $4.50 to $4.505, inclusive. The reporting persons undertake to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F2 · ownership.nature: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Partners, L.P. ("Deerfield Partners") and Deerfield Special Situations Fund, L.P. (collectively with Deerfield Partners, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F3 · ownership.nature: In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. Read SEC document |
| June 26, 2019 Filed Jun 26, 2019 21:52 UTC |
Flynn James E10% owner
Deerfield Mgmt L.P.10% owner
DEERFIELD MANAGEMENT COMPANY, L.P.10% owner
Deerfield Special Situations Fund, L.P.Possible Member of a 10% Group
DEERFIELD PARTNERS, L.P.10% owner
|
SaleCommon Stock | 352 | $4.50 | $1,584.53 |
DisclosureSEC source: 0001193805-19-000603 · e618536_4-aclaris.xml · nonDerivative · entry 1 Flynn James E · CIK 0001352546 · 10% owner Deerfield Mgmt L.P. · CIK 0001010823 · 10% owner DEERFIELD MANAGEMENT COMPANY, L.P. (SERIES C) · CIK 0001009258 · 10% owner Deerfield Special Situations Fund, L.P. · CIK 0001354395 · Possible Member of a 10% Group DEERFIELD PARTNERS, L.P. · CIK 0001301041 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Through Deerfield Special Situations Fund, L.P. Disclosed balance after: 1,072,775 F1 · price: The price reported in Column 4 represents a weighted average price. The shares were sold in multiple transactions at prices ranging from $4.50 to $4.505, inclusive. The reporting persons undertake to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F2 · ownership.nature: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Partners, L.P. ("Deerfield Partners") and Deerfield Special Situations Fund, L.P. (collectively with Deerfield Partners, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F3 · ownership.nature: In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. Read SEC document |
| June 25, 2019 Filed Jun 25, 2019 22:31 UTC |
Flynn James E10% owner
Deerfield Mgmt L.P.10% owner
DEERFIELD MANAGEMENT COMPANY, L.P.10% owner
Deerfield Special Situations Fund, L.P.Possible Member of a 10% Group
DEERFIELD PARTNERS, L.P.10% owner
|
SaleCommon Stock | 40,850 | $4.51 | $184,188.57 |
DisclosureSEC source: 0001193805-19-000599 · e618533_4-aclaris.xml · nonDerivative · entry 6 Flynn James E · CIK 0001352546 · 10% owner Deerfield Mgmt L.P. · CIK 0001010823 · 10% owner DEERFIELD MANAGEMENT COMPANY, L.P. (SERIES C) · CIK 0001009258 · 10% owner Deerfield Special Situations Fund, L.P. · CIK 0001354395 · Possible Member of a 10% Group DEERFIELD PARTNERS, L.P. · CIK 0001301041 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Through Deerfield Partners, L.P. Disclosed balance after: 3,751,318 F5 · price: The price reported in Column 4 represents a weighted average price. The shares were sold in multiple transactions at prices ranging from $4.50 to $4.58, inclusive. F2 · ownership.nature: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Partners, L.P. ("Deerfield Partners") and Deerfield Special Situations Fund, L.P. (collectively with Deerfield Partners, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F3 · ownership.nature: In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. Read SEC document |
| June 25, 2019 Filed Jun 25, 2019 22:31 UTC |
Flynn James E10% owner
Deerfield Mgmt L.P.10% owner
DEERFIELD MANAGEMENT COMPANY, L.P.10% owner
Deerfield Special Situations Fund, L.P.Possible Member of a 10% Group
DEERFIELD PARTNERS, L.P.10% owner
|
SaleCommon Stock | 10,634 | $4.51 | $47,947.64 |
DisclosureSEC source: 0001193805-19-000599 · e618533_4-aclaris.xml · nonDerivative · entry 5 Flynn James E · CIK 0001352546 · 10% owner Deerfield Mgmt L.P. · CIK 0001010823 · 10% owner DEERFIELD MANAGEMENT COMPANY, L.P. (SERIES C) · CIK 0001009258 · 10% owner Deerfield Special Situations Fund, L.P. · CIK 0001354395 · Possible Member of a 10% Group DEERFIELD PARTNERS, L.P. · CIK 0001301041 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Through Deerfield Special Situations Fund, L.P. Disclosed balance after: 1,073,127 F5 · price: The price reported in Column 4 represents a weighted average price. The shares were sold in multiple transactions at prices ranging from $4.50 to $4.58, inclusive. F2 · ownership.nature: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Partners, L.P. ("Deerfield Partners") and Deerfield Special Situations Fund, L.P. (collectively with Deerfield Partners, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F3 · ownership.nature: In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. Read SEC document |
| June 24, 2019 Filed Jun 25, 2019 22:31 UTC |
Flynn James E10% owner
Deerfield Mgmt L.P.10% owner
DEERFIELD MANAGEMENT COMPANY, L.P.10% owner
Deerfield Special Situations Fund, L.P.Possible Member of a 10% Group
DEERFIELD PARTNERS, L.P.10% owner
|
SaleCommon Stock | 50,177 | $4.52 | $226,925.48 |
DisclosureSEC source: 0001193805-19-000599 · e618533_4-aclaris.xml · nonDerivative · entry 4 Flynn James E · CIK 0001352546 · 10% owner Deerfield Mgmt L.P. · CIK 0001010823 · 10% owner DEERFIELD MANAGEMENT COMPANY, L.P. (SERIES C) · CIK 0001009258 · 10% owner Deerfield Special Situations Fund, L.P. · CIK 0001354395 · Possible Member of a 10% Group DEERFIELD PARTNERS, L.P. · CIK 0001301041 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Through Deerfield Partners, L.P. Disclosed balance after: 3,792,168 F4 · price: The price reported in Column 4 represents a weighted average price. The shares were sold in multiple transactions at prices ranging from $4.50 to $4.67, inclusive. F2 · ownership.nature: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt, L.P. is the general partner of Deerfield Partners, L.P. ("Deerfield Partners") and Deerfield Special Situations Fund, L.P. (collectively with Deerfield Partners, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. F3 · ownership.nature: In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.