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ADCT

ADC Therapeutics SA

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6502
SEC CIK
0001771910
Parsed reports
88

Last 12 months

Inside the activity.

0 purchase rows · 6 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 202602
Apr 202604
May 202600
Jun 202600
Jul 202600
Aug 202600
Sep 202600
Oct 202600

Latest available

Insider transactions

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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
June 03, 2025 Filed Jun 5, 2025 21:05 UTC
Squarer RonDirector
GrantCommon Shares 40,000 $0.00 $0.00
Disclosure

SEC source: 0001628280-25-029724 · wk-form4_1749157450.xml · nonDerivative · entry 1

Squarer Ron · CIK 0001454001 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 108,811

F1 · shares: Represents the annual grant of restricted stock units ("RSUs") made under the Issuer's 2019 Equity Incentive Plan for service as a Director. The RSUs vest one year from the grant date, subject to the Reporting Person's continued service to the Issuer. Each RSU represents a contingent right to receive one share of the Issuer's common stock.

Read SEC document
June 03, 2025 Filed Jun 5, 2025 21:13 UTC GrantStock Options (Right to Buy) · Derivative 80,000 $0.00 Strike: $3.59 $0.00
Disclosure

SEC source: 0001628280-25-029742 · wk-form4_1749157954.xml · derivative · entry 2

COUGHLIN TIMOTHY · CIK 0001376043 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 80,000

Underlying: Common Shares · 80,000 shares

Expires 2035-06-05

F2 · derivative.exercise_date: Represents a one-time initial stock option award made under the Issuer's 2019 Equity Incentive Plan. The options vest over four years from June 3, 2025, with 1/4 vesting on the first anniversary of such date, and the remainder vesting monthly in 36 equal installments, subject to continued service through each such vesting date.

Read SEC document
June 03, 2025 Filed Jun 5, 2025 21:13 UTC GrantCommon Shares 40,000 $0.00 $0.00
Disclosure

SEC source: 0001628280-25-029742 · wk-form4_1749157954.xml · nonDerivative · entry 1

COUGHLIN TIMOTHY · CIK 0001376043 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,000

F1 · shares: Represents the annual grant of restricted stock units ("RSUs") made under the Issuer's 2019 Equity Incentive Plan for service as a Director. The RSUs vest one year from the grant date, subject to the Reporting Person's continued service to the Issuer. Each RSU represents a contingent right to receive one share of the Issuer's common stock.

Read SEC document
June 03, 2025 Filed Jun 5, 2025 21:12 UTC GrantCommon Shares 40,000 $0.00 $0.00
Disclosure

SEC source: 0001628280-25-029739 · wk-form4_1749157895.xml · nonDerivative · entry 1

Sandor Victor · CIK 0001620368 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 120,886

F1 · shares: Represents the annual grant of restricted stock units ("RSUs") made under the Issuer's 2019 Equity Incentive Plan for service as a Director. The RSUs vest one year from the grant date, subject to the Reporting Person's continued service to the Issuer. Each RSU represents a contingent right to receive one share of the Issuer's common stock.

Read SEC document
June 03, 2025 Filed Jun 5, 2025 21:09 UTC GrantCommon Shares 40,000 $0.00 $0.00
Disclosure

SEC source: 0001628280-25-029735 · wk-form4_1749157731.xml · nonDerivative · entry 1

BIZZARI JEAN-PIERRE · CIK 0001630914 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 119,502

F1 · shares: Represents the annual grant of restricted stock units ("RSUs") made under the Issuer's 2019 Equity Incentive Plan for service as a Director. The RSUs vest one year from the grant date, subject to the Reporting Person's continued service to the Issuer. Each RSU represents a contingent right to receive one share of the Issuer's common stock.

Read SEC document
June 03, 2025 Filed Jun 5, 2025 21:10 UTC GrantCommon Shares 40,000 $0.00 $0.00
Disclosure

SEC source: 0001628280-25-029736 · wk-form4_1749157790.xml · nonDerivative · entry 1

Azelby Robert · CIK 0001656998 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 93,005

F1 · shares: Represents the annual grant of restricted stock units ("RSUs") made under the Issuer's 2019 Equity Incentive Plan for service as a Director. The RSUs vest one year from the grant date, subject to the Reporting Person's continued service to the Issuer. Each RSU represents a contingent right to receive one share of the Issuer's common stock.

Read SEC document
June 03, 2025 Filed Jun 5, 2025 21:07 UTC GrantCommon Shares 40,000 $0.00 $0.00
Disclosure

SEC source: 0001628280-25-029729 · wk-form4_1749157579.xml · nonDerivative · entry 1

Monges Viviane · CIK 0001838204 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 146,627

F1 · shares: Represents the annual grant of restricted stock units ("RSUs") made under the Issuer's 2019 Equity Incentive Plan for service as a Director. The RSUs vest one year from the grant date, subject to the Reporting Person's continued service to the Issuer. Each RSU represents a contingent right to receive one share of the Issuer's common stock.

Read SEC document
May 15, 2025 Filed May 19, 2025 15:52 UTC OtherCommon Shares 9,788,944 Not disclosed Not disclosed
Disclosure

SEC source: 0001731122-25-000779 · ownership.xml · nonDerivative · entry 1

WILD HANS PETER · CIK 0000905538 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,788,944

F1 · kind: Dr. Hans-Peter Wild ("Dr. Wild") holds a portion of the shares directly and another portion indirectly via HP Wild Holding AG ("HPW Holding") and HPWH TH AG ("HPWH"). The principal business of HPWH is holding investment rights in, directly or indirectly, ADCT. HPW Holding is an intermediary holding company and Dr. Wild is the Chairman of HPW Holding and HPWH. Thomas Pfisterer was a member of the Board of HPWH and held a total of 451,856 shares directly or indirectly in HPWH, but has transferred such ownership by way of an intragroup sale following Thomas Pfisterer stepping down from the Board of HPWH.

F1 · price: Dr. Hans-Peter Wild ("Dr. Wild") holds a portion of the shares directly and another portion indirectly via HP Wild Holding AG ("HPW Holding") and HPWH TH AG ("HPWH"). The principal business of HPWH is holding investment rights in, directly or indirectly, ADCT. HPW Holding is an intermediary holding company and Dr. Wild is the Chairman of HPW Holding and HPWH. Thomas Pfisterer was a member of the Board of HPWH and held a total of 451,856 shares directly or indirectly in HPWH, but has transferred such ownership by way of an intragroup sale following Thomas Pfisterer stepping down from the Board of HPWH.

Read SEC document
May 15, 2025 Filed May 19, 2025 19:35 UTC
Pfisterer ThomasSee Explanations
OtherCommon Shares 451,856 Not disclosed Not disclosed
Disclosure

SEC source: 0001731122-25-000777 · ownership.xml · nonDerivative · entry 1

Pfisterer Thomas · CIK 0001824238 · See Explanations

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 173,899

F1 · kind: In addition to the 173,899 shares still owned by Thomas Pfisterer, he previously held 451,856 shares directly or indirectly via HPWH MH AG ("MH") and HPWH TH AG ("HPWH") but following stepping down from the Board of Directors of MH and HPWH transferred ownership by way of an intragroup sale to Dr. Hans-Peter Wild.

F1 · price: In addition to the 173,899 shares still owned by Thomas Pfisterer, he previously held 451,856 shares directly or indirectly via HPWH MH AG ("MH") and HPWH TH AG ("HPWH") but following stepping down from the Board of Directors of MH and HPWH transferred ownership by way of an intragroup sale to Dr. Hans-Peter Wild.

F1 · acquired: In addition to the 173,899 shares still owned by Thomas Pfisterer, he previously held 451,856 shares directly or indirectly via HPWH MH AG ("MH") and HPWH TH AG ("HPWH") but following stepping down from the Board of Directors of MH and HPWH transferred ownership by way of an intragroup sale to Dr. Hans-Peter Wild.

Read SEC document
May 06, 2025 Filed May 9, 2025 01:14 UTC
MALLIK AMEETDirector · Chief Executive Officer
Tax withholdingCommon Shares 26,758 $1.29 $34,517.82
Disclosure

SEC source: 0001628280-25-024021 · wk-form4_1746753278.xml · nonDerivative · entry 1

MALLIK AMEET · CIK 0001861441 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,552,247

F1 · kind: Represents the number of Common Shares withheld by the Issuer to satisfy the Reporting Person's tax withholding obligations in connection with the vesting of restricted share units previously granted.

Read SEC document
February 13, 2025 Filed Feb 14, 2025 23:22 UTC
Zaki MohamedChief Medical Officer
GrantCommon Shares 230,000 $1.61 $370,300.00
Disclosure

SEC source: 0001628280-25-005862 · wk-form4_1739575362.xml · nonDerivative · entry 1

Zaki Mohamed · CIK 0002000697 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 462,888

F1 · shares: Represents Common Shares to be delivered in settlement of a restricted share unit award which vests one-third on the first anniversary of the grant date, which grant date is February 13, 2025, and then one-third on each anniversary date thereafter, upon continued service through the designated vesting event.

Read SEC document
February 13, 2025 Filed Feb 14, 2025 18:22 UTC
Kallebo Lisa MichelleChief Accounting Officer
GrantCommon Shares 41,900 $1.61 $67,459.00
Disclosure

SEC source: 0001628280-25-005861 · wk-form4_1739575330.xml · nonDerivative · entry 1

Kallebo Lisa Michelle · CIK 0002000724 · Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 77,897

F1 · shares: Represents Common Shares to be delivered in settlement of a restricted share unit award which vests one-third on the first anniversary of the grant date, which grant date is February 13, 2025, and then one-third on each anniversary date thereafter, upon continued service through the designated vesting event.

Read SEC document
February 13, 2025 Filed Feb 14, 2025 23:20 UTC
MALLIK AMEETDirector · Chief Executive Officer
GrantCommon Shares 650,000 $1.61 $1,046,500.00
Disclosure

SEC source: 0001628280-25-005859 · wk-form4_1739575251.xml · nonDerivative · entry 1

MALLIK AMEET · CIK 0001861441 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,579,005

F1 · shares: Represents Common Shares to be delivered in settlement of a restricted share unit award which vests one-third on the first anniversary of the grant date, which grant date is February 13, 2025, and then one-third on each anniversary date thereafter, upon continued service through the designated vesting event.

Read SEC document
February 13, 2025 Filed Feb 14, 2025 23:21 UTC
Carmona JoseChief Financial Officer
GrantCommon Shares 240,000 $1.61 $386,400.00
Disclosure

SEC source: 0001628280-25-005860 · wk-form4_1739575294.xml · nonDerivative · entry 1

Carmona Jose · CIK 0001693612 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 541,892

F1 · shares: Represents Common Shares to be delivered in settlement of a restricted share unit award which vests one-third on the first anniversary of the grant date, which grant date is February 13, 2025, and then one-third on each anniversary date thereafter, upon continued service through the designated vesting event.

Read SEC document
February 13, 2025 Filed Feb 14, 2025 23:23 UTC
GRAHAM PETER JChief Legal Officer
GrantCommon Shares 220,000 $1.61 $354,200.00
Disclosure

SEC source: 0001628280-25-005863 · wk-form4_1739575395.xml · nonDerivative · entry 1

GRAHAM PETER J · CIK 0001235635 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 408,542

F1 · shares: Represents Common Shares to be delivered in settlement of a restricted share unit award which vests one-third on the first anniversary of the grant date, which grant date is February 13, 2025, and then one-third on each anniversary date thereafter, upon continued service through the designated vesting event.

Read SEC document
December 11, 2024 Filed Dec 14, 2024 02:00 UTC
Green Jeremy10% owner
PurchaseCommon Shares, par value CHF 0.08 per share 50,000 $3.81 $190,500.00
Disclosure

SEC source: 0001104659-24-128575 · tm2431001-1_4seq1.xml · nonDerivative · entry 4

Redmile Group, LLC · CIK 0001425738 · 10% owner

Green Jeremy · CIK 0001650527 · 10% owner

RedCo II Master Fund, L.P. · CIK 0001921783 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 13,145,712

F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.64 to $3.9, inclusive. The Reporting Persons undertake to provide upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer full information regarding the number of shares purchased at each separate price.

F4 · ownership.direct: Redmile may be deemed to beneficially own the reported securities as the investment manager of the Redmile Clients. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Redmile and Mr. Green (collectively with RedCo II, the "Reporting Persons") disclaim beneficial ownership of the reported securities except to the extent of its and his respective pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F5 · ownership.direct: These securities are directly owned by RedCo II and this transaction is a repetition of the same transaction disclosed in the row above to disclose this fund's direct ownership.

Read SEC document
December 11, 2024 Filed Dec 14, 2024 02:00 UTC
Green Jeremy10% owner
PurchaseCommon Shares, par value CHF 0.08 per share 50,000 $2.28 $114,000.00
Disclosure

SEC source: 0001104659-24-128575 · tm2431001-1_4seq1.xml · nonDerivative · entry 3

Redmile Group, LLC · CIK 0001425738 · 10% owner

Green Jeremy · CIK 0001650527 · 10% owner

RedCo II Master Fund, L.P. · CIK 0001921783 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 13,095,712

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.165 to $2.4, inclusive. The Reporting Persons undertake to provide upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer full information regarding the number of shares purchased at each separate price.

F4 · ownership.direct: Redmile may be deemed to beneficially own the reported securities as the investment manager of the Redmile Clients. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Redmile and Mr. Green (collectively with RedCo II, the "Reporting Persons") disclaim beneficial ownership of the reported securities except to the extent of its and his respective pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F5 · ownership.direct: These securities are directly owned by RedCo II and this transaction is a repetition of the same transaction disclosed in the row above to disclose this fund's direct ownership.

Read SEC document
December 11, 2024 Filed Dec 14, 2024 02:00 UTC
Green Jeremy10% owner
PurchaseCommon Shares, par value CHF 0.08 per share 50,000 $3.81 $190,500.00
Disclosure

SEC source: 0001104659-24-128575 · tm2431001-1_4seq1.xml · nonDerivative · entry 2

Redmile Group, LLC · CIK 0001425738 · 10% owner

Green Jeremy · CIK 0001650527 · 10% owner

RedCo II Master Fund, L.P. · CIK 0001921783 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 15,666,731

F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.64 to $3.9, inclusive. The Reporting Persons undertake to provide upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer full information regarding the number of shares purchased at each separate price.

F3 · ownership.nature: These reported securities are directly owned by private investment vehicles managed by Redmile Group, LLC ("Redmile"), including RedCo II Master Fund, L.P. (collectively, the "Redmile Clients").

F4 · ownership.nature: Redmile may be deemed to beneficially own the reported securities as the investment manager of the Redmile Clients. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Redmile and Mr. Green (collectively with RedCo II, the "Reporting Persons") disclaim beneficial ownership of the reported securities except to the extent of its and his respective pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
December 11, 2024 Filed Dec 14, 2024 02:00 UTC
Green Jeremy10% owner
PurchaseCommon Shares, par value CHF 0.08 per share 50,000 $2.28 $114,000.00
Disclosure

SEC source: 0001104659-24-128575 · tm2431001-1_4seq1.xml · nonDerivative · entry 1

Redmile Group, LLC · CIK 0001425738 · 10% owner

Green Jeremy · CIK 0001650527 · 10% owner

RedCo II Master Fund, L.P. · CIK 0001921783 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 15,616,731

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.165 to $2.4, inclusive. The Reporting Persons undertake to provide upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer full information regarding the number of shares purchased at each separate price.

F3 · ownership.nature: These reported securities are directly owned by private investment vehicles managed by Redmile Group, LLC ("Redmile"), including RedCo II Master Fund, L.P. (collectively, the "Redmile Clients").

F4 · ownership.nature: Redmile may be deemed to beneficially own the reported securities as the investment manager of the Redmile Clients. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Redmile and Mr. Green (collectively with RedCo II, the "Reporting Persons") disclaim beneficial ownership of the reported securities except to the extent of its and his respective pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
December 06, 2024 Filed Dec 10, 2024 01:42 UTC
Zaki MohamedChief Medical Officer
Tax withholdingCommon Shares 37,112 $3.13 $116,160.56
Disclosure

SEC source: 0001628280-24-050543 · wk-form4_1733794961.xml · nonDerivative · entry 1

Zaki Mohamed · CIK 0002000697 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 232,888

F1 · kind: Represents the number of Common Shares withheld by the Issuer to satisfy the Reporting Person's tax withholding obligations in connection with the vesting of restricted share units previously granted.

F1 · acquired: Represents the number of Common Shares withheld by the Issuer to satisfy the Reporting Person's tax withholding obligations in connection with the vesting of restricted share units previously granted.

Read SEC document
December 06, 2024 Filed Dec 9, 2024 20:39 UTC
Kallebo Lisa MichelleChief Accounting Officer
Tax withholdingCommon Shares 6,503 $3.13 $20,354.39
Disclosure

SEC source: 0001628280-24-050542 · wk-form4_1733794766.xml · nonDerivative · entry 1

Kallebo Lisa Michelle · CIK 0002000724 · Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,997

F1 · kind: Represents the number of Common Shares withheld by the Issuer to satisfy the Reporting Person's tax withholding obligations in connection with the vesting of restricted share units previously granted.

F1 · acquired: Represents the number of Common Shares withheld by the Issuer to satisfy the Reporting Person's tax withholding obligations in connection with the vesting of restricted share units previously granted.

Read SEC document
December 06, 2024 Filed Dec 10, 2024 01:30 UTC
MALLIK AMEETDirector · Chief Executive Officer
Tax withholdingCommon Shares 238,343 $3.13 $746,013.59
Disclosure

SEC source: 0001628280-24-050539 · wk-form4_1733794216.xml · nonDerivative · entry 1

MALLIK AMEET · CIK 0001861441 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 929,005

F1 · kind: Represents the number of Common Shares withheld by the Issuer to satisfy the Reporting Person's tax withholding obligations in connection with the vesting of restricted share units previously granted.

F1 · acquired: Represents the number of Common Shares withheld by the Issuer to satisfy the Reporting Person's tax withholding obligations in connection with the vesting of restricted share units previously granted.

Read SEC document
December 06, 2024 Filed Dec 10, 2024 01:37 UTC
Carmona JoseChief Financial Officer
Tax withholdingCommon Shares 48,108 $3.13 $150,578.04
Disclosure

SEC source: 0001628280-24-050541 · wk-form4_1733794651.xml · nonDerivative · entry 1

Carmona Jose · CIK 0001693612 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 301,892

F1 · kind: Represents the number of Common Shares withheld by the Issuer to satisfy the Reporting Person's tax withholding obligations in connection with the vesting of restricted share units previously granted.

F1 · acquired: Represents the number of Common Shares withheld by the Issuer to satisfy the Reporting Person's tax withholding obligations in connection with the vesting of restricted share units previously granted.

Read SEC document
December 06, 2024 Filed Dec 10, 2024 01:35 UTC
GRAHAM PETER JChief Legal Officer
Tax withholdingCommon Shares 41,458 $3.13 $129,763.54
Disclosure

SEC source: 0001628280-24-050540 · wk-form4_1733794514.xml · nonDerivative · entry 1

GRAHAM PETER J · CIK 0001235635 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 188,542

F1 · kind: Represents the number of Common Shares withheld by the Issuer to satisfy the Reporting Person's tax withholding obligations in connection with the vesting of restricted share units previously granted.

F1 · acquired: Represents the number of Common Shares withheld by the Issuer to satisfy the Reporting Person's tax withholding obligations in connection with the vesting of restricted share units previously granted.

Read SEC document
December 04, 2024 Filed Dec 7, 2024 02:00 UTC
Green Jeremy10% owner
OtherPre-Funded Warrants · Derivative 26,656 $2.07 $55,177.92
Disclosure

SEC source: 0001104659-24-126422 · tm2430300-1_4seq1.xml · derivative · entry 7

Redmile Group, LLC · CIK 0001425738 · 10% owner

Green Jeremy · CIK 0001650527 · 10% owner

RedCo II Master Fund, L.P. · CIK 0001921783 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,133,837

Underlying: Common Shares · 26,656 shares

Expires not disclosed

F6 · derivative.exercise_price: The exercise price of the Pre-Funded Warrants is CHF 0.08 per Pre-Funded Warrant Share. Based on the December 4, 2024 exchange rate of $1.13 USD to CHF 1.00, the exercise price of the Pre-Funded Warrants in US Dollars as of December 4, 2024 is approximately $0.09.

F1 · kind: On December 4, 2024, certain private investment vehicles managed by Redmile Group, LLC ("Redmile"), including RedCo II Master Fund, L.P. ("RedCo II" and collectively with the other private investment vehicles managed by Redmile, the "Redmile Clients"), engaged in cross trades with respect to 50,672 Common Shares and 26,656 pre-funded warrants to purchase Common Shares (the "Pre-Funded Warrants"). A Redmile Client also sold an additional 25,352 Common Shares concurrently with the cross trades at the same price. The reported transactions occurred simultaneously, at which time the price per share of the Common Shares was $2.07 (or $1.98 for the Pre-Funded Warrants, which excludes the exercise price, see footnote 6 below), and therefore the reported transactions resulted in no profit to Redmile or Jeremy Green and the cross trades resulted in no change in either of their aggregate beneficial ownership.

F1 · price: On December 4, 2024, certain private investment vehicles managed by Redmile Group, LLC ("Redmile"), including RedCo II Master Fund, L.P. ("RedCo II" and collectively with the other private investment vehicles managed by Redmile, the "Redmile Clients"), engaged in cross trades with respect to 50,672 Common Shares and 26,656 pre-funded warrants to purchase Common Shares (the "Pre-Funded Warrants"). A Redmile Client also sold an additional 25,352 Common Shares concurrently with the cross trades at the same price. The reported transactions occurred simultaneously, at which time the price per share of the Common Shares was $2.07 (or $1.98 for the Pre-Funded Warrants, which excludes the exercise price, see footnote 6 below), and therefore the reported transactions resulted in no profit to Redmile or Jeremy Green and the cross trades resulted in no change in either of their aggregate beneficial ownership.

F7 · derivative.expiration_date: The Pre-Funded Warrants are exercisable by the holder at any time after their original issuance until the tenth anniversary of their original issuance, subject to a 9.99% beneficial ownership blocker. At any time during the last 90 days of the term of the Pre-Funded Warrants, the holder thereof may exchange a Pre Funded Warrant with the Issuer for a new Pre-Funded Warrant to purchase the number of Pre-Funded Warrant Shares then remaining under such Pre-Funded Warrant, with a subsequent ten-year exercise period.

F4 · ownership.direct: Redmile may be deemed to beneficially own the reported securities as the investment manager of the Redmile Clients. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Redmile and Mr. Green (collectively with RedCo II, the "Reporting Persons") disclaim beneficial ownership of the reported securities except to the extent of its and his respective pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F5 · ownership.direct: These securities are directly owned by RedCo II and this transaction is a repetition of the same transaction disclosed in the row immediately above to disclose this fund's direct ownership.

Read SEC document
December 04, 2024 Filed Dec 7, 2024 02:00 UTC
Green Jeremy10% owner
OtherPre-Funded Warrants · Derivative 26,656 $2.07 $55,177.92
Disclosure

SEC source: 0001104659-24-126422 · tm2430300-1_4seq1.xml · derivative · entry 6

Redmile Group, LLC · CIK 0001425738 · 10% owner

Green Jeremy · CIK 0001650527 · 10% owner

RedCo II Master Fund, L.P. · CIK 0001921783 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 8,163,265

Underlying: Common Shares · 26,656 shares

Expires not disclosed

F6 · derivative.exercise_price: The exercise price of the Pre-Funded Warrants is CHF 0.08 per Pre-Funded Warrant Share. Based on the December 4, 2024 exchange rate of $1.13 USD to CHF 1.00, the exercise price of the Pre-Funded Warrants in US Dollars as of December 4, 2024 is approximately $0.09.

F1 · kind: On December 4, 2024, certain private investment vehicles managed by Redmile Group, LLC ("Redmile"), including RedCo II Master Fund, L.P. ("RedCo II" and collectively with the other private investment vehicles managed by Redmile, the "Redmile Clients"), engaged in cross trades with respect to 50,672 Common Shares and 26,656 pre-funded warrants to purchase Common Shares (the "Pre-Funded Warrants"). A Redmile Client also sold an additional 25,352 Common Shares concurrently with the cross trades at the same price. The reported transactions occurred simultaneously, at which time the price per share of the Common Shares was $2.07 (or $1.98 for the Pre-Funded Warrants, which excludes the exercise price, see footnote 6 below), and therefore the reported transactions resulted in no profit to Redmile or Jeremy Green and the cross trades resulted in no change in either of their aggregate beneficial ownership.

F1 · price: On December 4, 2024, certain private investment vehicles managed by Redmile Group, LLC ("Redmile"), including RedCo II Master Fund, L.P. ("RedCo II" and collectively with the other private investment vehicles managed by Redmile, the "Redmile Clients"), engaged in cross trades with respect to 50,672 Common Shares and 26,656 pre-funded warrants to purchase Common Shares (the "Pre-Funded Warrants"). A Redmile Client also sold an additional 25,352 Common Shares concurrently with the cross trades at the same price. The reported transactions occurred simultaneously, at which time the price per share of the Common Shares was $2.07 (or $1.98 for the Pre-Funded Warrants, which excludes the exercise price, see footnote 6 below), and therefore the reported transactions resulted in no profit to Redmile or Jeremy Green and the cross trades resulted in no change in either of their aggregate beneficial ownership.

F7 · derivative.expiration_date: The Pre-Funded Warrants are exercisable by the holder at any time after their original issuance until the tenth anniversary of their original issuance, subject to a 9.99% beneficial ownership blocker. At any time during the last 90 days of the term of the Pre-Funded Warrants, the holder thereof may exchange a Pre Funded Warrant with the Issuer for a new Pre-Funded Warrant to purchase the number of Pre-Funded Warrant Shares then remaining under such Pre-Funded Warrant, with a subsequent ten-year exercise period.

F3 · ownership.nature: These reported securities are directly owned by the Redmile Clients.

F4 · ownership.nature: Redmile may be deemed to beneficially own the reported securities as the investment manager of the Redmile Clients. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Redmile and Mr. Green (collectively with RedCo II, the "Reporting Persons") disclaim beneficial ownership of the reported securities except to the extent of its and his respective pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
December 04, 2024 Filed Dec 7, 2024 02:00 UTC
Green Jeremy10% owner
OtherPre-Funded Warrants · Derivative 26,656 $2.07 $55,177.92
Disclosure

SEC source: 0001104659-24-126422 · tm2430300-1_4seq1.xml · derivative · entry 5

Redmile Group, LLC · CIK 0001425738 · 10% owner

Green Jeremy · CIK 0001650527 · 10% owner

RedCo II Master Fund, L.P. · CIK 0001921783 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 8,136,609

Underlying: Common Shares · 26,656 shares

Expires not disclosed

F6 · derivative.exercise_price: The exercise price of the Pre-Funded Warrants is CHF 0.08 per Pre-Funded Warrant Share. Based on the December 4, 2024 exchange rate of $1.13 USD to CHF 1.00, the exercise price of the Pre-Funded Warrants in US Dollars as of December 4, 2024 is approximately $0.09.

F1 · kind: On December 4, 2024, certain private investment vehicles managed by Redmile Group, LLC ("Redmile"), including RedCo II Master Fund, L.P. ("RedCo II" and collectively with the other private investment vehicles managed by Redmile, the "Redmile Clients"), engaged in cross trades with respect to 50,672 Common Shares and 26,656 pre-funded warrants to purchase Common Shares (the "Pre-Funded Warrants"). A Redmile Client also sold an additional 25,352 Common Shares concurrently with the cross trades at the same price. The reported transactions occurred simultaneously, at which time the price per share of the Common Shares was $2.07 (or $1.98 for the Pre-Funded Warrants, which excludes the exercise price, see footnote 6 below), and therefore the reported transactions resulted in no profit to Redmile or Jeremy Green and the cross trades resulted in no change in either of their aggregate beneficial ownership.

F1 · price: On December 4, 2024, certain private investment vehicles managed by Redmile Group, LLC ("Redmile"), including RedCo II Master Fund, L.P. ("RedCo II" and collectively with the other private investment vehicles managed by Redmile, the "Redmile Clients"), engaged in cross trades with respect to 50,672 Common Shares and 26,656 pre-funded warrants to purchase Common Shares (the "Pre-Funded Warrants"). A Redmile Client also sold an additional 25,352 Common Shares concurrently with the cross trades at the same price. The reported transactions occurred simultaneously, at which time the price per share of the Common Shares was $2.07 (or $1.98 for the Pre-Funded Warrants, which excludes the exercise price, see footnote 6 below), and therefore the reported transactions resulted in no profit to Redmile or Jeremy Green and the cross trades resulted in no change in either of their aggregate beneficial ownership.

F7 · derivative.expiration_date: The Pre-Funded Warrants are exercisable by the holder at any time after their original issuance until the tenth anniversary of their original issuance, subject to a 9.99% beneficial ownership blocker. At any time during the last 90 days of the term of the Pre-Funded Warrants, the holder thereof may exchange a Pre Funded Warrant with the Issuer for a new Pre-Funded Warrant to purchase the number of Pre-Funded Warrant Shares then remaining under such Pre-Funded Warrant, with a subsequent ten-year exercise period.

F3 · ownership.nature: These reported securities are directly owned by the Redmile Clients.

F4 · ownership.nature: Redmile may be deemed to beneficially own the reported securities as the investment manager of the Redmile Clients. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Redmile and Mr. Green (collectively with RedCo II, the "Reporting Persons") disclaim beneficial ownership of the reported securities except to the extent of its and his respective pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
December 04, 2024 Filed Dec 7, 2024 02:00 UTC
Green Jeremy10% owner
OtherCommon Shares, par value CHF 0.08 per share 50,672 $2.07 $104,891.04
Disclosure

SEC source: 0001104659-24-126422 · tm2430300-1_4seq1.xml · nonDerivative · entry 4

Redmile Group, LLC · CIK 0001425738 · 10% owner

Green Jeremy · CIK 0001650527 · 10% owner

RedCo II Master Fund, L.P. · CIK 0001921783 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 13,045,712

F1 · kind: On December 4, 2024, certain private investment vehicles managed by Redmile Group, LLC ("Redmile"), including RedCo II Master Fund, L.P. ("RedCo II" and collectively with the other private investment vehicles managed by Redmile, the "Redmile Clients"), engaged in cross trades with respect to 50,672 Common Shares and 26,656 pre-funded warrants to purchase Common Shares (the "Pre-Funded Warrants"). A Redmile Client also sold an additional 25,352 Common Shares concurrently with the cross trades at the same price. The reported transactions occurred simultaneously, at which time the price per share of the Common Shares was $2.07 (or $1.98 for the Pre-Funded Warrants, which excludes the exercise price, see footnote 6 below), and therefore the reported transactions resulted in no profit to Redmile or Jeremy Green and the cross trades resulted in no change in either of their aggregate beneficial ownership.

F4 · ownership.direct: Redmile may be deemed to beneficially own the reported securities as the investment manager of the Redmile Clients. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Redmile and Mr. Green (collectively with RedCo II, the "Reporting Persons") disclaim beneficial ownership of the reported securities except to the extent of its and his respective pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F5 · ownership.direct: These securities are directly owned by RedCo II and this transaction is a repetition of the same transaction disclosed in the row immediately above to disclose this fund's direct ownership.

Read SEC document
December 04, 2024 Filed Dec 7, 2024 02:00 UTC
Green Jeremy10% owner
OtherCommon Shares, par value CHF 0.08 per share 50,672 $2.07 $104,891.04
Disclosure

SEC source: 0001104659-24-126422 · tm2430300-1_4seq1.xml · nonDerivative · entry 3

Redmile Group, LLC · CIK 0001425738 · 10% owner

Green Jeremy · CIK 0001650527 · 10% owner

RedCo II Master Fund, L.P. · CIK 0001921783 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 15,566,731

F1 · kind: On December 4, 2024, certain private investment vehicles managed by Redmile Group, LLC ("Redmile"), including RedCo II Master Fund, L.P. ("RedCo II" and collectively with the other private investment vehicles managed by Redmile, the "Redmile Clients"), engaged in cross trades with respect to 50,672 Common Shares and 26,656 pre-funded warrants to purchase Common Shares (the "Pre-Funded Warrants"). A Redmile Client also sold an additional 25,352 Common Shares concurrently with the cross trades at the same price. The reported transactions occurred simultaneously, at which time the price per share of the Common Shares was $2.07 (or $1.98 for the Pre-Funded Warrants, which excludes the exercise price, see footnote 6 below), and therefore the reported transactions resulted in no profit to Redmile or Jeremy Green and the cross trades resulted in no change in either of their aggregate beneficial ownership.

F3 · ownership.nature: These reported securities are directly owned by the Redmile Clients.

F4 · ownership.nature: Redmile may be deemed to beneficially own the reported securities as the investment manager of the Redmile Clients. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Redmile and Mr. Green (collectively with RedCo II, the "Reporting Persons") disclaim beneficial ownership of the reported securities except to the extent of its and his respective pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
December 04, 2024 Filed Dec 7, 2024 02:00 UTC
Green Jeremy10% owner
OtherCommon Shares, par value CHF 0.08 per share 50,672 $2.07 $104,891.04
Disclosure

SEC source: 0001104659-24-126422 · tm2430300-1_4seq1.xml · nonDerivative · entry 2

Redmile Group, LLC · CIK 0001425738 · 10% owner

Green Jeremy · CIK 0001650527 · 10% owner

RedCo II Master Fund, L.P. · CIK 0001921783 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 15,516,059

F1 · kind: On December 4, 2024, certain private investment vehicles managed by Redmile Group, LLC ("Redmile"), including RedCo II Master Fund, L.P. ("RedCo II" and collectively with the other private investment vehicles managed by Redmile, the "Redmile Clients"), engaged in cross trades with respect to 50,672 Common Shares and 26,656 pre-funded warrants to purchase Common Shares (the "Pre-Funded Warrants"). A Redmile Client also sold an additional 25,352 Common Shares concurrently with the cross trades at the same price. The reported transactions occurred simultaneously, at which time the price per share of the Common Shares was $2.07 (or $1.98 for the Pre-Funded Warrants, which excludes the exercise price, see footnote 6 below), and therefore the reported transactions resulted in no profit to Redmile or Jeremy Green and the cross trades resulted in no change in either of their aggregate beneficial ownership.

F3 · ownership.nature: These reported securities are directly owned by the Redmile Clients.

F4 · ownership.nature: Redmile may be deemed to beneficially own the reported securities as the investment manager of the Redmile Clients. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Redmile and Mr. Green (collectively with RedCo II, the "Reporting Persons") disclaim beneficial ownership of the reported securities except to the extent of its and his respective pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
December 04, 2024 Filed Dec 7, 2024 02:00 UTC
Green Jeremy10% owner
SaleCommon Shares, par value CHF 0.08 per share 25,352 $2.07 $52,478.64
Disclosure

SEC source: 0001104659-24-126422 · tm2430300-1_4seq1.xml · nonDerivative · entry 1

Redmile Group, LLC · CIK 0001425738 · 10% owner

Green Jeremy · CIK 0001650527 · 10% owner

RedCo II Master Fund, L.P. · CIK 0001921783 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 15,566,731

F1 · kind: On December 4, 2024, certain private investment vehicles managed by Redmile Group, LLC ("Redmile"), including RedCo II Master Fund, L.P. ("RedCo II" and collectively with the other private investment vehicles managed by Redmile, the "Redmile Clients"), engaged in cross trades with respect to 50,672 Common Shares and 26,656 pre-funded warrants to purchase Common Shares (the "Pre-Funded Warrants"). A Redmile Client also sold an additional 25,352 Common Shares concurrently with the cross trades at the same price. The reported transactions occurred simultaneously, at which time the price per share of the Common Shares was $2.07 (or $1.98 for the Pre-Funded Warrants, which excludes the exercise price, see footnote 6 below), and therefore the reported transactions resulted in no profit to Redmile or Jeremy Green and the cross trades resulted in no change in either of their aggregate beneficial ownership.

F2 · balance_after: Since the last Form 4 filing by Redmile and Mr. Green, Redmile has ceased serving as the investment adviser to a sub-advised account that held 77,134 shares of the Issuer's Common Shares (such shares, the "Account Shares") and therefore no longer has voting or dispositive power with respect to such shares. Accordingly, the amount of shares beneficially owned by Redmile and Mr. Green as disclosed herein does not include the Account Shares and each of Redmile and Mr. Green disclaims beneficial ownership of the Account Shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F3 · ownership.nature: These reported securities are directly owned by the Redmile Clients.

F4 · ownership.nature: Redmile may be deemed to beneficially own the reported securities as the investment manager of the Redmile Clients. The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Redmile and Mr. Green (collectively with RedCo II, the "Reporting Persons") disclaim beneficial ownership of the reported securities except to the extent of its and his respective pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
July 01, 2024 Filed Jul 4, 2024 00:00 UTC
Green Jeremy10% owner
PurchaseCommon Shares, par value CHF 0.08 per share 400,000 $2.81 $1,124,000.00
Disclosure

SEC source: 0001104659-24-077865 · tm2418671-3_4seq1.xml · nonDerivative · entry 2

Redmile Group, LLC · CIK 0001425738 · 10% owner

Green Jeremy · CIK 0001650527 · 10% owner

RedCo II Master Fund, L.P. · CIK 0001921783 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,995,040

F2 · ownership.direct: The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Redmile and Mr. Green (collectively with RedCo II, the "Reporting Persons") disclaim beneficial ownership of the reported securities except to the extent of its and his respective pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F3 · ownership.direct: These securities are directly owned by RedCo II and this transaction is a repetition of the same transaction disclosed above in the first row to disclose this fund's direct ownership.

Read SEC document
July 01, 2024 Filed Jul 4, 2024 00:00 UTC
Green Jeremy10% owner
PurchaseCommon Shares, par value CHF 0.08 per share 400,000 $2.81 $1,124,000.00
Disclosure

SEC source: 0001104659-24-077865 · tm2418671-3_4seq1.xml · nonDerivative · entry 1

Redmile Group, LLC · CIK 0001425738 · 10% owner

Green Jeremy · CIK 0001650527 · 10% owner

RedCo II Master Fund, L.P. · CIK 0001921783 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 15,669,217

F1 · ownership.nature: These securities are directly owned by certain private investment vehicles and sub-advised accounts managed by Redmile Group, LLC ("Redmile"), including RedCo II Master Fund, L.P. ("RedCo II" and collectively with the other private investment vehicles and sub-advised accounts managed by Redmile, the "Redmile Clients"). Redmile may be deemed to beneficially own the reported securities as investment manager of the Redmile Clients.

F2 · ownership.nature: The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Redmile and Mr. Green (collectively with RedCo II, the "Reporting Persons") disclaim beneficial ownership of the reported securities except to the extent of its and his respective pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
June 17, 2024 Filed Jun 18, 2024 21:41 UTC
Hug PeterDirector
SaleCommon Shares 1,193 $2.89 $3,447.77
Disclosure

SEC source: 0001628280-24-028991 · wk-form4_1718761304.xml · nonDerivative · entry 1

Hug Peter · CIK 0002000702 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 182,644

F1 · kind: Represents Common Shares sold by the reporting person to cover tax withholding obligations in connection with the vesting and settlement of restricted share units.

Read SEC document
June 17, 2024 Filed Jun 19, 2024 01:35 UTC
Squarer RonDirector
SaleCommon Shares 6,995 $2.89 $20,215.55
Disclosure

SEC source: 0001628280-24-028987 · wk-form4_1718760917.xml · nonDerivative · entry 1

Squarer Ron · CIK 0001454001 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 80,663

F1 · kind: Represents Common Shares sold by the reporting person to cover tax withholding obligations in connection with the vesting and settlement of restricted share units.

Read SEC document
June 17, 2024 Filed Jun 19, 2024 01:37 UTC SaleCommon Shares 6,995 $2.89 $20,215.55
Disclosure

SEC source: 0001628280-24-028988 · wk-form4_1718761032.xml · nonDerivative · entry 1

Sandor Victor · CIK 0001620368 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 80,886

F1 · kind: Represents Common Shares sold by the reporting person to cover tax withholding obligations in connection with the vesting and settlement of restricted share units.

Read SEC document
June 17, 2024 Filed Jun 19, 2024 01:43 UTC SaleCommon Shares 6,995 $2.89 $20,215.55
Disclosure

SEC source: 0001628280-24-028992 · wk-form4_1718761422.xml · nonDerivative · entry 1

BIZZARI JEAN-PIERRE · CIK 0001630914 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 79,502

F1 · kind: Represents Common Shares sold by the reporting person to cover tax withholding obligations in connection with the vesting and settlement of restricted share units.

Read SEC document
June 17, 2024 Filed Jun 19, 2024 01:45 UTC SaleCommon Shares 6,995 $2.89 $20,215.55
Disclosure

SEC source: 0001628280-24-028993 · wk-form4_1718761526.xml · nonDerivative · entry 1

Azelby Robert · CIK 0001656998 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 53,005

F1 · kind: Represents Common Shares sold by the reporting person to cover tax withholding obligations in connection with the vesting and settlement of restricted share units.

Read SEC document
June 17, 2024 Filed Jun 19, 2024 01:40 UTC SaleCommon Shares 1,437 $2.89 $4,152.93
Disclosure

SEC source: 0001628280-24-028990 · wk-form4_1718761205.xml · nonDerivative · entry 1

Monges Viviane · CIK 0001838204 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 106,627

F1 · kind: Represents Common Shares sold by the reporting person to cover tax withholding obligations in connection with the vesting and settlement of restricted share units.

Read SEC document
June 17, 2024 Filed Jun 19, 2024 01:38 UTC SaleCommon Shares 1,437 $2.89 $4,152.93
Disclosure

SEC source: 0001628280-24-028989 · wk-form4_1718761112.xml · nonDerivative · entry 1

Pfisterer Thomas · CIK 0001824238 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 213,900

F1 · kind: Represents Common Shares sold by the reporting person to cover tax withholding obligations in connection with the vesting and settlement of restricted share units.

Read SEC document
June 13, 2024 Filed Jun 14, 2024 17:40 UTC
Hug PeterDirector
GrantCommon Shares 40,000 $0.00 $0.00
Disclosure

SEC source: 0001628280-24-028353 · wk-form4_1718401227.xml · nonDerivative · entry 1

Hug Peter · CIK 0002000702 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 183,837

F1 · shares: Represents the annual grant of restricted stock units ("RSUs") made under the Issuer's 2019 Equity Incentive Plan for service as a Director. The RSUs vest one year from the grant date, subject to the Reporting Person's continued service to the Issuer. Each RSU represents a contingent right to receive one share of the Issuer's common stock.

Read SEC document
June 13, 2024 Filed Jun 14, 2024 21:25 UTC
Squarer RonDirector
GrantCommon Shares 40,000 $0.00 $0.00
Disclosure

SEC source: 0001628280-24-028343 · wk-form4_1718400349.xml · nonDerivative · entry 1

Squarer Ron · CIK 0001454001 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 87,658

F1 · shares: Represents the annual grant of restricted stock units ("RSUs") made under the Issuer's 2019 Equity Incentive Plan for service as a Director. The RSUs vest one year from the grant date, subject to the Reporting Person's continued service to the Issuer. Each RSU represents a contingent right to receive one share of the Issuer's common stock.

Read SEC document
June 13, 2024 Filed Jun 14, 2024 21:29 UTC GrantCommon Shares 40,000 $0.00 $0.00
Disclosure

SEC source: 0001628280-24-028347 · wk-form4_1718400565.xml · nonDerivative · entry 1

Sandor Victor · CIK 0001620368 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 87,881

F1 · shares: Represents the annual grant of restricted stock units ("RSUs") made under the Issuer's 2019 Equity Incentive Plan for service as a Director. The RSUs vest one year from the grant date, subject to the Reporting Person's continued service to the Issuer. Each RSU represents a contingent right to receive one share of the Issuer's common stock.

Read SEC document
June 13, 2024 Filed Jun 14, 2024 21:44 UTC GrantCommon Shares 40,000 $0.00 $0.00
Disclosure

SEC source: 0001628280-24-028355 · wk-form4_1718401463.xml · nonDerivative · entry 1

BIZZARI JEAN-PIERRE · CIK 0001630914 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 86,497

F1 · shares: Represents the annual grant of restricted stock units ("RSUs") made under the Issuer's 2019 Equity Incentive Plan for service as a Director. The RSUs vest one year from the grant date, subject to the Reporting Person's continued service to the Issuer. Each RSU represents a contingent right to receive one share of the Issuer's common stock.

Read SEC document
June 13, 2024 Filed Jun 14, 2024 21:46 UTC GrantCommon Shares 40,000 $0.00 $0.00
Disclosure

SEC source: 0001628280-24-028357 · wk-form4_1718401609.xml · nonDerivative · entry 1

Azelby Robert · CIK 0001656998 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 60,000

F1 · shares: Represents the annual grant of restricted stock units ("RSUs") made under the Issuer's 2019 Equity Incentive Plan for service as a Director. The RSUs vest one year from the grant date, subject to the Reporting Person's continued service to the Issuer. Each RSU represents a contingent right to receive one share of the Issuer's common stock.

Read SEC document
June 13, 2024 Filed Jun 14, 2024 21:37 UTC GrantCommon Shares 40,000 $0.00 $0.00
Disclosure

SEC source: 0001628280-24-028351 · wk-form4_1718401022.xml · nonDerivative · entry 1

Pfisterer Thomas · CIK 0001824238 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 215,337

F1 · shares: Represents the annual grant of restricted stock units ("RSUs") made under the Issuer's 2019 Equity Incentive Plan for service as a Director. The RSUs vest one year from the grant date, subject to the Reporting Person's continued service to the Issuer. Each RSU represents a contingent right to receive one share of the Issuer's common stock.

Read SEC document
June 13, 2024 Filed Jun 14, 2024 21:23 UTC GrantCommon Shares 40,000 $0.00 $0.00
Disclosure

SEC source: 0001628280-24-028339 · wk-form4_1718400187.xml · nonDerivative · entry 1

Monges Viviane · CIK 0001838204 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 108,064

F1 · shares: Represents the annual grant of restricted stock units ("RSUs") made under the Issuer's 2019 Equity Incentive Plan for service as a Director. The RSUs vest one year from the grant date, subject to the Reporting Person's continued service to the Issuer. Each RSU represents a contingent right to receive one share of the Issuer's common stock.

Read SEC document
May 08, 2024 Filed May 10, 2024 20:01 UTC
Green Jeremy10% owner
PurchasePre-Funded Warrants · Derivative 8,163,265 $4.81 $39,281,631.18
Disclosure

SEC source: 0001104659-24-059881 · tm2414067-1_4seq1.xml · derivative · entry 2

Redmile Group, LLC · CIK 0001425738 · 10% owner

Green Jeremy · CIK 0001650527 · 10% owner

RedCo II Master Fund, L.P. · CIK 0001921783 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 8,163,265

Underlying: Common Shares · 8,163,265 shares

Expires not disclosed

F1 · security: On May 8, 2024, certain private investment vehicles managed by Redmile Group, LLC ("Redmile"), including RedCo II Master Fund, L.P. ("RedCo II" and collectively with the other private investment vehicles managed by Redmile, the "Redmile Clients"), acquired, in an underwritten public offering, pre-funded warrants (the "Pre-Funded Warrants") to purchase Common Shares of the Issuer (the "Pre-Funded Warrant Shares") at a purchase price per Pre-Funded Warrant equal to $4.812.

F2 · derivative.exercise_price: The exercise price of the Pre-Funded Warrants is CHF 0.08 per Pre-Funded Warrant Share. Based on the May 8, 2024 exchange rate of $1.1013 USD to CHF 1.00, the exercise price of the Pre-Funded Warrants in US Dollars as of May 8, 2024 is approximately $0.088.

F3 · derivative.expiration_date: The Pre-Funded Warrants are exercisable by the holder at any time after their original issuance until the tenth anniversary of their original issuance, subject to a 9.99% beneficial ownership blocker. At any time during the last 90 days of the term of the Pre-Funded Warrants, the holder thereof may exchange a Pre Funded Warrant with the Issuer for a new Pre Funded Warrant to purchase the number of Pre-Funded Warrant Shares then remaining under such Pre-Funded Warrant, with a subsequent ten-year exercise period.

F5 · ownership.nature: The securities reported herein are directly owned by the Redmile Clients, including RedCo II.

F6 · ownership.nature: The reported securities may be deemed beneficially owned by Redmile as investment manager of the Redmile Clients and by Jeremy Green as the managing principal of Redmile. Each of Redmile and Mr. Green (collectively with RedCo II, the "Reporting Persons") disclaims beneficial ownership of the reported securities except to the extent of their pecuniary interest therein. This report shall not be deemed an admission that the Reporting Persons are the beneficial owners of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

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May 08, 2024 Filed May 10, 2024 20:01 UTC
Green Jeremy10% owner
PurchasePre-Funded Warrants · Derivative 6,107,181 $4.81 $29,387,754.97
Disclosure

SEC source: 0001104659-24-059881 · tm2414067-1_4seq1.xml · derivative · entry 1

Redmile Group, LLC · CIK 0001425738 · 10% owner

Green Jeremy · CIK 0001650527 · 10% owner

RedCo II Master Fund, L.P. · CIK 0001921783 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,107,181

Underlying: Common Shares · 6,107,181 shares

Expires not disclosed

F1 · security: On May 8, 2024, certain private investment vehicles managed by Redmile Group, LLC ("Redmile"), including RedCo II Master Fund, L.P. ("RedCo II" and collectively with the other private investment vehicles managed by Redmile, the "Redmile Clients"), acquired, in an underwritten public offering, pre-funded warrants (the "Pre-Funded Warrants") to purchase Common Shares of the Issuer (the "Pre-Funded Warrant Shares") at a purchase price per Pre-Funded Warrant equal to $4.812.

F2 · derivative.exercise_price: The exercise price of the Pre-Funded Warrants is CHF 0.08 per Pre-Funded Warrant Share. Based on the May 8, 2024 exchange rate of $1.1013 USD to CHF 1.00, the exercise price of the Pre-Funded Warrants in US Dollars as of May 8, 2024 is approximately $0.088.

F3 · derivative.expiration_date: The Pre-Funded Warrants are exercisable by the holder at any time after their original issuance until the tenth anniversary of their original issuance, subject to a 9.99% beneficial ownership blocker. At any time during the last 90 days of the term of the Pre-Funded Warrants, the holder thereof may exchange a Pre Funded Warrant with the Issuer for a new Pre Funded Warrant to purchase the number of Pre-Funded Warrant Shares then remaining under such Pre-Funded Warrant, with a subsequent ten-year exercise period.

F4 · ownership.direct: These securities are directly owned by RedCo II.

F6 · ownership.direct: The reported securities may be deemed beneficially owned by Redmile as investment manager of the Redmile Clients and by Jeremy Green as the managing principal of Redmile. Each of Redmile and Mr. Green (collectively with RedCo II, the "Reporting Persons") disclaims beneficial ownership of the reported securities except to the extent of their pecuniary interest therein. This report shall not be deemed an admission that the Reporting Persons are the beneficial owners of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

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May 07, 2024 Filed May 9, 2024 20:06 UTC
MALLIK AMEETDirector · Chief Executive Officer
SaleCommon Shares 29,731 $4.48 $133,194.88
Disclosure

SEC source: 0001628280-24-022207 · wk-form4_1715285190.xml · nonDerivative · entry 1

MALLIK AMEET · CIK 0001861441 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,167,348

F1 · kind: Represents Common Shares sold by the reporting person to cover tax withholding obligations in connection with the vesting and settlement of restricted share units.

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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.