Last 12 months
Inside the activity.
5 purchase rows · 9 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 2 |
| Dec 2025 | 0 | 2 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 0 | 2 |
| Mar 2026 | 2 | 3 |
| Apr 2026 | 0 | 0 |
| May 2026 | 3 | 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 |
|---|---|---|---|---|---|---|
| February 28, 2020 Filed Mar 4, 2020 00:12 UTC |
Fong BryantDirector
|
GrantEmployee Stock Option (right to buy) · Derivative | 15,000 | $0.00 Strike: $2.92 | $0.00 |
DisclosureSEC source: 0001193805-20-000293 · e619427_4-fong.xml · derivative · entry 2 Fong Bryant · CIK 0001542298 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2030-02-28 F2 · derivative.exercise_date: The option vests in 12 equal monthly installments, becoming fully vested on the one-year anniversary of the date of grant. Read SEC document |
| February 28, 2020 Filed Mar 4, 2020 00:12 UTC |
Fong BryantDirector
|
GrantCommon Stock | 7,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001193805-20-000293 · e619427_4-fong.xml · nonDerivative · entry 1 Fong Bryant · CIK 0001542298 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,500 F1 · shares: These shares represent restricted stock units ("RSUs"), which will vest in equal monthly installments, becoming fully vested on the one-year anniversary of the grant, subject to the reporting person's continued service as of the applicable vesting date, and will be settled into common stock upon vesting. F1 · balance_after: These shares represent restricted stock units ("RSUs"), which will vest in equal monthly installments, becoming fully vested on the one-year anniversary of the grant, subject to the reporting person's continued service as of the applicable vesting date, and will be settled into common stock upon vesting. Read SEC document |
| February 28, 2020 Filed Mar 4, 2020 00:10 UTC |
Guiheen Lawrence P.Director
|
GrantEmployee Stock Option (right to buy) · Derivative | 15,000 | $0.00 Strike: $2.92 | $0.00 |
DisclosureSEC source: 0001193805-20-000289 · e619423_4-guiheen.xml · derivative · entry 3 Guiheen Lawrence P. · CIK 0001554353 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2030-02-28 F4 · derivative.exercise_date: The option vests in 12 equal monthly installments, becoming fully vested on the one-year anniversary of the date of grant. Read SEC document |
| February 28, 2020 Filed Mar 4, 2020 00:10 UTC |
Guiheen Lawrence P.Director
|
GrantCommon Stock | 7,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001193805-20-000289 · e619423_4-guiheen.xml · nonDerivative · entry 1 Guiheen Lawrence P. · CIK 0001554353 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 77,500 F1 · shares: These shares represent restricted stock units ("RSUs"), which will vest in 12 equal monthly installments, becoming fully vested on the one-year anniversary of the grant, subject to the reporting person's continued service as of the applicable vesting date, and will be settled into common stock upon vesting. F2 · balance_after: Includes (i) 7,500 RSUs granted on February 28, 2020 and reported on this Form 4, subject to vesting as set forth in footnote (1) and will be settled into common stock upon vesting; and (ii) 70,000 shares of common stock owned by the reporting person. Read SEC document |
| February 28, 2020 Filed Mar 4, 2020 00:08 UTC |
Grossman Adam SDirector · President and CEO
|
GrantEmployee Stock Option (right to buy) · Derivative | 325,000 | $0.00 Strike: $2.92 | $0.00 |
DisclosureSEC source: 0001193805-20-000287 · e619421_4-agrossman.xml · derivative · entry 4 Grossman Adam S · CIK 0001542517 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 325,000 Underlying: Common Stock · 325,000 shares Expires 2030-02-28 F5 · derivative.exercise_date: The options vest over four years with 25% of the shares of Common Stock underlying the options vesting on the one year anniversary of the date of grant and the remaining 75% of such shares vesting monthly in equal installments over the next three years, becoming fully vested on February 28, 2024. Read SEC document |
| February 28, 2020 Filed Mar 4, 2020 00:08 UTC |
Grossman Adam SDirector · President and CEO
|
GrantCommon Stock | 100,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001193805-20-000287 · e619421_4-agrossman.xml · nonDerivative · entry 1 Grossman Adam S · CIK 0001542517 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 166,098 F1 · shares: These shares represent restricted stock units ("RSUs"), which will vest quarterly on the date of grant, over four years, subject to the reporting person's continued service as of the applicable vesting date, and will be settled into common stock upon vesting. F2 · balance_after: Includes (i) 100,000 RSUs granted on February 28, 2020 and reported on this Form 4, subject to vesting as set forth in footnote (1) and will be settled into common stock upon vesting; and (ii) 66,098 shares of common stock owned by the reporting person. Read SEC document |
| February 28, 2020 Filed Mar 4, 2020 00:09 UTC |
Grossman Jerrold BDirector
|
GrantEmployee Stock Option (right to buy) · Derivative | 15,000 | $0.00 Strike: $2.92 | $0.00 |
DisclosureSEC source: 0001193805-20-000288 · e619422_4-jgrossman.xml · derivative · entry 6 Grossman Jerrold B · CIK 0001542519 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2030-02-28 F7 · derivative.exercise_date: The option vests in 12 equal monthly installments, becoming fully vested on the one-year anniversary of the date of grant. Read SEC document |
| February 28, 2020 Filed Mar 4, 2020 00:09 UTC |
Grossman Jerrold BDirector
|
GrantCommon Stock | 7,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001193805-20-000288 · e619422_4-jgrossman.xml · nonDerivative · entry 1 Grossman Jerrold B · CIK 0001542519 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 140,364 F1 · shares: These shares represent restricted stock units ("RSUs"), which will vest in 12 equal monthly installments, becoming fully vested on the one-year anniversary of the grant, subject to the reporting person's continued service as of the applicable vesting date, and will be settled into common stock upon vesting. F2 · balance_after: Includes (i) 7,500 RSUs granted on February 28, 2020 and reported on this Form 4, subject to vesting as set forth in footnote (1) and will be settled into common stock upon vesting; and (ii) 132,864 shares of common stock owned by the reporting person. Read SEC document |
| February 28, 2020 Filed Mar 4, 2020 00:07 UTC |
Mond JamesEVP, CSO and CMO
|
GrantEmployee Stock Option (right to buy) · Derivative | 100,000 | $0.00 Strike: $2.92 | $0.00 |
DisclosureSEC source: 0001193805-20-000285 · e619419_4-mond.xml · derivative · entry 2 Mond James · CIK 0001554537 · EVP, CSO and CMO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock · 100,000 shares Expires 2030-02-28 F3 · derivative.exercise_date: The options vest over four years with 25% of the shares of Common Stock underlying the options vesting on the one year anniversary of the date of grant and the remaining 75% of such shares vesting monthly in equal installments over the next three years, becoming fully vested on February 28, 2024. Read SEC document |
| February 28, 2020 Filed Mar 4, 2020 00:07 UTC |
Mond JamesEVP, CSO and CMO
|
GrantCommon Stock | 40,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001193805-20-000285 · e619419_4-mond.xml · nonDerivative · entry 1 Mond James · CIK 0001554537 · EVP, CSO and CMO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,174 F1 · shares: These shares represent restricted stock units ("RSUs"), which will vest quarterly on the date of grant, over four years, subject to the reporting person's continued service as of the applicable vesting date, and will be settled into common stock upon vesting. F2 · balance_after: Includes (i) 40,000 RSUs granted on February 28, 2020 and reported on this Form 4, subject to vesting as set forth in footnote (1) and will be settled into common stock upon vesting; and (ii) 22,174 shares of common stock owned by the reporting person. Read SEC document |
| February 28, 2020 Filed May 1, 2020 21:11 UTC Amendment |
GOLDSTEIN DOV A MDDirector
|
GrantCommon Stock | 7,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001193805-20-000551 · e619597_4a-goldstein.xml · nonDerivative · entry 1 GOLDSTEIN DOV A MD · CIK 0001120478 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,500 F1 · shares: These shares represent restricted stock units ("RSUs"). Subsequent to the filing of the initial Form 4 by the Reporting Person on March 3, 2020, the Board of Directors of the Issuer corrected the vesting schedule of the RSUs. The RSUs will vest in two equal installments, on the six- and 12-month anniversaries of the grant, becoming fully vested on the one-year anniversary of the grant, subject to the reporting person's continued service as of the applicable vesting date, and will be settled into common stock upon vesting. F1 · balance_after: These shares represent restricted stock units ("RSUs"). Subsequent to the filing of the initial Form 4 by the Reporting Person on March 3, 2020, the Board of Directors of the Issuer corrected the vesting schedule of the RSUs. The RSUs will vest in two equal installments, on the six- and 12-month anniversaries of the grant, becoming fully vested on the one-year anniversary of the grant, subject to the reporting person's continued service as of the applicable vesting date, and will be settled into common stock upon vesting. Read SEC document |
| February 28, 2020 Filed May 1, 2020 17:12 UTC Amendment |
ELMS STEVEDirector
|
GrantCommon Stock | 7,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001193805-20-000553 · e619599_4a-elms.xml · nonDerivative · entry 1 ELMS STEVE · CIK 0001250195 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,500 F1 · shares: These shares represent restricted stock units ("RSUs"). Subsequent to the filing of the initial Form 4 by the Reporting Person on March 3, 2020, the Board of Directors of the Issuer corrected the vesting schedule of the RSUs. The RSUs will vest in two equal installments, on the six- and 12-month anniversaries of the grant, becoming fully vested on the one-year anniversary of the grant, subject to the reporting person's continued service as of the applicable vesting date, and will be settled into common stock upon vesting. F1 · balance_after: These shares represent restricted stock units ("RSUs"). Subsequent to the filing of the initial Form 4 by the Reporting Person on March 3, 2020, the Board of Directors of the Issuer corrected the vesting schedule of the RSUs. The RSUs will vest in two equal installments, on the six- and 12-month anniversaries of the grant, becoming fully vested on the one-year anniversary of the grant, subject to the reporting person's continued service as of the applicable vesting date, and will be settled into common stock upon vesting. Read SEC document |
| February 28, 2020 Filed May 1, 2020 21:12 UTC Amendment |
Grossman Jerrold BDirector
|
GrantCommon Stock | 7,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001193805-20-000552 · e619598_4a-jgrossman.xml · nonDerivative · entry 1 Grossman Jerrold B · CIK 0001542519 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 140,364 F1 · shares: These shares represent restricted stock units ("RSUs"). Subsequent to the filing of the initial Form 4 by the Reporting Person on March 3, 2020, the Board of Directors of the Issuer corrected the vesting schedule of the RSUs. The RSUs will vest in two equal installments, on the six- and 12-month anniversaries of the grant, becoming fully vested on the one-year anniversary of the grant, subject to the reporting person's continued service as of the applicable vesting date, and will be settled into common stock upon vesting. F2 · balance_after: Includes (i) 7,500 RSUs granted on February 28, 2020 and reported on this Form 4, subject to vesting as set forth in footnote (1) and will be settled into common stock upon vesting; and (ii) 132,864 shares of common stock owned by the reporting person. Read SEC document |
| February 28, 2020 Filed May 1, 2020 21:10 UTC Amendment |
Guiheen Lawrence P.Director
|
GrantCommon Stock | 7,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001193805-20-000550 · e619596_4a-guiheen.xml · nonDerivative · entry 1 Guiheen Lawrence P. · CIK 0001554353 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 77,500 F1 · shares: These shares represent restricted stock units ("RSUs"). Subsequent to the filing of the initial Form 4 by the Reporting Person on March 3, 2020, the Board of Directors of the Issuer corrected the vesting schedule of the RSUs. The RSUs will vest in two equal installments, on the six- and 12-month anniversaries of the grant, becoming fully vested on the one-year anniversary of the grant, subject to the reporting person's continued service as of the applicable vesting date, and will be settled into common stock upon vesting. F2 · balance_after: Includes (i) 7,500 RSUs granted on February 28, 2020 and reported on this Form 4, subject to vesting as set forth in footnote (1) and will be settled into common stock upon vesting; and (ii) 70,000 shares of common stock owned by the reporting person. Read SEC document |
| February 28, 2020 Filed May 1, 2020 21:10 UTC Amendment |
Fong BryantDirector
|
GrantCommon Stock | 7,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001193805-20-000549 · e619594_4a-fong.xml · nonDerivative · entry 1 Fong Bryant · CIK 0001542298 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,500 F1 · shares: These shares represent restricted stock units ("RSUs"). Subsequent to the filing of the initial Form 4 by the Reporting Person on March 3, 2020, the Board of Directors of the Issuer corrected the vesting schedule of the RSUs. The RSUs will vest in two equal installments, on the six- and 12-month anniversaries of the grant, becoming fully vested on the one-year anniversary of the grant, subject to the reporting person's continued service as of the applicable vesting date, and will be settled into common stock upon vesting. F1 · balance_after: These shares represent restricted stock units ("RSUs"). Subsequent to the filing of the initial Form 4 by the Reporting Person on March 3, 2020, the Board of Directors of the Issuer corrected the vesting schedule of the RSUs. The RSUs will vest in two equal installments, on the six- and 12-month anniversaries of the grant, becoming fully vested on the one-year anniversary of the grant, subject to the reporting person's continued service as of the applicable vesting date, and will be settled into common stock upon vesting. Read SEC document |
| February 11, 2020 Filed Feb 11, 2020 13:02 UTC |
PERCEPTIVE ADVISORS LLC10% owner
EDELMAN JOSEPH10% owner
|
PurchaseCommon Stock | 4,563,700 | $3.50 | $15,972,950.00 |
DisclosureSEC source: 0000899243-20-003914 · doc4.xml · nonDerivative · entry 1 PERCEPTIVE ADVISORS LLC · CIK 0001224962 · 10% owner PERCEPTIVE LIFE SCIENCES MASTER FUND LTD · CIK 0001249675 · 10% owner EDELMAN JOSEPH · CIK 0001164426 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 16,084,802 F1 · ownership.nature: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Read SEC document |
| February 11, 2020 Filed Feb 11, 2020 10:13 UTC |
LENZ BRIANEVP, CFO
|
PurchaseCommon Stock | 7,142 | $3.50 | $24,997.00 |
DisclosureSEC source: 0001193805-20-000129 · e619336_4-lenz.xml · nonDerivative · entry 1 LENZ BRIAN · CIK 0001283260 · EVP, CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,142 F1 · shares: Represents a purchase from the underwriters in the Issuer's public offering. Read SEC document |
| February 11, 2020 Filed Feb 11, 2020 15:18 UTC |
Guiheen Lawrence P.Director
|
PurchaseCommon Stock | 20,000 | $3.50 | $70,000.00 |
DisclosureSEC source: 0001193805-20-000135 · e619337_4-guiheen.xml · nonDerivative · entry 1 Guiheen Lawrence P. · CIK 0001554353 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,000 F1 · shares: Represents a purchase from the underwriters in the Issuer's public offering. Read SEC document |
| February 11, 2020 Filed Feb 11, 2020 15:16 UTC |
Mond JamesCSO and CMO
|
PurchaseCommon Stock | 4,285 | $3.50 | $14,997.50 |
DisclosureSEC source: 0001193805-20-000133 · e619335_4-mond.xml · nonDerivative · entry 1 Mond James · CIK 0001554537 · CSO and CMO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,174 F1 · shares: Represents a purchase from the underwriters in the Issuer's public offering. Read SEC document |
| February 11, 2020 Filed Feb 11, 2020 15:15 UTC |
Grossman Jerrold BDirector
|
PurchaseCommon Stock | 22,857 | $3.50 | $79,999.50 |
DisclosureSEC source: 0001193805-20-000131 · e619334_4-jgrossman.xml · nonDerivative · entry 2 Grossman Jerrold B · CIK 0001542519 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 22,857 F1 · shares: Represents a purchase from the underwriters in the Issuer's public offering. F2 · ownership.nature: These shares are owned by Brookwood LLC ("Brookwood"). The reporting person is the managing member of Brookwood. Read SEC document |
| February 11, 2020 Filed Feb 11, 2020 15:15 UTC |
Grossman Jerrold BDirector
|
PurchaseCommon Stock | 22,857 | $3.50 | $79,999.50 |
DisclosureSEC source: 0001193805-20-000131 · e619334_4-jgrossman.xml · nonDerivative · entry 1 Grossman Jerrold B · CIK 0001542519 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 132,864 F1 · shares: Represents a purchase from the underwriters in the Issuer's public offering. Read SEC document |
| February 11, 2020 Filed Feb 11, 2020 15:11 UTC |
Grossman Adam SDirector · President and CEO
|
PurchaseCommon Stock | 57,143 | $3.50 | $200,000.50 |
DisclosureSEC source: 0001193805-20-000127 · e619338_4-agrossman.xml · nonDerivative · entry 2 Grossman Adam S · CIK 0001542517 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 878,444 F1 · shares: Represents a purchase from the underwriters in the Issuer's public offering. F2 · ownership.nature: These shares are owned by Areth, LLC ("Areth"). The reporting person is a control person of Areth. Read SEC document |
| February 11, 2020 Filed Feb 11, 2020 15:11 UTC |
Grossman Adam SDirector · President and CEO
|
PurchaseCommon Stock | 28,571 | $3.50 | $99,998.50 |
DisclosureSEC source: 0001193805-20-000127 · e619338_4-agrossman.xml · nonDerivative · entry 1 Grossman Adam S · CIK 0001542517 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,098 F1 · shares: Represents a purchase from the underwriters in the Issuer's public offering. Read SEC document |
| June 06, 2019 Filed Jun 7, 2019 20:25 UTC |
Biotest Divestiture Trust10% owner
|
SaleCommon Stock | 5,813,954 | $3.75 | $21,802,327.50 |
DisclosureSEC source: 0001123292-19-000868 · edgar.xml · nonDerivative · entry 1 Biotest Divestiture Trust · CIK 0001748876 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,295,580 Read SEC document |
| May 21, 2019 Filed May 23, 2019 12:32 UTC |
PERCEPTIVE ADVISORS LLC10% owner
EDELMAN JOSEPH10% owner
|
PurchaseCommon Stock | 4,000,000 | $4.00 | $16,000,000.00 |
DisclosureSEC source: 0000899243-19-014466 · doc4.xml · nonDerivative · entry 1 PERCEPTIVE ADVISORS LLC · CIK 0001224962 · 10% owner PERCEPTIVE LIFE SCIENCES MASTER FUND LTD · CIK 0001249675 · 10% owner EDELMAN JOSEPH · CIK 0001164426 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 11,521,102 F1 · ownership.nature: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Read SEC document |
| May 17, 2019 Filed May 21, 2019 07:12 UTC |
LENZ BRIANEVP, CFO
|
PurchaseCommon Stock | 5,000 | $4.00 | $20,000.00 |
DisclosureSEC source: 0001193805-19-000521 · e618480_4-lenz.xml · nonDerivative · entry 1 LENZ BRIAN · CIK 0001283260 · EVP, CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 F1 · shares: Represents a purchase from the underwriters in the Issuer's public offering. Read SEC document |
| May 17, 2019 Filed May 21, 2019 11:14 UTC |
Grossman Jerrold BDirector
|
PurchaseCommon Stock | 12,000 | $4.00 | $48,000.00 |
DisclosureSEC source: 0001193805-19-000524 · e618483_4-jgrossman.xml · nonDerivative · entry 1 Grossman Jerrold B · CIK 0001542519 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 110,007 F1 · shares: Represents a purchase from the underwriters in the Issuer's public offering. Read SEC document |
| May 17, 2019 Filed May 21, 2019 11:13 UTC |
Guiheen Lawrence P.Director
|
PurchaseCommon Stock | 25,000 | $4.00 | $100,000.00 |
DisclosureSEC source: 0001193805-19-000523 · e618482_4-guiheen.xml · nonDerivative · entry 1 Guiheen Lawrence P. · CIK 0001554353 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 F1 · shares: Represents a purchase from the underwriters in the Issuer's public offering. Read SEC document |
| May 17, 2019 Filed May 21, 2019 11:11 UTC |
Grossman Adam SDirector · President and CEO
|
PurchaseCommon Stock | 25,000 | $4.00 | $100,000.00 |
DisclosureSEC source: 0001193805-19-000520 · e618479_4-agrossman.xml · nonDerivative · entry 2 Grossman Adam S · CIK 0001542517 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 821,301 F1 · shares: Represents a purchase from the underwriters in the Issuer's public offering. F2 · ownership.nature: These shares are owned by Areth, LLC ("Areth"). The reporting person is a control person of Areth. Read SEC document |
| May 17, 2019 Filed May 21, 2019 11:11 UTC |
Grossman Adam SDirector · President and CEO
|
PurchaseCommon Stock | 5,000 | $4.00 | $20,000.00 |
DisclosureSEC source: 0001193805-19-000520 · e618479_4-agrossman.xml · nonDerivative · entry 1 Grossman Adam S · CIK 0001542517 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,527 F1 · shares: Represents a purchase from the underwriters in the Issuer's public offering. Read SEC document |
| May 17, 2019 Filed May 21, 2019 11:12 UTC |
Mond JamesEVP, CSO and CMO
|
PurchaseCommon Stock | 4,500 | $4.00 | $18,000.00 |
DisclosureSEC source: 0001193805-19-000522 · e618481_4-mond.xml · nonDerivative · entry 1 Mond James · CIK 0001554537 · EVP, CSO and CMO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,889 F1 · shares: Represents a purchase from the underwriters in the Issuer's public offering. Read SEC document |
| May 03, 2019 Filed May 23, 2019 12:32 UTC |
PERCEPTIVE ADVISORS LLC10% owner
EDELMAN JOSEPH10% owner
|
PurchaseWarrants (right to buy) · Derivative | 250,000 | Not disclosed Strike: $4.64 | Not disclosed |
DisclosureSEC source: 0000899243-19-014466 · doc4.xml · derivative · entry 3 PERCEPTIVE ADVISORS LLC · CIK 0001224962 · 10% owner PERCEPTIVE LIFE SCIENCES MASTER FUND LTD · CIK 0001249675 · 10% owner EDELMAN JOSEPH · CIK 0001164426 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 250,000 Underlying: Common Stock · 250,000 shares Expires 2029-05-03 F4 · price: The Warrants were acquired from the Issuer in connection with the Issuer's credit facility with the Credit Fund. F3 · derivative.exercise_date: The Warrants cannot be exercised to the extent that, after giving effect to such exercise, Perceptive Credit Holdings II, L.P. (the "Credit Fund"), together with its Affiliates (as defined in the terms of the Warrant Agreement) would beneficially own in excess of 9.99% of the Issuer's voting shares. Accordingly, the Warrants cannot currently be exercised. F5 · ownership.nature: The securities are directly held by the Credit Fund. Mr. Edelman is the control person of the general partner of the Credit Fund. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Read SEC document |
| March 13, 2019 Filed Mar 15, 2019 21:01 UTC |
GOLDSTEIN DOV A MDDirector
|
GrantStock Option (right to buy) · Derivative | 30,000 | $0.00 Strike: $3.89 | $0.00 |
DisclosureSEC source: 0001193805-19-000296 · e618305_4-goldstein.xml · derivative · entry 1 GOLDSTEIN DOV A MD · CIK 0001120478 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 Underlying: Common Stock · 30,000 shares Expires 2029-03-13 F1 · derivative.exercise_date: The option vests in twelve equal monthly installments, becoming fully vested on the one-year anniversary of the date of grant. F2 · derivative.expiration_date: The option terminates on the earlier of (i) March 13, 2029 and (ii) the one-year anniversary of the reporting person's ceasing to serve as a director of the Issuer. Read SEC document |
| March 13, 2019 Filed Mar 15, 2019 17:01 UTC |
ELMS STEVEDirector
|
GrantStock Option (right to buy) · Derivative | 30,000 | $0.00 Strike: $3.89 | $0.00 |
DisclosureSEC source: 0001193805-19-000294 · e618303_4-elms.xml · derivative · entry 1 ELMS STEVE · CIK 0001250195 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 Underlying: Common Stock · 30,000 shares Expires 2029-03-13 F1 · derivative.exercise_date: The option vests in twelve equal monthly installments, becoming fully vested on the one-year anniversary of the date of grant. F2 · derivative.expiration_date: The option terminates on the earlier of (i) March 13, 2029 and (ii) the one-year anniversary of the reporting person's ceasing to serve as a director of the Issuer. Read SEC document |
| March 13, 2019 Filed Mar 15, 2019 21:01 UTC |
Grossman Jerrold BDirector
|
GrantStock Option (right to buy) · Derivative | 30,000 | $0.00 Strike: $3.89 | $0.00 |
DisclosureSEC source: 0001193805-19-000295 · e618304_4-jgrossman.xml · derivative · entry 1 Grossman Jerrold B · CIK 0001542519 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 Underlying: Common Stock · 30,000 shares Expires 2029-03-13 F1 · derivative.exercise_date: The option vests in twelve equal monthly installments, becoming fully vested on the one-year anniversary of the date of grant. F2 · derivative.expiration_date: The option terminates on the earlier of (i) March 13, 2029 and (ii) the one-year anniversary of the reporting person's ceasing to serve as a director of the Issuer. Read SEC document |
| March 13, 2019 Filed Mar 15, 2019 17:00 UTC |
RICHMAN ERIC IDirector
|
GrantStock Option (right to buy) · Derivative | 30,000 | $0.00 Strike: $3.89 | $0.00 |
DisclosureSEC source: 0001193805-19-000293 · e618302_4-richman.xml · derivative · entry 1 RICHMAN ERIC I · CIK 0001313876 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 Underlying: Common Stock · 30,000 shares Expires 2029-03-13 F1 · derivative.exercise_date: The option vests in twelve equal monthly installments, becoming fully vested on the one-year anniversary of the date of grant. F2 · derivative.expiration_date: The option terminates on the earlier of (i) March 13, 2029 and (ii) the one-year anniversary of the reporting person's ceasing to serve as a director of the Issuer. Read SEC document |
| March 13, 2019 Filed Mar 15, 2019 21:02 UTC |
Guiheen Lawrence P.Director
|
GrantStock Option (right to buy) · Derivative | 30,000 | $0.00 Strike: $3.89 | $0.00 |
DisclosureSEC source: 0001193805-19-000297 · e618307_4-guiheen.xml · derivative · entry 1 Guiheen Lawrence P. · CIK 0001554353 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 Underlying: Common Stock · 30,000 shares Expires 2029-03-13 F1 · derivative.exercise_date: The option vests in twelve equal monthly installments, becoming fully vested on the one-year anniversary of the date of grant. F2 · derivative.expiration_date: The option terminates on the earlier of (i) March 13, 2029 and (ii) the one-year anniversary of the reporting person's ceasing to serve as a director of the Issuer. Read SEC document |
| March 13, 2019 Filed Mar 15, 2019 21:00 UTC |
Fong BryantDirector
|
GrantStock Option (right to buy) · Derivative | 30,000 | $0.00 Strike: $3.89 | $0.00 |
DisclosureSEC source: 0001193805-19-000292 · e618301_4-fong.xml · derivative · entry 1 Fong Bryant · CIK 0001542298 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 Underlying: Common Stock · 30,000 shares Expires 2029-03-13 F1 · derivative.exercise_date: The option vests in twelve equal monthly installments, becoming fully vested on the one-year anniversary of the date of grant. F2 · derivative.expiration_date: The option terminates on the earlier of (i) March 13, 2029 and (ii) the one-year anniversary of the reporting person's ceasing to serve as a director of the Issuer. Read SEC document |
| February 11, 2019 Filed May 23, 2019 12:32 UTC |
PERCEPTIVE ADVISORS LLC10% owner
EDELMAN JOSEPH10% owner
|
PurchaseWarrants (right to buy) · Derivative | 1,360,000 | Not disclosed Strike: $3.28 | Not disclosed |
DisclosureSEC source: 0000899243-19-014466 · doc4.xml · derivative · entry 2 PERCEPTIVE ADVISORS LLC · CIK 0001224962 · 10% owner PERCEPTIVE LIFE SCIENCES MASTER FUND LTD · CIK 0001249675 · 10% owner EDELMAN JOSEPH · CIK 0001164426 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,360,000 Underlying: Common Stock · 1,360,000 shares Expires 2029-02-11 F2 · derivative.exercise_price: The exercise price is a per share dollar amount equal to (i) $2.85 multiplied by (ii) 1.15, subject to adjustment in certain circumstances set forth in the warrant agreement (the "Warrant Agreement"). F4 · price: The Warrants were acquired from the Issuer in connection with the Issuer's credit facility with the Credit Fund. F3 · derivative.exercise_date: The Warrants cannot be exercised to the extent that, after giving effect to such exercise, Perceptive Credit Holdings II, L.P. (the "Credit Fund"), together with its Affiliates (as defined in the terms of the Warrant Agreement) would beneficially own in excess of 9.99% of the Issuer's voting shares. Accordingly, the Warrants cannot currently be exercised. F5 · ownership.nature: The securities are directly held by the Credit Fund. Mr. Edelman is the control person of the general partner of the Credit Fund. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Read SEC document |
| January 23, 2019 Filed Jan 25, 2019 21:31 UTC |
LENZ BRIANEVP, CFO
|
GrantEmployee Stock Option (right to buy) · Derivative | 200,000 | $0.00 Strike: $3.22 | $0.00 |
DisclosureSEC source: 0001193805-19-000092 · e618166_4-lenz.xml · derivative · entry 1 LENZ BRIAN · CIK 0001283260 · EVP, CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 200,000 Underlying: Common Stock · 200,000 shares Expires 2029-01-23 F1 · derivative.exercise_date: The option vests over a four-year period with 25% of the shares of common stock underlying the option vesting on the one year anniversary of the grant date and the remaining 75% of the shares of common stock underlying the option vesting in equal monthly installments thereafter beginning on February 23, 2020, becoming fully vested on January 23, 2023. Read SEC document |
| January 23, 2019 Filed Jan 26, 2019 02:31 UTC |
Mond JamesEVP, CSO and CMO
|
GrantEmployee Stock Option (right to buy) · Derivative | 200,000 | $0.00 Strike: $3.22 | $0.00 |
DisclosureSEC source: 0001193805-19-000091 · e618165_4-mond.xml · derivative · entry 1 Mond James · CIK 0001554537 · EVP, CSO and CMO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 200,000 Underlying: Common Stock · 200,000 shares Expires 2029-01-23 F1 · derivative.exercise_date: The option vests over a four-year period with 25% of the shares of common stock underlying the option vesting on the one year anniversary of the grant date and the remaining 75% of the shares of common stock underlying the option vesting in equal monthly installments thereafter beginning on February 23, 2020, becoming fully vested on January 23, 2023. Read SEC document |
| January 23, 2019 Filed Jan 26, 2019 02:30 UTC |
Grossman Adam SDirector · President and CEO
|
GrantEmployee Stock Option (right to buy) · Derivative | 400,000 | $0.00 Strike: $3.22 | $0.00 |
DisclosureSEC source: 0001193805-19-000090 · e618164_4-agrossman.xml · derivative · entry 1 Grossman Adam S · CIK 0001542517 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 400,000 Underlying: Common Stock · 400,000 shares Expires 2029-01-23 F1 · derivative.exercise_date: The option vests over a four-year period with 25% of the shares of common stock underlying the option vesting on the one year anniversary of the grant date and the remaining 75% of the shares of common stock underlying the option vesting in equal monthly installments thereafter beginning on February 23, 2020, becoming fully vested on January 23, 2023. Read SEC document |
| June 22, 2018 Filed Jun 25, 2018 21:02 UTC |
GOLDSTEIN DOV A MDDirector
|
GrantStock Option (right to buy) · Derivative | 17,500 | $0.00 Strike: $4.91 | $0.00 |
DisclosureSEC source: 0001193805-18-000904 · e618129_4-goldstein.xml · derivative · entry 1 GOLDSTEIN DOV A MD · CIK 0001120478 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,500 Underlying: Common Stock · 17,500 shares Expires 2028-06-22 F1 · derivative.exercise_date: The option vests in twenty-four equal monthly installments, becoming fully vested on the two year anniversary of the date of grant. F2 · derivative.expiration_date: The option terminates on the earlier of (i) June 22, 2028 and (ii) the one year anniversary of the reporting person's ceasing to serve as a director of the Issuer. Read SEC document |
| June 22, 2018 Filed Jun 25, 2018 17:01 UTC |
ELMS STEVEDirector
|
GrantStock Option (right to buy) · Derivative | 17,500 | $0.00 Strike: $4.91 | $0.00 |
DisclosureSEC source: 0001193805-18-000903 · e618128_4-elms.xml · derivative · entry 1 ELMS STEVE · CIK 0001250195 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,500 Underlying: Common Stock · 17,500 shares Expires 2028-06-22 F1 · derivative.exercise_date: The option vests in twenty-four equal monthly installments, becoming fully vested on the two year anniversary of the date of grant. F2 · derivative.expiration_date: The option terminates on the earlier of (i) June 22, 2028 and (ii) the one year anniversary of the reporting person's ceasing to serve as a director of the Issuer. Read SEC document |
| June 22, 2018 Filed Jun 25, 2018 17:02 UTC |
RICHMAN ERIC IDirector
|
GrantStock Option (right to buy) · Derivative | 17,500 | $0.00 Strike: $4.91 | $0.00 |
DisclosureSEC source: 0001193805-18-000905 · e618130_4-richman.xml · derivative · entry 1 RICHMAN ERIC I · CIK 0001313876 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,500 Underlying: Common Stock · 17,500 shares Expires 2028-06-22 F1 · derivative.exercise_date: The option vests in twenty-four equal monthly installments, becoming fully vested on the two year anniversary of the date of grant. F2 · derivative.expiration_date: The option terminates on the earlier of (i) June 22, 2028 and (ii) the one year anniversary of the reporting person's ceasing to serve as a director of the Issuer. Read SEC document |
| June 22, 2018 Filed Jun 25, 2018 21:03 UTC |
Fong BryantDirector
|
GrantStock Option (right to buy) · Derivative | 17,500 | $0.00 Strike: $4.91 | $0.00 |
DisclosureSEC source: 0001193805-18-000906 · e618131_4-fong.xml · derivative · entry 1 Fong Bryant · CIK 0001542298 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,500 Underlying: Common Stock · 17,500 shares Expires 2028-06-22 F1 · derivative.exercise_date: The option vests in twenty-four equal monthly installments, becoming fully vested on the two year anniversary of the date of grant. F2 · derivative.expiration_date: The option terminates on the earlier of (i) June 22, 2028 and (ii) the one year anniversary of the reporting person's ceasing to serve as a director of the Issuer. Read SEC document |
| June 22, 2018 Filed Jun 25, 2018 21:00 UTC |
Guiheen Lawrence P.Director
|
GrantStock Option (right to buy) · Derivative | 17,500 | $0.00 Strike: $4.91 | $0.00 |
DisclosureSEC source: 0001193805-18-000902 · e618127_4-guiheen.xml · derivative · entry 1 Guiheen Lawrence P. · CIK 0001554353 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,500 Underlying: Common Stock · 17,500 shares Expires 2028-06-22 F1 · derivative.exercise_date: The option vests in twenty-four equal monthly installments, becoming fully vested on the two year anniversary of the date of grant. F2 · derivative.expiration_date: The option terminates on the earlier of (i) June 22, 2028 and (ii) the one year anniversary of the reporting person's ceasing to serve as a director of the Issuer. Read SEC document |
| June 22, 2018 Filed Jun 25, 2018 21:00 UTC |
Grossman Jerrold BDirector
|
GrantStock Option (right to buy) · Derivative | 17,500 | $0.00 Strike: $4.91 | $0.00 |
DisclosureSEC source: 0001193805-18-000901 · e618126_4-jgrossman.xml · derivative · entry 1 Grossman Jerrold B · CIK 0001542519 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,500 Underlying: Common Stock · 17,500 shares Expires 2028-06-22 F1 · derivative.exercise_date: The option vests in twenty-four equal monthly installments, becoming fully vested on the two year anniversary of the date of grant. F2 · derivative.expiration_date: The option terminates on the earlier of (i) June 22, 2028 and (ii) the one year anniversary of the reporting person's ceasing to serve as a director of the Issuer. Read SEC document |
| June 08, 2018 Filed Jun 11, 2018 07:08 UTC |
LENZ BRIANVP, CFO
|
PurchaseCommon Stock | 5,000 | $4.78 | $23,900.00 |
DisclosureSEC source: 0001193805-18-000818 · e618084_4-lenz.xml · nonDerivative · entry 1 LENZ BRIAN · CIK 0001283260 · VP, CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 F1 · shares: Represents a purchase from the underwriters in the Issuer's public offering. Read SEC document |
| June 08, 2018 Filed Jun 11, 2018 07:08 UTC |
RICHMAN ERIC IDirector
|
PurchaseCommon Stock | 5,230 | $4.78 | $24,999.40 |
DisclosureSEC source: 0001193805-18-000817 · e618083_4-richman.xml · nonDerivative · entry 1 RICHMAN ERIC I · CIK 0001313876 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,530 F1 · shares: Represents a purchase from the underwriters in the Issuer's public offering. 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.