Last 12 months
Inside the activity.
4 purchase rows · 0 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 0 |
| Dec 2025 | 0 | 0 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 0 | 0 |
| Mar 2026 | 0 | 0 |
| Apr 2026 | 0 | 0 |
| May 2026 | 0 | 0 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 0 | 0 |
| Sep 2026 | 4 | 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 |
|---|---|---|---|---|---|---|
| May 03, 2019 Filed Jun 14, 2019 18:06 UTC |
APPELROUTH STEWARTDirector
|
OtherCommon Stock | 27,152 | $0.14 | $3,801.28 |
DisclosureSEC source: 0001702626-19-000001 · primary_doc.xml · nonDerivative · entry 1 APPELROUTH STEWART · CIK 0001702626 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 296,640 F1 · kind: Shares issued for 50 percent of Director's Fee for the first half of April, 2019. Read SEC document |
| March 25, 2019 Filed Jun 17, 2019 20:48 UTC |
APPELROUTH STEWARTDirector
|
ConversionCommon Stock | 140,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001613377-19-000007 · primary_doc.xml · nonDerivative · entry 1 APPELROUTH STEWART · CIK 0001702626 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 518,096 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share has a stated value of $1,000 and was converted into 5,000 shares of Series B Common Stock for each of the forty shares issued. Read SEC document |
| March 25, 2019 Filed Jun 17, 2019 20:11 UTC |
SPRINGATE WAYNE SSr. VP of Operations
|
ConversionCommon Stock | 50,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001613377-19-000006 · primary_doc.xml · nonDerivative · entry 1 SPRINGATE WAYNE S · CIK 0001465652 · Sr. VP of Operations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 117,273 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share has a stated value of $1,000 and was converted into 5,000 shares of Series B Common Stock for each of the ten shares issued. Read SEC document |
| March 25, 2019 Filed Jun 17, 2019 18:58 UTC |
STRAYER DAVID RChief Science/Medical Officer
|
ConversionCommon Stock | 50,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001613377-19-000004 · primary_doc.xml · nonDerivative · entry 1 STRAYER DAVID R · CIK 0001270074 · Chief Science/Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 94,304 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share has a stated value of $1,000 and was converted into 5,000 shares of Series B Common Stock for each of the ten shares issued. Read SEC document |
| March 19, 2019 Filed Mar 19, 2019 20:01 UTC |
Equels Thomas KDirector · Exec. Vice Chairman/CEO/Pres.
|
PurchaseCommon Stock | 13,400 | $0.18 | $2,351.70 |
DisclosureSEC source: 0001450324-19-000009 · primary_doc.xml · nonDerivative · entry 1 EQUELS THOMAS K. · CIK 0001450324 · Director · Exec. Vice Chairman/CEO/Pres. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 811,707 Read SEC document |
| March 18, 2019 Filed Jun 17, 2019 19:53 UTC |
Rodino Peter W IIIDir Govt Relations/Sectry
|
ConversionCommon Stock | 90,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001613377-19-000005 · primary_doc.xml · nonDerivative · entry 1 RODINO III PETER W. · CIK 0001583701 · Dir Govt Relations/Sectry 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 108,373 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share has a stated value of $1,000 and was converted into 5,000 shares of Series B Common Stock for each of the 18 shares issued. Read SEC document |
| March 18, 2019 Filed Jun 17, 2019 17:23 UTC |
Equels Thomas KDirector · Exec. Vice Chairman/CEO/Pres.
|
ConversionCommon Stock | 325,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001613377-19-000003 · primary_doc.xml · nonDerivative · entry 1 EQUELS THOMAS K. · CIK 0001450324 · Director · Exec. Vice Chairman/CEO/Pres. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,136,707 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share has a stated value of $1,000 and was converted into 5,000 shares of Series B Common Stock for each of the 65 shares issued. Read SEC document |
| March 18, 2019 Filed Jun 17, 2019 15:57 UTC |
PASCALE ADAMCFO
|
ConversionCommon Stock | 50,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001613377-19-000002 · primary_doc.xml · nonDerivative · entry 1 PASCALE ADAM · CIK 0001613377 · CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 112,148 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share has a stated value of $1,000 and was converted into 5,000 shares of Series B Common Stock for each of the ten shares issued. Read SEC document |
| March 18, 2019 Filed Jun 18, 2019 14:58 UTC |
MITCHELL WILLIAM MDirector
|
ConversionCommon Stock | 200,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001191434-19-000001 · primary_doc.xml · nonDerivative · entry 1 MITCHELL WILLIAM M · CIK 0001191434 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 319,805 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share has a stated value of $1,000 and was converted into 5,000 shares of Series B Common Stock for each of the forty shares issued. Read SEC document |
| March 04, 2019 Filed Mar 13, 2019 18:55 UTC |
MITCHELL WILLIAM MDirector
|
OtherSubr Rights(to buy) · Derivative | 40 | $1,000.00 Strike: $1,000.00 | $40,000.00 |
DisclosureSEC source: 0001583701-19-000005 · primary_doc.xml · derivative · entry 3 MITCHELL WILLIAM M · CIK 0001191434 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Pref Stk/Warrants · Not disclosed shares Expires 2019-03-05 F1 · derivative.underlying: Each share has a stated value of $1,000 and is convertible into 5,000 shares of common stock and was issued as part of a subscription right issued in a rights offering. F2 · derivative.underlying: Each warrant is exercisable for one share of common stock at an exercise price of $0.20 per share and was issued as part of a subscription right issued in a rights offering. F3 · derivative.underlying_shares: Represents $1,000 per unit purchased in the rights offering, each unit consisting of 1 shares of Series B Preferred Stock and 5,000 warrants. Read SEC document |
| March 04, 2019 Filed Mar 13, 2019 18:55 UTC |
MITCHELL WILLIAM MDirector
|
OtherWarrants | 200,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001583701-19-000005 · primary_doc.xml · nonDerivative · entry 2 MITCHELL WILLIAM M · CIK 0001191434 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 200,000 F2 · security: Each warrant is exercisable for one share of common stock at an exercise price of $0.20 per share and was issued as part of a subscription right issued in a rights offering. F2 · shares: Each warrant is exercisable for one share of common stock at an exercise price of $0.20 per share and was issued as part of a subscription right issued in a rights offering. F2 · price: Each warrant is exercisable for one share of common stock at an exercise price of $0.20 per share and was issued as part of a subscription right issued in a rights offering. F3 · price: Represents $1,000 per unit purchased in the rights offering, each unit consisting of 1 shares of Series B Preferred Stock and 5,000 warrants. Read SEC document |
| March 04, 2019 Filed Mar 13, 2019 18:55 UTC |
MITCHELL WILLIAM MDirector
|
OtherSeries B Convertible Preferred Stock | 40 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001583701-19-000005 · primary_doc.xml · nonDerivative · entry 1 MITCHELL WILLIAM M · CIK 0001191434 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40 F1 · security: Each share has a stated value of $1,000 and is convertible into 5,000 shares of common stock and was issued as part of a subscription right issued in a rights offering. F1 · shares: Each share has a stated value of $1,000 and is convertible into 5,000 shares of common stock and was issued as part of a subscription right issued in a rights offering. F1 · price: Each share has a stated value of $1,000 and is convertible into 5,000 shares of common stock and was issued as part of a subscription right issued in a rights offering. F3 · price: Represents $1,000 per unit purchased in the rights offering, each unit consisting of 1 shares of Series B Preferred Stock and 5,000 warrants. Read SEC document |
| March 04, 2019 Filed Mar 13, 2019 16:51 UTC |
STRAYER DAVID RChief Science/Medical Officer
|
OtherSubr Rights(to buy) · Derivative | 10 | $1,000.00 Strike: $1,000.00 | $10,000.00 |
DisclosureSEC source: 0001583701-19-000002 · primary_doc.xml · derivative · entry 3 STRAYER DAVID R · CIK 0001270074 · Chief Science/Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Pref Stk/Warrants · Not disclosed shares Expires 2019-03-05 F1 · derivative.underlying: Each share has a stated value of $1,000 and is convertible into 5,000 shares of common stock and was issued as part of a subscription right issued in a rights offering. F2 · derivative.underlying: Each warrant is exercisable for one share of common stock at an exercise price of $0.20 per share and was issued as part of a subscription right issued in a rights offering. F3 · derivative.underlying_shares: Represents $1,000 per unit purchased in the rights offering, each unit consisting of 1 shares of Series B Preferred Stock and 5,000 warrants. Read SEC document |
| March 04, 2019 Filed Mar 13, 2019 16:51 UTC |
STRAYER DAVID RChief Science/Medical Officer
|
OtherWarrants | 50,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001583701-19-000002 · primary_doc.xml · nonDerivative · entry 2 STRAYER DAVID R · CIK 0001270074 · Chief Science/Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 F2 · security: Each warrant is exercisable for one share of common stock at an exercise price of $0.20 per share and was issued as part of a subscription right issued in a rights offering. F2 · shares: Each warrant is exercisable for one share of common stock at an exercise price of $0.20 per share and was issued as part of a subscription right issued in a rights offering. F2 · price: Each warrant is exercisable for one share of common stock at an exercise price of $0.20 per share and was issued as part of a subscription right issued in a rights offering. F3 · price: Represents $1,000 per unit purchased in the rights offering, each unit consisting of 1 shares of Series B Preferred Stock and 5,000 warrants. Read SEC document |
| March 04, 2019 Filed Mar 13, 2019 16:51 UTC |
STRAYER DAVID RChief Science/Medical Officer
|
OtherSeries B Convertible Preferred Stock | 10 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001583701-19-000002 · primary_doc.xml · nonDerivative · entry 1 STRAYER DAVID R · CIK 0001270074 · Chief Science/Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10 F1 · security: Each share has a stated value of $1,000 and is convertible into 5,000 shares of common stock and was issued as part of a subscription right issued in a rights offering. F1 · shares: Each share has a stated value of $1,000 and is convertible into 5,000 shares of common stock and was issued as part of a subscription right issued in a rights offering. F1 · price: Each share has a stated value of $1,000 and is convertible into 5,000 shares of common stock and was issued as part of a subscription right issued in a rights offering. F3 · price: Represents $1,000 per unit purchased in the rights offering, each unit consisting of 1 shares of Series B Preferred Stock and 5,000 warrants. Read SEC document |
| February 28, 2019 Filed Mar 13, 2019 18:34 UTC |
APPELROUTH STEWARTDirector
|
OtherSubr Rights(to buy) · Derivative | 40 | $1,000.00 Strike: $1,000.00 | $40,000.00 |
DisclosureSEC source: 0001583701-19-000004 · primary_doc.xml · derivative · entry 3 APPELROUTH STEWART · CIK 0001702626 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Pref Stk/Warrants · Not disclosed shares Expires 2019-03-05 F1 · derivative.underlying: Each share has a stated value of $1,000 and is convertible into 5,000 shares of common stock and was issued as part of a subscription right issued in a rights offering. F2 · derivative.underlying: Each warrant is exercisable for one share of common stock at an exercise price of $0.20 per share and was issued as part of a subscription right issued in a rights offering. F3 · derivative.underlying_shares: Represents $1,000 per unit purchased in the rights offering, each unit consisting of 1 shares of Series B Preferred Stock and 5,000 warrants. Read SEC document |
| February 28, 2019 Filed Mar 13, 2019 18:34 UTC |
APPELROUTH STEWARTDirector
|
OtherWarrants | 200,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001583701-19-000004 · primary_doc.xml · nonDerivative · entry 2 APPELROUTH STEWART · CIK 0001702626 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 200,000 F2 · security: Each warrant is exercisable for one share of common stock at an exercise price of $0.20 per share and was issued as part of a subscription right issued in a rights offering. F2 · shares: Each warrant is exercisable for one share of common stock at an exercise price of $0.20 per share and was issued as part of a subscription right issued in a rights offering. F2 · price: Each warrant is exercisable for one share of common stock at an exercise price of $0.20 per share and was issued as part of a subscription right issued in a rights offering. F3 · price: Represents $1,000 per unit purchased in the rights offering, each unit consisting of 1 shares of Series B Preferred Stock and 5,000 warrants. Read SEC document |
| February 28, 2019 Filed Mar 13, 2019 18:34 UTC |
APPELROUTH STEWARTDirector
|
OtherSeries B Convertible Preferred Stock | 40 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001583701-19-000004 · primary_doc.xml · nonDerivative · entry 1 APPELROUTH STEWART · CIK 0001702626 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40 F1 · security: Each share has a stated value of $1,000 and is convertible into 5,000 shares of common stock and was issued as part of a subscription right issued in a rights offering. F1 · shares: Each share has a stated value of $1,000 and is convertible into 5,000 shares of common stock and was issued as part of a subscription right issued in a rights offering. F1 · price: Each share has a stated value of $1,000 and is convertible into 5,000 shares of common stock and was issued as part of a subscription right issued in a rights offering. F3 · price: Represents $1,000 per unit purchased in the rights offering, each unit consisting of 1 shares of Series B Preferred Stock and 5,000 warrants. Read SEC document |
| February 28, 2019 Filed Mar 13, 2019 17:19 UTC |
SPRINGATE WAYNE SSr. VP of Operations
|
OtherSubr Rights(to buy) · Derivative | 10 | $1,000.00 Strike: $1,000.00 | $10,000.00 |
DisclosureSEC source: 0001583701-19-000003 · primary_doc.xml · derivative · entry 3 SPRINGATE WAYNE S · CIK 0001465652 · Sr. VP of Operations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Pref Stk/Warrants · Not disclosed shares Expires 2019-03-05 F1 · derivative.underlying: Each share has a stated value of $1,000 and is convertible into 5,000 shares of common stock and was issued as part of a subscription right issued in a rights offering. F2 · derivative.underlying: Each warrant is exercisable for one share of common stock at an exercise price of $0.20 per share and was issued as part of a subscription right issued in a rights offering. F3 · derivative.underlying_shares: Represents $1,000 per unit purchased in the rights offering, each unit consisting of 1 shares of Series B Preferred Stock and 5,000 warrants. Read SEC document |
| February 28, 2019 Filed Mar 13, 2019 17:19 UTC |
SPRINGATE WAYNE SSr. VP of Operations
|
OtherWarrants | 50,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001583701-19-000003 · primary_doc.xml · nonDerivative · entry 2 SPRINGATE WAYNE S · CIK 0001465652 · Sr. VP of Operations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 F2 · security: Each warrant is exercisable for one share of common stock at an exercise price of $0.20 per share and was issued as part of a subscription right issued in a rights offering. F2 · shares: Each warrant is exercisable for one share of common stock at an exercise price of $0.20 per share and was issued as part of a subscription right issued in a rights offering. F2 · price: Each warrant is exercisable for one share of common stock at an exercise price of $0.20 per share and was issued as part of a subscription right issued in a rights offering. F3 · price: Represents $1,000 per unit purchased in the rights offering, each unit consisting of 1 shares of Series B Preferred Stock and 5,000 warrants. Read SEC document |
| February 28, 2019 Filed Mar 13, 2019 17:19 UTC |
SPRINGATE WAYNE SSr. VP of Operations
|
OtherSeries B Convertible Preferred Stock | 10 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001583701-19-000003 · primary_doc.xml · nonDerivative · entry 1 SPRINGATE WAYNE S · CIK 0001465652 · Sr. VP of Operations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10 F1 · security: Each share has a stated value of $1,000 and is convertible into 5,000 shares of common stock and was issued as part of a subscription right issued in a rights offering. F1 · shares: Each share has a stated value of $1,000 and is convertible into 5,000 shares of common stock and was issued as part of a subscription right issued in a rights offering. F1 · price: Each share has a stated value of $1,000 and is convertible into 5,000 shares of common stock and was issued as part of a subscription right issued in a rights offering. F3 · price: Represents $1,000 per unit purchased in the rights offering, each unit consisting of 1 shares of Series B Preferred Stock and 5,000 warrants. Read SEC document |
| February 27, 2019 Filed Mar 12, 2019 20:29 UTC |
Equels Thomas KDirector · Exec. Vice Chairman/CEO/Pres.
|
OtherSubr Rights(to buy) · Derivative | 65 | $1,000.00 Strike: $1,000.00 | $65,000.00 |
DisclosureSEC source: 0001450324-19-000008 · primary_doc.xml · derivative · entry 3 EQUELS THOMAS K. · CIK 0001450324 · Director · Exec. Vice Chairman/CEO/Pres. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Pref Stk/Warrants · Not disclosed shares Expires 2019-03-05 F1 · derivative.underlying: Each share has a stated value of $1,000 and is convertible into 5,000 shares of common stock and was issued as part of a subscription right issued in a rights offering. F2 · derivative.underlying: Each warrant is exercisable for one share of common stock at an exercise price of $0.20 per share and was issued as part of a subscription right issued in a rights offering. F3 · derivative.underlying_shares: Represents $1,000 per unit purchased in the rights offering, each unit consisting of 1 share of Series B Preferred Stock and 5,000 warrants. Read SEC document |
| February 27, 2019 Filed Mar 12, 2019 20:29 UTC |
Equels Thomas KDirector · Exec. Vice Chairman/CEO/Pres.
|
OtherWarrants | 325,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001450324-19-000008 · primary_doc.xml · nonDerivative · entry 2 EQUELS THOMAS K. · CIK 0001450324 · Director · Exec. Vice Chairman/CEO/Pres. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 325,000 F2 · security: Each warrant is exercisable for one share of common stock at an exercise price of $0.20 per share and was issued as part of a subscription right issued in a rights offering. F2 · shares: Each warrant is exercisable for one share of common stock at an exercise price of $0.20 per share and was issued as part of a subscription right issued in a rights offering. F2 · price: Each warrant is exercisable for one share of common stock at an exercise price of $0.20 per share and was issued as part of a subscription right issued in a rights offering. F3 · price: Represents $1,000 per unit purchased in the rights offering, each unit consisting of 1 share of Series B Preferred Stock and 5,000 warrants. Read SEC document |
| February 27, 2019 Filed Mar 12, 2019 20:29 UTC |
Equels Thomas KDirector · Exec. Vice Chairman/CEO/Pres.
|
OtherSeries B Convertible Preferred Stock | 65 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001450324-19-000008 · primary_doc.xml · nonDerivative · entry 1 EQUELS THOMAS K. · CIK 0001450324 · Director · Exec. Vice Chairman/CEO/Pres. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65 F1 · security: Each share has a stated value of $1,000 and is convertible into 5,000 shares of common stock and was issued as part of a subscription right issued in a rights offering. F1 · shares: Each share has a stated value of $1,000 and is convertible into 5,000 shares of common stock and was issued as part of a subscription right issued in a rights offering. F1 · price: Each share has a stated value of $1,000 and is convertible into 5,000 shares of common stock and was issued as part of a subscription right issued in a rights offering. F3 · price: Represents $1,000 per unit purchased in the rights offering, each unit consisting of 1 share of Series B Preferred Stock and 5,000 warrants. Read SEC document |
| February 27, 2019 Filed Mar 12, 2019 17:40 UTC |
PASCALE ADAMCFO
|
OtherSubr Rights(to buy) · Derivative | 10 | $1,000.00 Strike: $1,000.00 | $10,000.00 |
DisclosureSEC source: 0001613377-19-000001 · primary_doc.xml · derivative · entry 3 PASCALE ADAM · CIK 0001613377 · CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Pref Stk/Warrants · Not disclosed shares Expires 2019-03-05 F1 · derivative.underlying: Each share has a stated value of $1,000 and is convertible into 5,000 shares of common stock and was issued as part of a subscription right issued in a rights offering. F2 · derivative.underlying: Each warrant is exercisable for one share of common stock at an exercise price of $0.20 per share and was issued as part of a subscription right issued in a rights offering. F3 · derivative.underlying_shares: Represents $1,000 per unit purchased in the rights offering, each unit consisting of 1 shares of Series B Preferred Stock and 5,000 warrants. Read SEC document |
| February 27, 2019 Filed Mar 12, 2019 17:40 UTC |
PASCALE ADAMCFO
|
OtherWarrants | 50,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001613377-19-000001 · primary_doc.xml · nonDerivative · entry 2 PASCALE ADAM · CIK 0001613377 · CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 F2 · security: Each warrant is exercisable for one share of common stock at an exercise price of $0.20 per share and was issued as part of a subscription right issued in a rights offering. F2 · shares: Each warrant is exercisable for one share of common stock at an exercise price of $0.20 per share and was issued as part of a subscription right issued in a rights offering. F2 · price: Each warrant is exercisable for one share of common stock at an exercise price of $0.20 per share and was issued as part of a subscription right issued in a rights offering. F3 · price: Represents $1,000 per unit purchased in the rights offering, each unit consisting of 1 shares of Series B Preferred Stock and 5,000 warrants. Read SEC document |
| February 27, 2019 Filed Mar 12, 2019 17:40 UTC |
PASCALE ADAMCFO
|
OtherSeries B Convertible Preferred Stock | 10 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001613377-19-000001 · primary_doc.xml · nonDerivative · entry 1 PASCALE ADAM · CIK 0001613377 · CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10 F1 · security: Each share has a stated value of $1,000 and is convertible into 5,000 shares of common stock and was issued as part of a subscription right issued in a rights offering. F1 · shares: Each share has a stated value of $1,000 and is convertible into 5,000 shares of common stock and was issued as part of a subscription right issued in a rights offering. F1 · price: Each share has a stated value of $1,000 and is convertible into 5,000 shares of common stock and was issued as part of a subscription right issued in a rights offering. F3 · price: Represents $1,000 per unit purchased in the rights offering, each unit consisting of 1 shares of Series B Preferred Stock and 5,000 warrants. Read SEC document |
| February 27, 2019 Filed Mar 13, 2019 15:27 UTC |
Rodino Peter W IIIDir Govt Relations/Sectry
|
OtherSubr Rights(to buy) · Derivative | 18 | $1,000.00 Strike: $1,000.00 | $18,000.00 |
DisclosureSEC source: 0001583701-19-000001 · primary_doc.xml · derivative · entry 3 RODINO III PETER W. · CIK 0001583701 · Dir Govt Relations/Sectry 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Pref Stk/Warrants · Not disclosed shares Expires 2019-03-05 F1 · derivative.underlying: Each share has a stated value of $1,000 and is convertible into 5,000 shares of common stock and was issued as part of a subscription right issued in a rights offering. F2 · derivative.underlying: Each warrant is exercisable for one share of common stock at an exercise price of $0.20 per share and was issued as part of a subscription right issued in a rights offering. F3 · derivative.underlying_shares: Represents $1,000 per unit purchased in the rights offering, each unit consisting of 1 shares of Series B Preferred Stock and 5,000 warrants. Read SEC document |
| February 27, 2019 Filed Mar 13, 2019 15:27 UTC |
Rodino Peter W IIIDir Govt Relations/Sectry
|
OtherWarrants | 90,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001583701-19-000001 · primary_doc.xml · nonDerivative · entry 2 RODINO III PETER W. · CIK 0001583701 · Dir Govt Relations/Sectry 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 90,000 F2 · security: Each warrant is exercisable for one share of common stock at an exercise price of $0.20 per share and was issued as part of a subscription right issued in a rights offering. F2 · shares: Each warrant is exercisable for one share of common stock at an exercise price of $0.20 per share and was issued as part of a subscription right issued in a rights offering. F2 · price: Each warrant is exercisable for one share of common stock at an exercise price of $0.20 per share and was issued as part of a subscription right issued in a rights offering. F3 · price: Represents $1,000 per unit purchased in the rights offering, each unit consisting of 1 shares of Series B Preferred Stock and 5,000 warrants. Read SEC document |
| February 27, 2019 Filed Mar 13, 2019 15:27 UTC |
Rodino Peter W IIIDir Govt Relations/Sectry
|
OtherSeries B Convertible Preferred Stock | 18 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001583701-19-000001 · primary_doc.xml · nonDerivative · entry 1 RODINO III PETER W. · CIK 0001583701 · Dir Govt Relations/Sectry 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18 F1 · security: Each share has a stated value of $1,000 and is convertible into 5,000 shares of common stock and was issued as part of a subscription right issued in a rights offering. F1 · shares: Each share has a stated value of $1,000 and is convertible into 5,000 shares of common stock and was issued as part of a subscription right issued in a rights offering. F1 · price: Each share has a stated value of $1,000 and is convertible into 5,000 shares of common stock and was issued as part of a subscription right issued in a rights offering. F3 · price: Represents $1,000 per unit purchased in the rights offering, each unit consisting of 1 shares of Series B Preferred Stock and 5,000 warrants. Read SEC document |
| January 28, 2019 Filed Jan 30, 2019 16:24 UTC |
Rodino Peter W IIIDir Govt Relations/Sectry
|
GrantOptions to buy Common Stock · Derivative | 198,864 | $0.00 Strike: $0.22 | $0.00 |
DisclosureSEC source: 0001450324-19-000004 · primary_doc.xml · derivative · entry 1 RODINO III PETER W. · CIK 0001583701 · Dir Govt Relations/Sectry 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 198,864 Underlying: Common Stock · 198,864 shares Expires 2029-01-28 F1 · security: This option is being issued to senior management for a voluntary 50% deferral in salary. Read SEC document |
| January 28, 2019 Filed Jan 30, 2019 17:35 UTC |
APPELROUTH STEWARTDirector
|
GrantOptions to buy Common Stock · Derivative | 50,000 | $0.00 Strike: $0.22 | $0.00 |
DisclosureSEC source: 0001450324-19-000007 · primary_doc.xml · derivative · entry 2 APPELROUTH STEWART · CIK 0001702626 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Stock · 50,000 shares Expires 2029-01-28 F2 · security: This option is being issued to senior management for serving as Chair on committees in the year 2019. Read SEC document |
| January 28, 2019 Filed Jan 30, 2019 17:35 UTC |
APPELROUTH STEWARTDirector
|
GrantOptions to buy Common Stock · Derivative | 207,343 | $0.00 Strike: $0.22 | $0.00 |
DisclosureSEC source: 0001450324-19-000007 · primary_doc.xml · derivative · entry 1 APPELROUTH STEWART · CIK 0001702626 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 207,343 Underlying: Common Stock · 207,343 shares Expires 2029-01-28 F1 · security: This option is being issued to senior management for a voluntary 100% deferral of Director's fees. Read SEC document |
| January 28, 2019 Filed Jan 30, 2019 16:36 UTC |
STRAYER DAVID RChief Science/Medical Officer
|
GrantOptions to buy Common Stock · Derivative | 184,659 | $0.00 Strike: $0.22 | $0.00 |
DisclosureSEC source: 0001450324-19-000005 · primary_doc.xml · derivative · entry 1 STRAYER DAVID R · CIK 0001270074 · Chief Science/Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 184,659 Underlying: Common Stock · 184,659 shares Expires 2029-01-28 F1 · security: This option is being issued to senior management for a voluntary 50% deferral in salary. Read SEC document |
| January 28, 2019 Filed Jan 30, 2019 17:12 UTC |
MITCHELL WILLIAM MDirector
|
GrantOptions to buy Common Stock · Derivative | 50,000 | $0.00 Strike: $0.22 | $0.00 |
DisclosureSEC source: 0001450324-19-000006 · primary_doc.xml · derivative · entry 2 MITCHELL WILLIAM M · CIK 0001191434 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Stock · 50,000 shares Expires 2029-01-28 F2 · security: This option is being issued to senior management for serving as Chair on committees in the year 2019. Read SEC document |
| January 28, 2019 Filed Jan 30, 2019 17:12 UTC |
MITCHELL WILLIAM MDirector
|
GrantOptions to buy Common Stock · Derivative | 207,343 | $0.00 Strike: $0.22 | $0.00 |
DisclosureSEC source: 0001450324-19-000006 · primary_doc.xml · derivative · entry 1 MITCHELL WILLIAM M · CIK 0001191434 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 207,343 Underlying: Common Stock · 207,343 shares Expires 2029-01-28 F1 · security: This option is being issued to senior management for a voluntary 100% deferral of Director's fees. Read SEC document |
| January 28, 2019 Filed Jan 30, 2019 15:59 UTC |
PASCALE ADAMCFO
|
GrantOptions to buy Common Stock · Derivative | 142,046 | $0.00 Strike: $0.22 | $0.00 |
DisclosureSEC source: 0001450324-19-000003 · primary_doc.xml · derivative · entry 1 PASCALE ADAM · CIK 0001613377 · CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 142,046 Underlying: Common Stock · 142,046 shares Expires 2029-01-28 F1 · security: This option is being issued to senior management for a voluntary 50% deferral in salary. Read SEC document |
| January 28, 2019 Filed Jan 30, 2019 15:46 UTC |
SPRINGATE WAYNE SSr. VP of Operations
|
GrantOptions to buy Common Stock · Derivative | 142,046 | $0.00 Strike: $0.22 | $0.00 |
DisclosureSEC source: 0001450324-19-000002 · primary_doc.xml · derivative · entry 1 SPRINGATE WAYNE S · CIK 0001465652 · Sr. VP of Operations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 142,046 Underlying: Common Stock · 142,046 shares Expires 2029-01-28 F1 · security: This option is being issued to senior management for a voluntary 50% deferral in salary. Read SEC document |
| January 28, 2019 Filed Jan 30, 2019 15:20 UTC |
Equels Thomas KDirector · Exec. Vice Chairman/CEO/Pres.
|
GrantOptions to buy Common Stock · Derivative | 426,136 | $0.00 Strike: $0.22 | $0.00 |
DisclosureSEC source: 0001450324-19-000001 · primary_doc.xml · derivative · entry 1 EQUELS THOMAS K. · CIK 0001450324 · Director · Exec. Vice Chairman/CEO/Pres. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 426,136 Underlying: Common Stock · 426,136 shares Expires 2029-01-28 F1 · security: This option is being issued to senior management for a voluntary 50% deferral in salary. Read SEC document |
| November 30, 2018 Filed Dec 3, 2018 16:32 UTC |
Equels Thomas KDirector · Exec. Vice Chairman/CEO/Pres.
|
PurchaseCommon Stock | 6,000 | $0.20 | $1,176.00 |
DisclosureSEC source: 0001450324-18-000008 · primary_doc.xml · nonDerivative · entry 8 EQUELS THOMAS K. · CIK 0001450324 · Director · Exec. Vice Chairman/CEO/Pres. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 798,307 Read SEC document |
| November 30, 2018 Filed Dec 3, 2018 16:32 UTC |
Equels Thomas KDirector · Exec. Vice Chairman/CEO/Pres.
|
PurchaseCommon Stock | 334 | $0.19 | $64.96 |
DisclosureSEC source: 0001450324-18-000008 · primary_doc.xml · nonDerivative · entry 7 EQUELS THOMAS K. · CIK 0001450324 · Director · Exec. Vice Chairman/CEO/Pres. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 792,307 Read SEC document |
| November 30, 2018 Filed Dec 3, 2018 16:32 UTC |
Equels Thomas KDirector · Exec. Vice Chairman/CEO/Pres.
|
PurchaseCommon Stock | 300 | $0.19 | $58.32 |
DisclosureSEC source: 0001450324-18-000008 · primary_doc.xml · nonDerivative · entry 6 EQUELS THOMAS K. · CIK 0001450324 · Director · Exec. Vice Chairman/CEO/Pres. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 791,973 Read SEC document |
| November 30, 2018 Filed Dec 3, 2018 16:32 UTC |
Equels Thomas KDirector · Exec. Vice Chairman/CEO/Pres.
|
PurchaseCommon Stock | 50 | $0.19 | $9.69 |
DisclosureSEC source: 0001450324-18-000008 · primary_doc.xml · nonDerivative · entry 5 EQUELS THOMAS K. · CIK 0001450324 · Director · Exec. Vice Chairman/CEO/Pres. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 791,673 Read SEC document |
| November 30, 2018 Filed Dec 3, 2018 16:32 UTC |
Equels Thomas KDirector · Exec. Vice Chairman/CEO/Pres.
|
PurchaseCommon Stock | 2,400 | $0.19 | $463.20 |
DisclosureSEC source: 0001450324-18-000008 · primary_doc.xml · nonDerivative · entry 4 EQUELS THOMAS K. · CIK 0001450324 · Director · Exec. Vice Chairman/CEO/Pres. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 791,623 Read SEC document |
| November 30, 2018 Filed Dec 3, 2018 16:32 UTC |
Equels Thomas KDirector · Exec. Vice Chairman/CEO/Pres.
|
PurchaseCommon Stock | 9,557 | $0.19 | $1,815.83 |
DisclosureSEC source: 0001450324-18-000008 · primary_doc.xml · nonDerivative · entry 3 EQUELS THOMAS K. · CIK 0001450324 · Director · Exec. Vice Chairman/CEO/Pres. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 789,223 Read SEC document |
| November 30, 2018 Filed Dec 3, 2018 16:32 UTC |
Equels Thomas KDirector · Exec. Vice Chairman/CEO/Pres.
|
PurchaseCommon Stock | 5 | $0.19 | $0.95 |
DisclosureSEC source: 0001450324-18-000008 · primary_doc.xml · nonDerivative · entry 2 EQUELS THOMAS K. · CIK 0001450324 · Director · Exec. Vice Chairman/CEO/Pres. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 779,666 Read SEC document |
| November 30, 2018 Filed Dec 3, 2018 16:32 UTC |
Equels Thomas KDirector · Exec. Vice Chairman/CEO/Pres.
|
PurchaseCommon Stock | 1,354 | $0.19 | $256.04 |
DisclosureSEC source: 0001450324-18-000008 · primary_doc.xml · nonDerivative · entry 1 EQUELS THOMAS K. · CIK 0001450324 · Director · Exec. Vice Chairman/CEO/Pres. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 779,661 Read SEC document |
| November 27, 2018 Filed Nov 29, 2018 17:16 UTC |
MITCHELL WILLIAM MDirector
|
GrantCommon Stock | 2,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001613377-18-000039 · primary_doc.xml · nonDerivative · entry 1 MITCHELL WILLIAM M · CIK 0001191434 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,197 F1 · kind: The Board of Directors awarded 2,500 shares of Company common stock to each employee, executive, and board member as a holiday bonus to be issued after January 2, 2019. Read SEC document |
| November 27, 2018 Filed Nov 29, 2018 16:27 UTC |
APPELROUTH STEWARTDirector
|
GrantCommon Stock | 2,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001613377-18-000038 · primary_doc.xml · nonDerivative · entry 1 APPELROUTH STEWART · CIK 0001702626 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 269,488 F1 · kind: The Board of Directors awarded 2,500 shares of Company common stock to each employee, executive, and board member as a holiday bonus to be issued after January 2, 2019. Read SEC document |
| November 27, 2018 Filed Nov 29, 2018 16:05 UTC |
Rodino Peter W IIIDir Govt Relations/Sectry
|
GrantCommon Stock | 2,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001613377-18-000037 · primary_doc.xml · nonDerivative · entry 1 RODINO III PETER W. · CIK 0001583701 · Dir Govt Relations/Sectry 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,373 F1 · kind: The Board of Directors awarded 2,500 shares of Company common stock to each employee, executive, and board member as a holiday bonus to be issued after January 2, 2019. 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.