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Nasdaq · USD

AKBA

Akebia Therapeutics, Inc.

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6105
SEC CIK
0001517022
Parsed reports
275

Last 12 months

Inside the activity.

1 purchase rows · 16 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 2026015
Mar 202610
Apr 202600
May 202600
Jun 202601
Jul 202600
Aug 202600
Sep 202600
Oct 202600

Latest available

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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 05, 2020 Filed Jun 9, 2020 16:17 UTC GrantStock Option (Right to buy) · Derivative 20,100 $0.00 Strike: $11.96 $0.00
Disclosure

SEC source: 0001562180-20-004359 · primarydocument.xml · derivative · entry 3

GILMAN STEVEN C · CIK 0001379970 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,100

Underlying: Common Stock · 20,100 shares

Expires 2030-06-05

F3 · shares: Represents an option to purchase shares of the Issuer's common stock granted by the Issuer pursuant to its 2014 Incentive Plan, as amended, as provided by the Issuer's Amended and Restated Non-Employee Director Compensation Program (the "Stock Option"). 100% of the Stock Option will vest and become exercisable on the first anniversary of the grant date, subject to the Reporting Person's continued service to the Issuer.

Read SEC document
June 05, 2020 Filed Jun 9, 2020 16:17 UTC GrantCommon Stock 13,700 $0.00 $0.00
Disclosure

SEC source: 0001562180-20-004359 · primarydocument.xml · nonDerivative · entry 1

GILMAN STEVEN C · CIK 0001379970 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,431

F1 · shares: The restricted stock units were granted by the Issuer pursuant to its 2014 Incentive Plan, as amended, as provided by the Issuer's Amended and Restated Non-Employee Director Compensation Program (the "RSUs"). 100% of the RSUs will vest on the first anniversary of the grant date, subject to the Reporting Person's continued service to the Issuer.

Read SEC document
June 05, 2020 Filed Jun 9, 2020 20:17 UTC GrantStock Option (Right to buy) · Derivative 20,100 $0.00 Strike: $11.96 $0.00
Disclosure

SEC source: 0001562180-20-004355 · primarydocument.xml · derivative · entry 2

Enyedy Mark J · CIK 0001586965 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,100

Underlying: Common Stock · 20,100 shares

Expires 2030-06-05

F2 · shares: Represents an option to purchase shares of the Issuer's common stock granted by the Issuer pursuant to its 2014 Incentive Plan, as amended, as provided by the Issuer's Amended and Restated Non-Employee Director Compensation Program (the "Stock Option"). 100% of the Stock Option will vest and become exercisable on the first anniversary of the grant date, subject to the Reporting Person's continued service to the Issuer.

Read SEC document
June 05, 2020 Filed Jun 9, 2020 20:17 UTC GrantCommon Stock 13,700 $0.00 $0.00
Disclosure

SEC source: 0001562180-20-004355 · primarydocument.xml · nonDerivative · entry 1

Enyedy Mark J · CIK 0001586965 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,143

F1 · shares: The restricted stock units were granted by the Issuer pursuant to its 2014 Incentive Plan, as amended, as provided by the Issuer's Amended and Restated Non-Employee Director Compensation Program (the "RSUs"). 100% of the RSUs will vest on the first anniversary of the grant date, subject to the Reporting Person's continued service to the Issuer.

Read SEC document
June 05, 2020 Filed Jun 9, 2020 20:17 UTC GrantStock Option (Right to buy) · Derivative 20,100 $0.00 Strike: $11.96 $0.00
Disclosure

SEC source: 0001562180-20-004360 · primarydocument.xml · derivative · entry 3

Smith Cynthia · CIK 0001609480 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,100

Underlying: Common Stock · 20,100 shares

Expires 2030-06-05

F3 · shares: Represents an option to purchase shares of the Issuer's common stock granted by the Issuer pursuant to its 2014 Incentive Plan, as amended, as provided by the Issuer's Amended and Restated Non-Employee Director Compensation Program (the "Stock Option"). 100% of the Stock Option will vest and become exercisable on the first anniversary of the grant date, subject to the Reporting Person's continued service to the Issuer.

Read SEC document
June 05, 2020 Filed Jun 9, 2020 20:17 UTC GrantCommon Stock 13,700 $0.00 $0.00
Disclosure

SEC source: 0001562180-20-004360 · primarydocument.xml · nonDerivative · entry 1

Smith Cynthia · CIK 0001609480 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,400

F1 · shares: The restricted stock units were granted by the Issuer pursuant to its 2014 Incentive Plan, as amended, as provided by the Issuer's Amended and Restated Non-Employee Director Compensation Program (the "RSUs"). 100% of the RSUs will vest on the first anniversary of the grant date, subject to the Reporting Person's continued service to the Issuer.

Read SEC document
June 01, 2020 Filed Jun 2, 2020 20:34 UTC SaleCommon Stock 6,426 $11.58 $74,413.08
Disclosure

SEC source: 0001562180-20-004068 · primarydocument.xml · nonDerivative · entry 1

Faulkingham Dell · CIK 0001776024 · CCO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,574

F1 · shares: This sale was made to cover tax withholding obligations in connection with the vesting and settlement of 100% of the reporting person's restricted stock units granted on May 31, 2019.

Read SEC document
April 06, 2020 Filed Apr 7, 2020 12:31 UTC
Wolf MylesDirector
GrantStock Option (Right to buy) · Derivative 80,200 $0.00 Strike: $7.09 $0.00
Disclosure

SEC source: 0001562180-20-002937 · primarydocument.xml · derivative · entry 1

Wolf Myles · CIK 0001808317 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,200

Underlying: Common Stock · 80,200 shares

Expires 2030-04-06

F1 · derivative.exercise_date: The options will vest over four years: 25% of the options will vest on the first anniversary of the grant date with the remaining 75% vesting in equal quarterly installments thereafter.

Read SEC document
February 28, 2020 Filed Mar 2, 2020 19:29 UTC
Dahan MichelSVP, Chief Operating Officer
GrantStock Option (Right to buy) · Derivative 120,000 $0.00 Strike: $8.87 $0.00
Disclosure

SEC source: 0001562180-20-001937 · primarydocument.xml · derivative · entry 3

Dahan Michel · CIK 0001669737 · SVP, Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 120,000

Underlying: Common Stock · 120,000 shares

Expires 2030-02-28

F3 · derivative.exercise_date: The options were granted by the Issuer pursuant to its 2014 Incentive Plan, as amended. The options will vest over four years: 25% of the options will vest on the first anniversary of the grant date with the remaining 75% vesting in equal quarterly installments thereafter.

Read SEC document
February 28, 2020 Filed Mar 2, 2020 19:29 UTC
Dahan MichelSVP, Chief Operating Officer
SaleCommon Stock 6,972 $8.70 $60,656.40
Disclosure

SEC source: 0001562180-20-001937 · primarydocument.xml · nonDerivative · entry 2

Dahan Michel · CIK 0001669737 · SVP, Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 204,960

F2 · shares: This sale was made to cover tax withholding obligations in connection with the vesting and settlement of one-third of the reporting person's restricted stock units granted on February 28, 2019.

Read SEC document
February 28, 2020 Filed Mar 2, 2020 19:29 UTC
Dahan MichelSVP, Chief Operating Officer
GrantCommon Stock 65,000 $0.00 $0.00
Disclosure

SEC source: 0001562180-20-001937 · primarydocument.xml · nonDerivative · entry 1

Dahan Michel · CIK 0001669737 · SVP, Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 211,932

F1 · shares: The restricted stock units were granted by the Issuer pursuant to its 2014 Incentive Plan, as amended. One third of the restricted stock units will vest on each of the first, second and third anniversaries of the grant date.

Read SEC document
February 28, 2020 Filed Mar 2, 2020 19:27 UTC
Amello JasonSVP, CFO & Treasurer
GrantStock Option (Right to buy) · Derivative 45,000 $0.00 Strike: $8.87 $0.00
Disclosure

SEC source: 0001562180-20-001935 · primarydocument.xml · derivative · entry 3

Amello Jason · CIK 0001451805 · SVP, CFO & Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,000

Underlying: Common Stock · 45,000 shares

Expires 2030-02-28

F4 · derivative.exercise_date: The options were granted by the Issuer pursuant to its 2014 Incentive Plan, as amended. The options will vest over four years: 25% of the options will vest on the first anniversary of the grant date with the remaining 75% vesting in equal quarterly installments thereafter.

Read SEC document
February 28, 2020 Filed Mar 2, 2020 19:27 UTC
Amello JasonSVP, CFO & Treasurer
SaleCommon Stock 6,976 $8.70 $60,691.20
Disclosure

SEC source: 0001562180-20-001935 · primarydocument.xml · nonDerivative · entry 2

Amello Jason · CIK 0001451805 · SVP, CFO & Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 144,642

F3 · shares: This sale was made to cover tax withholding obligations in connection with the vesting and settlement of one-third of the reporting person's restricted stock units granted on February 28, 2019.

Read SEC document
February 28, 2020 Filed Mar 2, 2020 19:27 UTC
Amello JasonSVP, CFO & Treasurer
GrantCommon Stock 30,000 $0.00 $0.00
Disclosure

SEC source: 0001562180-20-001935 · primarydocument.xml · nonDerivative · entry 1

Amello Jason · CIK 0001451805 · SVP, CFO & Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 151,618

F1 · shares: The restricted stock units were granted by the Issuer pursuant to its 2014 Incentive Plan, as amended. One third of the restricted stock units will vest on each of the first, second and third anniversaries of the grant date.

F2 · balance_after: Includes 1,500 shares of the Issuer's common stock purchased on June 28, 2019 and 1,500 shares of the Issuer's common stock purchased on December 31, 2019, each under the Issuer's Amended and Restated 2014 Employee Stock Purchase Plan.

Read SEC document
February 28, 2020 Filed Mar 3, 2020 00:28 UTC
Hadas Nicole R.SVP, Chief Legal Officer
GrantStock Option (Right to buy) · Derivative 105,000 $0.00 Strike: $8.87 $0.00
Disclosure

SEC source: 0001562180-20-001936 · primarydocument.xml · derivative · entry 3

Hadas Nicole R. · CIK 0001602396 · SVP, Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 105,000

Underlying: Common Stock · 105,000 shares

Expires 2030-02-28

F4 · derivative.exercise_date: The options were granted by the Issuer pursuant to its 2014 Incentive Plan, as amended. The options will vest over four years: 25% of the options will vest on the first anniversary of the grant date with the remaining 75% vesting in equal quarterly installments thereafter.

Read SEC document
February 28, 2020 Filed Mar 3, 2020 00:28 UTC
Hadas Nicole R.SVP, Chief Legal Officer
SaleCommon Stock 7,050 $8.70 $61,335.00
Disclosure

SEC source: 0001562180-20-001936 · primarydocument.xml · nonDerivative · entry 2

Hadas Nicole R. · CIK 0001602396 · SVP, Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 212,756

F3 · shares: This sale was made to cover tax withholding obligations in connection with the vesting and settlement of one-third of the reporting person's restricted stock units granted on February 28, 2019.

Read SEC document
February 28, 2020 Filed Mar 3, 2020 00:28 UTC
Hadas Nicole R.SVP, Chief Legal Officer
GrantCommon Stock 62,000 $0.00 $0.00
Disclosure

SEC source: 0001562180-20-001936 · primarydocument.xml · nonDerivative · entry 1

Hadas Nicole R. · CIK 0001602396 · SVP, Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 219,806

F1 · shares: The restricted stock units were granted by the Issuer pursuant to its 2014 Incentive Plan, as amended. One third of the restricted stock units will vest on each of the first, second and third anniversaries of the grant date.

F2 · balance_after: Includes 1,500 shares of the Issuer's common stock purchased on June 28, 2019 and 1,500 shares of the Issuer's common stock purchased on December 31, 2019, each under the Issuer's Amended and Restated 2014 Employee Stock Purchase Plan.

Read SEC document
February 28, 2020 Filed Mar 3, 2020 00:26 UTC
Tubridy Karen LSVP, Chief Development Officer
GrantStock Option (Right to buy) · Derivative 85,000 $0.00 Strike: $8.87 $0.00
Disclosure

SEC source: 0001562180-20-001934 · primarydocument.xml · derivative · entry 3

Tubridy Karen L · CIK 0001589888 · SVP, Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,000

Underlying: Common Stock · 85,000 shares

Expires 2030-02-28

F4 · derivative.exercise_date: The options were granted by the Issuer pursuant to its 2014 Incentive Plan, as amended. The options will vest over four years: 25% of the options will vest on the first anniversary of the grant date with the remaining 75% vesting in equal quarterly installments thereafter.

Read SEC document
February 28, 2020 Filed Mar 3, 2020 00:26 UTC
Tubridy Karen LSVP, Chief Development Officer
SaleCommon Stock 3,454 $8.70 $30,049.80
Disclosure

SEC source: 0001562180-20-001934 · primarydocument.xml · nonDerivative · entry 2

Tubridy Karen L · CIK 0001589888 · SVP, Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,679

F3 · shares: This sale was made to cover tax withholding obligations in connection with the vesting and settlement of one-third of the reporting person's restricted stock units granted on February 28, 2019.

Read SEC document
February 28, 2020 Filed Mar 3, 2020 00:26 UTC
Tubridy Karen LSVP, Chief Development Officer
GrantCommon Stock 30,000 $0.00 $0.00
Disclosure

SEC source: 0001562180-20-001934 · primarydocument.xml · nonDerivative · entry 1

Tubridy Karen L · CIK 0001589888 · SVP, Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,133

F1 · shares: The restricted stock units were granted by the Issuer pursuant to its 2014 Incentive Plan, as amended. One third of the restricted stock units will vest on each of the first, second and third anniversaries of the grant date.

F2 · balance_after: Includes 1,364 shares of the Issuer's common stock purchased on June 28, 2019 and 1,445 shares of the Issuer's common stock purchased on December 31, 2019, each under the Issuer's Amended and Restated 2014 Employee Stock Purchase Plan.

Read SEC document
February 28, 2020 Filed Mar 3, 2020 00:26 UTC
Butler John P.Director · CEO and President
GrantStock Option (Right to buy) · Derivative 403,600 $0.00 Strike: $8.87 $0.00
Disclosure

SEC source: 0001562180-20-001931 · primarydocument.xml · derivative · entry 8

Butler John P. · CIK 0001591467 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 403,600

Underlying: Common Stock · 403,600 shares

Expires 2030-02-28

F2 · derivative.exercise_date: The options were granted by the Issuer pursuant to its 2014 Incentive Plan, as amended. The options will vest over four years: 25% of the options will vest on the first anniversary of the grant date with the remaining 75% vesting in equal quarterly installments thereafter.

Read SEC document
February 28, 2020 Filed Mar 3, 2020 00:26 UTC
Butler John P.Director · CEO and President
GrantCommon Stock 237,400 $0.00 $0.00
Disclosure

SEC source: 0001562180-20-001931 · primarydocument.xml · nonDerivative · entry 1

Butler John P. · CIK 0001591467 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,026,632

F1 · shares: The restricted stock units were granted by the Issuer pursuant to its 2014 Incentive Plan, as amended. One third of the restricted stock units will vest on each of the first, second and third anniversaries of the grant date.

Read SEC document
February 28, 2020 Filed Mar 3, 2020 00:25 UTC
Burke Steven KeithSVP, Chief Medical Officer
GrantStock Option (Right to buy) · Derivative 105,500 $0.00 Strike: $8.87 $0.00
Disclosure

SEC source: 0001562180-20-001930 · primarydocument.xml · derivative · entry 2

Burke Steven Keith · CIK 0001619834 · SVP, Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 105,500

Underlying: Common Stock · 105,500 shares

Expires 2030-02-28

F2 · derivative.exercise_date: The options were granted by the Issuer pursuant to its 2014 Incentive Plan, as amended. The options will vest over four years: 25% of the options will vest on the first anniversary of the grant date with the remaining 75% vesting in equal quarterly installments thereafter.

Read SEC document
February 28, 2020 Filed Mar 3, 2020 00:25 UTC
Burke Steven KeithSVP, Chief Medical Officer
GrantCommon Stock 62,000 $0.00 $0.00
Disclosure

SEC source: 0001562180-20-001930 · primarydocument.xml · nonDerivative · entry 1

Burke Steven Keith · CIK 0001619834 · SVP, Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 99,000

F1 · shares: The restricted stock units were granted by the Issuer pursuant to its 2014 Incentive Plan, as amended. One third of the restricted stock units will vest on each of the first, second and third anniversaries of the grant date.

Read SEC document
February 28, 2020 Filed Mar 3, 2020 00:25 UTC GrantStock Option (Right to buy) · Derivative 94,000 $0.00 Strike: $8.87 $0.00
Disclosure

SEC source: 0001562180-20-001929 · primarydocument.xml · derivative · entry 2

Faulkingham Dell · CIK 0001776024 · CCO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 94,000

Underlying: Common Stock · 94,000 shares

Expires 2030-02-28

F2 · derivative.exercise_date: The options were granted by the Issuer pursuant to its 2014 Incentive Plan, as amended. The options will vest over four years: 25% of the options will vest on the first anniversary of the grant date with the remaining 75% vesting in equal quarterly installments thereafter.

Read SEC document
February 28, 2020 Filed Mar 3, 2020 00:25 UTC GrantCommon Stock 55,000 $0.00 $0.00
Disclosure

SEC source: 0001562180-20-001929 · primarydocument.xml · nonDerivative · entry 1

Faulkingham Dell · CIK 0001776024 · CCO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,000

F1 · shares: The restricted stock units were granted by the Issuer pursuant to its 2014 Incentive Plan, as amended. One third of the restricted stock units will vest on each of the first, second and third anniversaries of the grant date.

Read SEC document
November 20, 2019 Filed Nov 21, 2019 11:31 UTC
ADAMS ADRIANDirector
PurchaseCommon Stock 50,000 $3.41 $170,500.00
Disclosure

SEC source: 0001562180-19-005622 · primarydocument.xml · nonDerivative · entry 1

ADAMS ADRIAN · CIK 0001248144 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,700

F1 · kind: The purchase reported in this Form 4 was made on the open market.

F2 · price: The price reported is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $3.37 to $3.44, inclusive. The reporting person undertakes to provide Issuer, any security holder of Issuer, or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares purchased at each price within the range set forth in this footnote.

Read SEC document
November 20, 2019 Filed Nov 21, 2019 11:32 UTC
Butler John P.Director · CEO and President
PurchaseCommon Stock 50,000 $3.44 $172,000.00
Disclosure

SEC source: 0001562180-19-005623 · primarydocument.xml · nonDerivative · entry 1

Butler John P. · CIK 0001591467 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 887,732

F1 · kind: The purchase reported in this Form 4 was made on the open market.

F2 · price: The price reported is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $3.22 to $3.65, inclusive. The reporting person undertakes to provide Issuer, any security holder of Issuer, or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares purchased at each price within the range set forth in this footnote.

F3 · balance_after: Includes 1,500 shares of the Issuer's common stock purchased under the Issuer's 2014 Amended and Restated Employee Stock Purchase Plan on June 28, 2019.

Read SEC document
November 20, 2019 Filed Nov 22, 2019 06:20 UTC PurchaseCommon Stock 5,800 $3.43 $19,894.00
Disclosure

SEC source: 0001562180-19-005642 · primarydocument.xml · nonDerivative · entry 1

GILMAN STEVEN C · CIK 0001379970 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,731

F1 · kind: The purchase reported in this Form 4 was made on the open market.

Read SEC document
November 20, 2019 Filed Nov 22, 2019 11:20 UTC PurchaseCommon Stock 15,000 $3.52 $52,800.00
Disclosure

SEC source: 0001562180-19-005641 · primarydocument.xml · nonDerivative · entry 1

Smith Cynthia · CIK 0001609480 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,700

F1 · kind: The purchase reported in this Form 4 was made on the open market.

Read SEC document
November 20, 2019 Filed Nov 22, 2019 11:19 UTC
Burke Steven KeithSVP, Chief Medical Officer
PurchaseCommon Stock 27,000 $3.58 $96,660.00
Disclosure

SEC source: 0001562180-19-005640 · primarydocument.xml · nonDerivative · entry 1

Burke Steven Keith · CIK 0001619834 · SVP, Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,000

F1 · kind: The purchase reported in this Form 4 was made on the open market.

F2 · price: The price reported is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $3.50 to $3.64, inclusive. The reporting person undertakes to provide Issuer, any security holder of Issuer, or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares purchased at each price within the range set forth in this footnote.

Read SEC document
August 30, 2019 Filed Sep 4, 2019 20:03 UTC
Burke Steven KeithSVP, Chief Medical Officer
GrantEmployee Stock Option (Right to buy) · Derivative 250,000 $0.00 Strike: $4.13 $0.00
Disclosure

SEC source: 0001562180-19-004618 · primarydocument.xml · derivative · entry 2

Burke Steven Keith · CIK 0001619834 · SVP, Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,000

Underlying: Common Stock · 250,000 shares

Expires 2029-08-30

F2 · derivative.exercise_date: The options were granted by the Issuer as an inducement material to the reporting person's entering into employment with the Issuer in accordance with Nasdaq Listing Rule 5635(c)(4). The options will vest over four years: 25% of the options will vest on the first anniversary of the grant date with the remaining 75% vesting in equal quarterly installments thereafter.

Read SEC document
August 30, 2019 Filed Sep 4, 2019 20:03 UTC
Burke Steven KeithSVP, Chief Medical Officer
GrantCommon Stock 10,000 $0.00 $0.00
Disclosure

SEC source: 0001562180-19-004618 · primarydocument.xml · nonDerivative · entry 1

Burke Steven Keith · CIK 0001619834 · SVP, Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

F1 · shares: The restricted stock units were granted by the Issuer pursuant to its 2014 Incentive Plan, as amended. One third of the restricted stock units will vest on each of the first, second and third anniversaries of the grant date.

Read SEC document
June 06, 2019 Filed Jun 10, 2019 20:04 UTC GrantStock Option (Right to buy) · Derivative 20,100 $0.00 Strike: $4.23 $0.00
Disclosure

SEC source: 0001562180-19-003438 · primarydocument.xml · derivative · entry 2

Morrison Jodie Pope · CIK 0001618247 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,100

Underlying: Common Stock · 20,100 shares

Expires 2029-06-06

F2 · shares: Represents an option to purchase shares of the Issuer's common stock granted by the Issuer pursuant to its 2014 Incentive Plan, as amended, as provided by the Issuer's Amended and Restated Non-Employee Director Compensation Program (the "Stock Option"). 100% of the Stock Option will vest and become exercisable on the first anniversary of the grant date, subject to the Reporting Person's continued service to the Issuer.

Read SEC document
June 06, 2019 Filed Jun 10, 2019 20:04 UTC GrantCommon Stock 13,700 $0.00 $0.00
Disclosure

SEC source: 0001562180-19-003438 · primarydocument.xml · nonDerivative · entry 1

Morrison Jodie Pope · CIK 0001618247 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,619

F1 · shares: The restricted stock units were granted by the Issuer pursuant to its 2014 Incentive Plan, as amended, as provided by the Issuer's Amended and Restated Non-Employee Director Compensation Program (the "RSUs"). 100% of the RSUs will vest on the first anniversary of the grant date, subject to the Reporting Person's continued service to the Issuer.

Read SEC document
June 06, 2019 Filed Jun 10, 2019 20:04 UTC GrantStock Option (Right to buy) · Derivative 20,100 $0.00 Strike: $4.23 $0.00
Disclosure

SEC source: 0001562180-19-003437 · primarydocument.xml · derivative · entry 2

Heffernan Michael Thomas · CIK 0001448914 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,100

Underlying: Common Stock · 20,100 shares

Expires 2029-06-06

F2 · shares: Represents an option to purchase shares of the Issuer's common stock granted by the Issuer pursuant to its 2014 Incentive Plan, as amended, as provided by the Issuer's Amended and Restated Non-Employee Director Compensation Program (the "Stock Option"). 100% of the Stock Option will vest and become exercisable on the first anniversary of the grant date, subject to the Reporting Person's continued service to the Issuer.

Read SEC document
June 06, 2019 Filed Jun 10, 2019 20:04 UTC GrantCommon Stock 13,700 $0.00 $0.00
Disclosure

SEC source: 0001562180-19-003437 · primarydocument.xml · nonDerivative · entry 1

Heffernan Michael Thomas · CIK 0001448914 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,186

F1 · shares: The restricted stock units were granted by the Issuer pursuant to its 2014 Incentive Plan, as amended, as provided by the Issuer's Amended and Restated Non-Employee Director Compensation Program (the "RSUs"). 100% of the RSUs will vest on the first anniversary of the grant date, subject to the Reporting Person's continued service to the Issuer.

Read SEC document
June 06, 2019 Filed Jun 10, 2019 20:04 UTC
GOWEN MAXINEDirector
GrantStock Option (Right to buy) · Derivative 20,100 $0.00 Strike: $4.23 $0.00
Disclosure

SEC source: 0001562180-19-003436 · primarydocument.xml · derivative · entry 2

GOWEN MAXINE · CIK 0001280044 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,100

Underlying: Common Stock · 20,100 shares

Expires 2029-06-06

F2 · shares: Represents an option to purchase shares of the Issuer's common stock granted by the Issuer pursuant to its 2014 Incentive Plan, as amended, as provided by the Issuer's Amended and Restated Non-Employee Director Compensation Program (the "Stock Option"). 100% of the Stock Option will vest and become exercisable on the first anniversary of the grant date, subject to the Reporting Person's continued service to the Issuer.

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June 06, 2019 Filed Jun 10, 2019 20:04 UTC
GOWEN MAXINEDirector
GrantCommon Stock 13,700 $0.00 $0.00
Disclosure

SEC source: 0001562180-19-003436 · primarydocument.xml · nonDerivative · entry 1

GOWEN MAXINE · CIK 0001280044 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

F1 · shares: The restricted stock units were granted by the Issuer pursuant to its 2014 Incentive Plan, as amended, as provided by the Issuer's Amended and Restated Non-Employee Director Compensation Program (the "RSUs"). 100% of the RSUs will vest on the first anniversary of the grant date, subject to the Reporting Person's continued service to the Issuer.

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June 06, 2019 Filed Jun 10, 2019 20:03 UTC
ADAMS ADRIANDirector
GrantStock Option (Right to buy) · Derivative 20,100 $0.00 Strike: $4.23 $0.00
Disclosure

SEC source: 0001562180-19-003432 · primarydocument.xml · derivative · entry 2

ADAMS ADRIAN · CIK 0001248144 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,100

Underlying: Common Stock · 20,100 shares

Expires 2029-06-06

F2 · shares: Represents an option to purchase shares of the Issuer's common stock granted by the Issuer pursuant to its 2014 Incentive Plan, as amended, as provided by the Issuer's Amended and Restated Non-Employee Director Compensation Program (the "Stock Option"). 100% of the Stock Option will vest and become exercisable on the first anniversary of the grant date, subject to the Reporting Person's continued service to the Issuer.

Read SEC document
June 06, 2019 Filed Jun 10, 2019 20:03 UTC
ADAMS ADRIANDirector
GrantCommon Stock 13,700 $0.00 $0.00
Disclosure

SEC source: 0001562180-19-003432 · primarydocument.xml · nonDerivative · entry 1

ADAMS ADRIAN · CIK 0001248144 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,700

F1 · shares: The restricted stock units were granted by the Issuer pursuant to its 2014 Incentive Plan, as amended, as provided by the Issuer's Amended and Restated Non-Employee Director Compensation Program (the "RSUs"). 100% of the RSUs will vest on the first anniversary of the grant date, subject to the Reporting Person's continued service to the Issuer.

Read SEC document
June 06, 2019 Filed Jun 10, 2019 20:04 UTC GrantStock Option (Right to buy) · Derivative 20,100 $0.00 Strike: $4.23 $0.00
Disclosure

SEC source: 0001562180-19-003439 · primarydocument.xml · derivative · entry 2

ROGERS MICHAEL W · CIK 0001244159 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,100

Underlying: Common Stock · 20,100 shares

Expires 2029-06-06

F2 · shares: Represents an option to purchase shares of the Issuer's common stock granted by the Issuer pursuant to its 2014 Incentive Plan, as amended, as provided by the Issuer's Amended and Restated Non-Employee Director Compensation Program (the "Stock Option"). 100% of the Stock Option will vest and become exercisable on the first anniversary of the grant date, subject to the Reporting Person's continued service to the Issuer.

Read SEC document
June 06, 2019 Filed Jun 10, 2019 20:04 UTC GrantCommon Stock 13,700 $0.00 $0.00
Disclosure

SEC source: 0001562180-19-003439 · primarydocument.xml · nonDerivative · entry 1

ROGERS MICHAEL W · CIK 0001244159 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,929

F1 · shares: The restricted stock units were granted by the Issuer pursuant to its 2014 Incentive Plan, as amended, as provided by the Issuer's Amended and Restated Non-Employee Director Compensation Program (the "RSUs"). 100% of the RSUs will vest on the first anniversary of the grant date, subject to the Reporting Person's continued service to the Issuer.

Read SEC document
June 06, 2019 Filed Jun 10, 2019 16:03 UTC GrantStock Option (Right to buy) · Derivative 20,100 $0.00 Strike: $4.23 $0.00
Disclosure

SEC source: 0001562180-19-003433 · primarydocument.xml · derivative · entry 2

Canute Scott A · CIK 0001303416 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,100

Underlying: Common Stock · 20,100 shares

Expires 2029-06-06

F2 · shares: Represents an option to purchase shares of the Issuer's common stock granted by the Issuer pursuant to its 2014 Incentive Plan, as amended, as provided by the Issuer's Amended and Restated Non-Employee Director Compensation Program (the "Stock Option"). 100% of the Stock Option will vest and become exercisable on the first anniversary of the grant date, subject to the Reporting Person's continued service to the Issuer.

Read SEC document
June 06, 2019 Filed Jun 10, 2019 16:03 UTC GrantCommon Stock 13,700 $0.00 $0.00
Disclosure

SEC source: 0001562180-19-003433 · primarydocument.xml · nonDerivative · entry 1

Canute Scott A · CIK 0001303416 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,700

F1 · shares: The restricted stock units were granted by the Issuer pursuant to its 2014 Incentive Plan, as amended, as provided by the Issuer's Amended and Restated Non-Employee Director Compensation Program (the "RSUs"). 100% of the RSUs will vest on the first anniversary of the grant date, subject to the Reporting Person's continued service to the Issuer.

Read SEC document
June 06, 2019 Filed Jun 10, 2019 16:04 UTC GrantStock Option (Right to buy) · Derivative 20,100 $0.00 Strike: $4.23 $0.00
Disclosure

SEC source: 0001562180-19-003435 · primarydocument.xml · derivative · entry 2

GILMAN STEVEN C · CIK 0001379970 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,100

Underlying: Common Stock · 20,100 shares

Expires 2029-06-06

F2 · shares: Represents an option to purchase shares of the Issuer's common stock granted by the Issuer pursuant to its 2014 Incentive Plan, as amended, as provided by the Issuer's Amended and Restated Non-Employee Director Compensation Program (the "Stock Option"). 100% of the Stock Option will vest and become exercisable on the first anniversary of the grant date, subject to the Reporting Person's continued service to the Issuer.

Read SEC document
June 06, 2019 Filed Jun 10, 2019 16:04 UTC GrantCommon Stock 13,700 $0.00 $0.00
Disclosure

SEC source: 0001562180-19-003435 · primarydocument.xml · nonDerivative · entry 1

GILMAN STEVEN C · CIK 0001379970 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,931

F1 · shares: The restricted stock units were granted by the Issuer pursuant to its 2014 Incentive Plan, as amended, as provided by the Issuer's Amended and Restated Non-Employee Director Compensation Program (the "RSUs"). 100% of the RSUs will vest on the first anniversary of the grant date, subject to the Reporting Person's continued service to the Issuer.

Read SEC document
June 06, 2019 Filed Jun 10, 2019 20:04 UTC GrantStock Option (Right to buy) · Derivative 20,100 $0.00 Strike: $4.23 $0.00
Disclosure

SEC source: 0001562180-19-003440 · primarydocument.xml · derivative · entry 2

Smith Cynthia · CIK 0001609480 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,100

Underlying: Common Stock · 20,100 shares

Expires 2029-06-06

F2 · shares: Represents an option to purchase shares of the Issuer's common stock granted by the Issuer pursuant to its 2014 Incentive Plan, as amended, as provided by the Issuer's Amended and Restated Non-Employee Director Compensation Program (the "Stock Option"). 100% of the Stock Option will vest and become exercisable on the first anniversary of the grant date, subject to the Reporting Person's continued service to the Issuer.

Read SEC document
June 06, 2019 Filed Jun 10, 2019 20:04 UTC GrantCommon Stock 13,700 $0.00 $0.00
Disclosure

SEC source: 0001562180-19-003440 · primarydocument.xml · nonDerivative · entry 1

Smith Cynthia · CIK 0001609480 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,700

F1 · shares: The restricted stock units were granted by the Issuer pursuant to its 2014 Incentive Plan, as amended, as provided by the Issuer's Amended and Restated Non-Employee Director Compensation Program (the "RSUs"). 100% of the RSUs will vest on the first anniversary of the grant date, subject to the Reporting Person's continued service to the Issuer.

Read SEC document
June 06, 2019 Filed Jun 10, 2019 20:04 UTC GrantStock Option (Right to buy) · Derivative 20,100 $0.00 Strike: $4.23 $0.00
Disclosure

SEC source: 0001562180-19-003434 · primarydocument.xml · derivative · entry 2

Enyedy Mark J · CIK 0001586965 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,100

Underlying: Common Stock · 20,100 shares

Expires 2029-06-06

F2 · shares: Represents an option to purchase shares of the Issuer's common stock granted by the Issuer pursuant to its 2014 Incentive Plan, as amended, as provided by the Issuer's Amended and Restated Non-Employee Director Compensation Program (the "Stock Option"). 100% of the Stock Option will vest and become exercisable on the first anniversary of the grant date, subject to the Reporting Person's continued service to the Issuer.

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.