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ALGS

Aligos Therapeutics, Inc.

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7352
SEC CIK
0001799448
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127

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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
February 28, 2024 Filed Feb 28, 2024 22:30 UTC
Nielsen JackDirector
GrantStock Option (Right to Buy) · Derivative 4,411 $0.00 Strike: $0.96 $0.00
Disclosure

SEC source: 0001610717-24-000096 · form4.xml · derivative · entry 2

Nielsen Jack · CIK 0001602402 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,411

Underlying: Common Stock · 4,411 shares

Expires 2031-06-17

F1 · price: On February 27, 2024, the issuer canceled, pursuant to the issuer's option exchange program, an option for 15,000 of the issuer's shares granted to the reporting person on June 17, 2021. In exchange, on February 28, 2024, the reporting person received a replacement option, for 4,411 shares, having an exercise price of $0.96 per share.

F2 · derivative.exercise_date: The shares subject to the option will vest and become exercisable on the one year anniversary of the date of grant, subject to the reporting person's continued service with the issuer through such one year anniversary.

Read SEC document
February 28, 2024 Filed Feb 28, 2024 22:29 UTC GrantStock Option (Right to Buy) · Derivative 4,411 $0.00 Strike: $0.96 $0.00
Disclosure

SEC source: 0001610717-24-000095 · form4.xml · derivative · entry 2

Nuechterlein Carole · CIK 0001665133 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,411

Underlying: Common Stock · 4,411 shares

Expires 2031-06-17

F1 · price: On February 27, 2024, the issuer canceled, pursuant to the issuer's option exchange program, an option for 15,000 of the issuer's shares granted to the reporting person on June 17, 2021. In exchange, on February 28, 2024, the reporting person received a replacement option, for 4,411 shares, having an exercise price of $0.96 per share.

F2 · derivative.exercise_date: The shares subject to the option will vest and become exercisable on the one year anniversary of the date of grant, subject to the reporting person's continued service with the issuer through such one year anniversary.

Read SEC document
February 28, 2024 Filed Feb 28, 2024 22:29 UTC GrantStock Option (Right to Buy) · Derivative 8,823 $0.00 Strike: $0.96 $0.00
Disclosure

SEC source: 0001610717-24-000094 · form4.xml · derivative · entry 2

Martell Bridget A · CIK 0001629627 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,823

Underlying: Common Stock · 8,823 shares

Expires 2031-11-16

F1 · price: On February 27, 2024, the issuer canceled, pursuant to the issuer's option exchange program, an option for 30,000 of the issuer's shares granted to the reporting person on November 16, 2021. In exchange, on February 28, 2024, the reporting person received a replacement option, for 8,823 shares, having an exercise price of $0.96 per share.

F2 · derivative.exercise_date: The shares subject to the option will vest and become exercisable on the one year anniversary of the date of grant, subject to the reporting person's continued service with the issuer through such one year anniversary.

Read SEC document
February 27, 2024 Filed Feb 28, 2024 17:33 UTC
McClure Matthew W.Chief Medical Officer
Disposition to issuerStock Option (Right to Buy) · Derivative 23,000 $0.00 Strike: $3.06 $0.00
Disclosure

SEC source: 0001610717-24-000100 · form4.xml · derivative · entry 3

McClure Matthew W. · CIK 0001927121 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 23,000 shares

Expires 2032-02-04

F3 · price: On February 27, 2024, the issuer canceled, pursuant to the issuer's option exchange program, an option for 23,000 of the issuer's shares granted to the reporting person on February 4, 2022. In exchange, on February 28, 2024, the reporting person received a replacement option, for 16,428 shares, having an exercise price of $0.96 per share.

Read SEC document
February 27, 2024 Filed Feb 28, 2024 17:33 UTC
McClure Matthew W.Chief Medical Officer
Disposition to issuerStock Option (Right to Buy) · Derivative 92,000 $0.00 Strike: $3.06 $0.00
Disclosure

SEC source: 0001610717-24-000100 · form4.xml · derivative · entry 2

McClure Matthew W. · CIK 0001927121 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 92,000 shares

Expires 2032-02-04

F2 · price: On February 27, 2024, the issuer canceled, pursuant to the issuer's option exchange program, an option for 92,000 of the issuer's shares granted to the reporting person on February 4, 2022. In exchange, on February 28, 2024, the reporting person received a replacement option, for 65,713 shares, having an exercise price of $0.96 per share.

Read SEC document
February 27, 2024 Filed Feb 28, 2024 17:33 UTC
McClure Matthew W.Chief Medical Officer
Disposition to issuerStock Option (Right to Buy) · Derivative 255,626 $0.00 Strike: $16.18 $0.00
Disclosure

SEC source: 0001610717-24-000100 · form4.xml · derivative · entry 1

McClure Matthew W. · CIK 0001927121 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 255,626 shares

Expires 2030-12-01

F1 · price: On February 27, 2024, the issuer canceled, pursuant to the issuer's option exchange program, an option for 255,626 of the issuer's shares granted to the reporting person on December 1, 2020. In exchange, on February 28, 2024, the reporting person received a replacement option, for 75,183 shares, having an exercise price of $0.96 per share.

Read SEC document
February 27, 2024 Filed Feb 28, 2024 22:35 UTC
Hirth PeterDirector
Disposition to issuerStock Option (Right to Buy) · Derivative 15,000 $0.00 Strike: $26.58 $0.00
Disclosure

SEC source: 0001610717-24-000102 · form4.xml · derivative · entry 1

Hirth Peter · CIK 0001813780 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 15,000 shares

Expires 2031-06-17

F1 · price: On February 27, 2024, the issuer canceled, pursuant to the issuer's option exchange program, an option for 15,000 of the issuer's shares granted to the reporting person on June 17, 2021. In exchange, on February 28, 2024, the reporting person received a replacement option, for 4,411 shares, having an exercise price of $0.96 per share.

Read SEC document
February 27, 2024 Filed Feb 28, 2024 22:34 UTC Disposition to issuerStock Option (Right to Buy) · Derivative 30,000 $0.00 Strike: $29.10 $0.00
Disclosure

SEC source: 0001610717-24-000101 · form4.xml · derivative · entry 1

Scopa James Paul · CIK 0001356950 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 30,000 shares

Expires 2031-04-26

F1 · price: On February 27, 2024, the issuer canceled, pursuant to the issuer's option exchange program, an option for 30,000 of the issuer's shares granted to the reporting person on April 26, 2021. In exchange, on February 28, 2024, the reporting person received a replacement option, for 8,823 shares, having an exercise price of $0.96 per share.

Read SEC document
February 27, 2024 Filed Feb 28, 2024 22:32 UTC Disposition to issuerStock Option (Right to Buy) · Derivative 26,250 $0.00 Strike: $3.06 $0.00
Disclosure

SEC source: 0001610717-24-000099 · form4.xml · derivative · entry 3

Calhoun Lesley Ann · CIK 0001730866 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 26,250 shares

Expires 2032-02-04

F3 · price: On February 27, 2024, the issuer canceled, pursuant to the issuer's option exchange program, an option for 26,250 of the issuer's shares granted to the reporting person on February 4, 2022. In exchange, on February 28, 2024, the reporting person received a replacement option, for 18,750 shares, having an exercise price of $0.96 per share.

Read SEC document
February 27, 2024 Filed Feb 28, 2024 22:32 UTC Disposition to issuerStock Option (Right to Buy) · Derivative 105,000 $0.00 Strike: $3.06 $0.00
Disclosure

SEC source: 0001610717-24-000099 · form4.xml · derivative · entry 2

Calhoun Lesley Ann · CIK 0001730866 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 105,000 shares

Expires 2032-02-04

F2 · price: On February 27, 2024, the issuer canceled, pursuant to the issuer's option exchange program, an option for 105,000 of the issuer's shares granted to the reporting person on February 4, 2022. In exchange, on February 28, 2024, the reporting person received a replacement option, for 74,998 shares, having an exercise price of $0.96 per share.

Read SEC document
February 27, 2024 Filed Feb 28, 2024 22:32 UTC Disposition to issuerStock Option (Right to Buy) · Derivative 176,237 $0.00 Strike: $16.18 $0.00
Disclosure

SEC source: 0001610717-24-000099 · form4.xml · derivative · entry 1

Calhoun Lesley Ann · CIK 0001730866 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 176,237 shares

Expires 2030-12-01

F1 · price: On February 27, 2024, the issuer canceled, pursuant to the issuer's option exchange program, an option for 176,237 of the issuer's shares granted to the reporting person on December 1, 2020. In exchange, on February 28, 2024, the reporting person received a replacement option, for 51,833 shares, having an exercise price of $0.96 per share.

Read SEC document
February 27, 2024 Filed Feb 28, 2024 22:32 UTC
BLATT LAWRENCEDirector · Chief Executive Officer
Disposition to issuerStock Option (Right to Buy) · Derivative 80,850 $0.00 Strike: $3.06 $0.00
Disclosure

SEC source: 0001610717-24-000098 · form4.xml · derivative · entry 3

BLATT LAWRENCE · CIK 0001242110 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 80,850 shares

Expires 2032-02-04

F3 · price: On February 27, 2024, the issuer canceled, pursuant to the issuer's option exchange program, an option for 80,850 of the issuer's shares granted to the reporting person on February 4, 2022. In exchange, on February 28, 2024, the reporting person received a replacement option, for 57,749 shares, having an exercise price of $0.96 per share.

Read SEC document
February 27, 2024 Filed Feb 28, 2024 22:32 UTC
BLATT LAWRENCEDirector · Chief Executive Officer
Disposition to issuerStock Option (Right to Buy) · Derivative 323,400 $0.00 Strike: $3.06 $0.00
Disclosure

SEC source: 0001610717-24-000098 · form4.xml · derivative · entry 2

BLATT LAWRENCE · CIK 0001242110 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 323,400 shares

Expires 2032-02-04

F2 · price: On February 27, 2024, the issuer canceled, pursuant to the issuer's option exchange program, an option for 323,400 of the issuer's shares granted to the reporting person on February 4, 2022. In exchange, on February 28, 2024, the reporting person received a replacement option, for 230,999 shares, having an exercise price of $0.96 per share.

Read SEC document
February 27, 2024 Filed Feb 28, 2024 22:32 UTC
BLATT LAWRENCEDirector · Chief Executive Officer
Disposition to issuerStock Option (Right to Buy) · Derivative 450,000 $0.00 Strike: $16.18 $0.00
Disclosure

SEC source: 0001610717-24-000098 · form4.xml · derivative · entry 1

BLATT LAWRENCE · CIK 0001242110 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 450,000 shares

Expires 2030-12-01

F1 · price: On February 27, 2024, the issuer canceled, pursuant to the issuer's option exchange program, an option for 450,000 of the issuer's shares granted to the reporting person on December 1, 2020. In exchange, on February 28, 2024, the reporting person received a replacement option, for 132,352 shares, having an exercise price of $0.96 per share.

Read SEC document
February 27, 2024 Filed Feb 28, 2024 22:31 UTC
Symons Julian A.See Remarks
Disposition to issuerStock Option (Right to Buy) · Derivative 26,250 $0.00 Strike: $3.06 $0.00
Disclosure

SEC source: 0001610717-24-000097 · form4.xml · derivative · entry 3

Symons Julian A. · CIK 0001824727 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 26,250 shares

Expires 2032-02-04

F3 · price: On February 27, 2024, the issuer canceled, pursuant to the issuer's option exchange program, an option for 26,250 of the issuer's shares granted to the reporting person on February 4, 2022. In exchange, on February 28, 2024, the reporting person received a replacement option, for 18,750 shares, having an exercise price of $0.96 per share.

Read SEC document
February 27, 2024 Filed Feb 28, 2024 22:31 UTC
Symons Julian A.See Remarks
Disposition to issuerStock Option (Right to Buy) · Derivative 105,000 $0.00 Strike: $3.06 $0.00
Disclosure

SEC source: 0001610717-24-000097 · form4.xml · derivative · entry 2

Symons Julian A. · CIK 0001824727 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 105,000 shares

Expires 2032-02-04

F2 · price: On February 27, 2024, the issuer canceled, pursuant to the issuer's option exchange program, an option for 105,000 of the issuer's shares granted to the reporting person on February 4, 2022. In exchange, on February 28, 2024, the reporting person received a replacement option, for 74,998 shares, having an exercise price of $0.96 per share.

Read SEC document
February 27, 2024 Filed Feb 28, 2024 22:31 UTC
Symons Julian A.See Remarks
Disposition to issuerStock Option (Right to Buy) · Derivative 200,000 $0.00 Strike: $16.18 $0.00
Disclosure

SEC source: 0001610717-24-000097 · form4.xml · derivative · entry 1

Symons Julian A. · CIK 0001824727 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 200,000 shares

Expires 2030-12-01

F1 · price: On February 27, 2024, the issuer canceled, pursuant to the issuer's option exchange program, an option for 200,000 of the issuer's shares granted to the reporting person on December 1, 2020. In exchange, on February 28, 2024, the reporting person received a replacement option, for 58,822 shares, having an exercise price of $0.96 per share.

Read SEC document
February 27, 2024 Filed Feb 28, 2024 22:30 UTC
Nielsen JackDirector
Disposition to issuerStock Option (Right to Buy) · Derivative 15,000 $0.00 Strike: $26.58 $0.00
Disclosure

SEC source: 0001610717-24-000096 · form4.xml · derivative · entry 1

Nielsen Jack · CIK 0001602402 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 15,000 shares

Expires 2031-06-17

F1 · price: On February 27, 2024, the issuer canceled, pursuant to the issuer's option exchange program, an option for 15,000 of the issuer's shares granted to the reporting person on June 17, 2021. In exchange, on February 28, 2024, the reporting person received a replacement option, for 4,411 shares, having an exercise price of $0.96 per share.

Read SEC document
February 27, 2024 Filed Feb 28, 2024 22:29 UTC Disposition to issuerStock Option (Right to Buy) · Derivative 15,000 $0.00 Strike: $26.58 $0.00
Disclosure

SEC source: 0001610717-24-000095 · form4.xml · derivative · entry 1

Nuechterlein Carole · CIK 0001665133 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 15,000 shares

Expires 2031-06-17

F1 · price: On February 27, 2024, the issuer canceled, pursuant to the issuer's option exchange program, an option for 15,000 of the issuer's shares granted to the reporting person on June 17, 2021. In exchange, on February 28, 2024, the reporting person received a replacement option, for 4,411 shares, having an exercise price of $0.96 per share.

Read SEC document
February 27, 2024 Filed Feb 28, 2024 22:29 UTC Disposition to issuerStock Option (Right to Buy) · Derivative 30,000 $0.00 Strike: $16.52 $0.00
Disclosure

SEC source: 0001610717-24-000094 · form4.xml · derivative · entry 1

Martell Bridget A · CIK 0001629627 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 30,000 shares

Expires 2031-11-16

F1 · price: On February 27, 2024, the issuer canceled, pursuant to the issuer's option exchange program, an option for 30,000 of the issuer's shares granted to the reporting person on November 16, 2021. In exchange, on February 28, 2024, the reporting person received a replacement option, for 8,823 shares, having an exercise price of $0.96 per share.

Read SEC document
October 25, 2023 Filed Oct 27, 2023 20:15 UTC
Nuechterlein CaroleDirector · 10% owner
PurchaseWarrant (Right to Buy) · Derivative 3,966,800 $0.13 Strike: $0.76 $495,850.00
Disclosure

SEC source: 0001610717-23-000320 · form4.xml · derivative · entry 2

Nuechterlein Carole · CIK 0001665133 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 3,966,800

Underlying: Common Stock · 3,966,800 shares

Expires 2030-10-25

F1 · ownership.nature: Roche Finance Ltd is the direct beneficial owner of these securities of the Issuer. Roche Finance Ltd is a wholly owned subsidiary of Roche Holding Ltd. Roche Holding Ltd is the indirect beneficial owner of these securities of the Issuer. The Reporting Person disclaims beneficial ownership of the securities except to the extent of its pecuniary interest therein, if any. The Reporting Person also disclaims beneficial ownership of any securities of the Issuer that may be or are beneficially owned by any other person or persons other than such Reporting Person. This Form 4 shall not be deemed an admission that any Reporting Person or other person is a beneficial owner of any securities of the Issuer for any purpose, other than the securities reported in this Form 4.

Read SEC document
October 25, 2023 Filed Oct 27, 2023 20:15 UTC
Nuechterlein CaroleDirector · 10% owner
PurchaseCommon Stock 7,933,601 $0.76 $6,004,149.24
Disclosure

SEC source: 0001610717-23-000320 · form4.xml · nonDerivative · entry 1

Nuechterlein Carole · CIK 0001665133 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 11,025,941

F1 · ownership.nature: Roche Finance Ltd is the direct beneficial owner of these securities of the Issuer. Roche Finance Ltd is a wholly owned subsidiary of Roche Holding Ltd. Roche Holding Ltd is the indirect beneficial owner of these securities of the Issuer. The Reporting Person disclaims beneficial ownership of the securities except to the extent of its pecuniary interest therein, if any. The Reporting Person also disclaims beneficial ownership of any securities of the Issuer that may be or are beneficially owned by any other person or persons other than such Reporting Person. This Form 4 shall not be deemed an admission that any Reporting Person or other person is a beneficial owner of any securities of the Issuer for any purpose, other than the securities reported in this Form 4.

Read SEC document
October 25, 2023 Filed Oct 27, 2023 20:14 UTC
BLATT LAWRENCEDirector · Chief Executive Officer
GrantWarrants (Right to Buy) · Derivative 305,138 $0.13 Strike: $0.76 $38,142.25
Disclosure

SEC source: 0001610717-23-000319 · form4.xml · derivative · entry 6

BLATT LAWRENCE · CIK 0001242110 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 305,138

Underlying: Common Stock · 305,138 shares

Expires 2030-10-25

Read SEC document
October 25, 2023 Filed Oct 27, 2023 20:14 UTC
BLATT LAWRENCEDirector · Chief Executive Officer
GrantCommon Stock 610,277 $0.76 $461,857.63
Disclosure

SEC source: 0001610717-23-000319 · form4.xml · nonDerivative · entry 1

BLATT LAWRENCE · CIK 0001242110 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,847,575

Read SEC document
October 25, 2023 Filed Oct 27, 2023 20:13 UTC GrantWarrant (Right to Buy) · Derivative 91,541 $0.13 Strike: $0.76 $11,442.63
Disclosure

SEC source: 0001610717-23-000318 · form4.xml · derivative · entry 2

Scopa James Paul · CIK 0001356950 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 91,541

Underlying: Common Stock · 91,541 shares

Expires 2030-10-25

Read SEC document
October 25, 2023 Filed Oct 27, 2023 20:13 UTC GrantCommon Stock 183,083 $0.76 $138,557.21
Disclosure

SEC source: 0001610717-23-000318 · form4.xml · nonDerivative · entry 1

Scopa James Paul · CIK 0001356950 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 183,083

Read SEC document
September 08, 2023 Filed Sep 12, 2023 16:08 UTC
McClure Matthew W.Chief Medical Officer
GrantStock Option (Right to Buy) · Derivative 48,000 $0.00 Strike: $0.84 $0.00
Disclosure

SEC source: 0001610717-23-000277 · form4.xml · derivative · entry 1

McClure Matthew W. · CIK 0001927121 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 48,000

Underlying: Common Stock · 48,000 shares

Expires 2033-09-08

F1 · derivative.exercise_date: 1/48th of the total number of shares vest in forty-eight (48) successive and equal monthly installments measured from July 20, 2023 (the "Vesting Commencement Date"), such that 100% of the shares subject to the option will be fully vested and exercisable on the fourth anniversary of the Vesting Commencement Date, subject to the Reporting Person's continued service through each vesting date.

Read SEC document
September 08, 2023 Filed Sep 12, 2023 20:07 UTC GrantStock Option (Right to Buy) · Derivative 48,000 $0.00 Strike: $0.84 $0.00
Disclosure

SEC source: 0001610717-23-000276 · form4.xml · derivative · entry 1

Calhoun Lesley Ann · CIK 0001730866 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 48,000

Underlying: Common Stock · 48,000 shares

Expires 2033-09-08

F1 · derivative.exercise_date: 1/48th of the total number of shares vest in forty-eight (48) successive and equal monthly installments measured from July 20, 2023 (the "Vesting Commencement Date"), such that 100% of the shares subject to the option will be fully vested and exercisable on the fourth anniversary of the Vesting Commencement Date, subject to the Reporting Person's continued service through each vesting date.

Read SEC document
September 08, 2023 Filed Sep 12, 2023 20:07 UTC
Quan Lucinda Y.See Remarks
GrantStock Option (Right to Buy) · Derivative 48,000 $0.00 Strike: $0.84 $0.00
Disclosure

SEC source: 0001610717-23-000275 · form4.xml · derivative · entry 1

Quan Lucinda Y. · CIK 0001824711 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 48,000

Underlying: Common Stock · 48,000 shares

Expires 2033-09-08

F1 · derivative.exercise_date: 1/48th of the total number of shares vest in forty-eight (48) successive and equal monthly installments measured from July 20, 2023 (the "Vesting Commencement Date"), such that 100% of the shares subject to the option will be fully vested and exercisable on the fourth anniversary of the Vesting Commencement Date, subject to the Reporting Person's continued service through each vesting date.

Read SEC document
September 08, 2023 Filed Sep 12, 2023 20:06 UTC
Symons Julian A.See Remarks
GrantStock Option (Right to Buy) · Derivative 48,000 $0.00 Strike: $0.84 $0.00
Disclosure

SEC source: 0001610717-23-000274 · form4.xml · derivative · entry 1

Symons Julian A. · CIK 0001824727 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 48,000

Underlying: Common Stock · 48,000 shares

Expires 2033-09-08

F1 · derivative.exercise_date: 1/48th of the total number of shares vest in forty-eight (48) successive and equal monthly installments measured from July 20, 2023 (the "Vesting Commencement Date"), such that 100% of the shares subject to the option will be fully vested and exercisable on the fourth anniversary of the Vesting Commencement Date, subject to the Reporting Person's continued service through each vesting date.

Read SEC document
September 08, 2023 Filed Sep 12, 2023 20:05 UTC
BLATT LAWRENCEChief Executive Officer
GrantStock Option (Right to Buy) · Derivative 150,000 $0.00 Strike: $0.84 $0.00
Disclosure

SEC source: 0001610717-23-000273 · form4.xml · derivative · entry 1

BLATT LAWRENCE · CIK 0001242110 · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 150,000 shares

Expires 2033-09-08

F1 · derivative.exercise_date: 1/48th of the total number of shares vest in forty-eight (48) successive and equal monthly installments measured from July 20, 2023 (the "Vesting Commencement Date"), such that 100% of the shares subject to the option will be fully vested and exercisable on the fourth anniversary of the Vesting Commencement Date, subject to the Reporting Person's continued service through each vesting date.

Read SEC document
July 20, 2023 Filed Jul 21, 2023 20:13 UTC
Hirth PeterDirector
GrantStock Option (Right to Buy) · Derivative 20,000 $0.00 Strike: $1.00 $0.00
Disclosure

SEC source: 0001610717-23-000213 · form4.xml · derivative · entry 1

Hirth Peter · CIK 0001813780 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2033-07-20

F1 · derivative.exercise_date: The shares subject to the option will vest and become exercisable as to 100% of the total number of shares subject to the option on the earlier of the first anniversary of the grant date or immediately prior to the annual meeting in 2024 of the Issuer's stockholders, subject to continuous service to the Issuer through such vesting date.

Read SEC document
July 20, 2023 Filed Jul 22, 2023 01:06 UTC GrantStock Option (Right to Buy) · Derivative 20,000 $0.00 Strike: $1.00 $0.00
Disclosure

SEC source: 0001610717-23-000217 · form4.xml · derivative · entry 1

Martell Bridget A · CIK 0001629627 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2033-07-20

F1 · derivative.exercise_date: The shares subject to the option will vest and become exercisable as to 100% of the total number of shares subject to the option on the earlier of the first anniversary of the grant date or immediately prior to the annual meeting in 2024 of the Issuer's stockholders, subject to continuous service to the Issuer through such vesting date.

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July 20, 2023 Filed Jul 21, 2023 23:23 UTC
Nielsen JackDirector
GrantStock Option (Right to Buy) · Derivative 20,000 $0.00 Strike: $1.00 $0.00
Disclosure

SEC source: 0001610717-23-000216 · form4.xml · derivative · entry 1

Nielsen Jack · CIK 0001602402 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2033-07-20

F1 · derivative.exercise_date: The shares subject to the option will vest and become exercisable as to 100% of the total number of shares subject to the option on the earlier of the first anniversary of the grant date or immediately prior to the annual meeting in 2024 of the Issuer's stockholders, subject to continuous service to the Issuer through such vesting date.

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July 20, 2023 Filed Jul 21, 2023 20:11 UTC GrantStock Option (Right to Buy) · Derivative 20,000 $0.00 Strike: $1.00 $0.00
Disclosure

SEC source: 0001610717-23-000212 · form4.xml · derivative · entry 1

Scopa James Paul · CIK 0001356950 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2033-07-20

F1 · derivative.exercise_date: The shares subject to the option will vest and become exercisable as to 100% of the total number of shares subject to the option on the earlier of the first anniversary of the grant date or immediately prior to the annual meeting in 2024 of the Issuer's stockholders, subject to continuous service to the Issuer through such vesting date.

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July 20, 2023 Filed Jul 21, 2023 20:10 UTC GrantStock Option (Right to Buy) · Derivative 20,000 $0.00 Strike: $1.00 $0.00
Disclosure

SEC source: 0001610717-23-000210 · form4.xml · derivative · entry 1

Nuechterlein Carole · CIK 0001665133 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2033-07-20

F1 · derivative.exercise_date: The shares subject to the option will vest and become exercisable as to 100% of the total number of shares subject to the option on the earlier of the first anniversary of the grant date or immediately prior to the annual meeting in 2024 of the Issuer's stockholders, subject to continuous service to the Issuer through such vesting date.

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March 15, 2023 Filed Mar 17, 2023 16:12 UTC
McClure Matthew W.Chief Medical Officer
GrantStock Option (Right to Buy) · Derivative 75,000 $0.00 Strike: $1.34 $0.00
Disclosure

SEC source: 0001567619-23-005257 · doc1.xml · derivative · entry 1

McClure Matthew W. · CIK 0001927121 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 75,000 shares

Expires 2033-03-15

F1 · derivative.exercise_date: 1/48th of the total number of shares vest in forty-eight (48) successive and equal monthly installments measured from March 15, 2023 (the "Vesting Commencement Date"), such that 100% of the shares subject to the option will be fully vested and exercisable on the fourth anniversary of the Vesting Commencement Date, subject to the Reporting Person's continued service through each vesting date.

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March 15, 2023 Filed Mar 17, 2023 20:11 UTC
Symons Julian A.See Remarks
GrantStock Option (Right to Buy) · Derivative 78,750 $0.00 Strike: $1.34 $0.00
Disclosure

SEC source: 0001567619-23-005256 · doc1.xml · derivative · entry 1

Symons Julian A. · CIK 0001824727 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 78,750

Underlying: Common Stock · 78,750 shares

Expires 2033-03-15

F1 · derivative.exercise_date: 1/48th of the total number of shares vest in forty-eight (48) successive and equal monthly installments measured from March 15, 2023 (the "Vesting Commencement Date"), such that 100% of the shares subject to the option will be fully vested and exercisable on the fourth anniversary of the Vesting Commencement Date, subject to the Reporting Person's continued service through each vesting date.

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March 15, 2023 Filed Mar 17, 2023 20:11 UTC GrantStock Option (Right to Buy) · Derivative 78,750 $0.00 Strike: $1.34 $0.00
Disclosure

SEC source: 0001567619-23-005255 · doc1.xml · derivative · entry 1

Calhoun Lesley Ann · CIK 0001730866 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 78,750

Underlying: Common Stock · 78,750 shares

Expires 2033-03-15

F1 · derivative.exercise_date: 1/48th of the total number of shares vest in forty-eight (48) successive and equal monthly installments measured from March 15, 2023 (the "Vesting Commencement Date"), such that 100% of the shares subject to the option will be fully vested and exercisable on the fourth anniversary of the Vesting Commencement Date, subject to the Reporting Person's continued service through each vesting date.

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March 15, 2023 Filed Mar 17, 2023 20:10 UTC
Quan Lucinda Y.See Remarks
GrantStock Option (Right to Buy) · Derivative 78,750 $0.00 Strike: $1.34 $0.00
Disclosure

SEC source: 0001567619-23-005254 · doc1.xml · derivative · entry 1

Quan Lucinda Y. · CIK 0001824711 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 78,750

Underlying: Common Stock · 78,750 shares

Expires 2033-03-15

F1 · derivative.exercise_date: 1/48th of the total number of shares vest in forty-eight (48) successive and equal monthly installments measured from March 15, 2023 (the "Vesting Commencement Date"), such that 100% of the shares subject to the option will be fully vested and exercisable on the fourth anniversary of the Vesting Commencement Date, subject to the Reporting Person's continued service through each vesting date.

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March 15, 2023 Filed Mar 17, 2023 20:10 UTC
Beigelman LeonidDirector · President
GrantStock Option (Right to Buy) · Derivative 169,500 $0.00 Strike: $1.34 $0.00
Disclosure

SEC source: 0001567619-23-005252 · doc1.xml · derivative · entry 1

Beigelman Leonid · CIK 0001824721 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 169,500

Underlying: Common Stock · 169,500 shares

Expires 2033-03-15

F1 · derivative.exercise_date: 1/48th of the total number of shares vest in forty-eight (48) successive and equal monthly installments measured from March 15, 2023 (the "Vesting Commencement Date"), such that 100% of the shares subject to the option will be fully vested and exercisable on the fourth anniversary of the Vesting Commencement Date, subject to the Reporting Person's continued service through each vesting date.

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March 15, 2023 Filed Mar 17, 2023 20:09 UTC
BLATT LAWRENCEChief Executive Officer
GrantStock Option (Right to Buy) · Derivative 242,500 $0.00 Strike: $1.34 $0.00
Disclosure

SEC source: 0001567619-23-005251 · doc1.xml · derivative · entry 1

BLATT LAWRENCE · CIK 0001242110 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 242,500

Underlying: Common Stock · 242,500 shares

Expires 2033-03-15

F1 · derivative.exercise_date: 1/48th of the total number of shares vest in forty-eight (48) successive and equal monthly installments measured from March 15, 2023 (the "Vesting Commencement Date"), such that 100% of the shares subject to the option will be fully vested and exercisable on the fourth anniversary of the Vesting Commencement Date, subject to the Reporting Person's continued service through each vesting date.

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July 07, 2022 Filed Jul 11, 2022 16:15 UTC
McClure Matthew W.Chief Medical Officer
GrantStock Option (Right to Buy) · Derivative 46,000 $0.00 Strike: $1.41 $0.00
Disclosure

SEC source: 0001567619-22-013870 · doc1.xml · derivative · entry 1

McClure Matthew W. · CIK 0001927121 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,000

Underlying: Common Stock · 46,000 shares

Expires 2032-07-07

F1 · derivative.exercise_date: 1/48th of the total number of shares vest in forty-eight (48) successive and equal monthly installments measured from July 7, 2022 (the "Vesting Commencement Date"), such that 100% of the shares subject to the option will be fully vested and exercisable on the fourth anniversary of the Vesting Commencement Date.

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July 07, 2022 Filed Jul 11, 2022 20:14 UTC GrantStock Option (Right to Buy) · Derivative 52,500 $0.00 Strike: $1.41 $0.00
Disclosure

SEC source: 0001567619-22-013868 · doc1.xml · derivative · entry 1

Calhoun Lesley Ann · CIK 0001730866 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,500

Underlying: Common Stock · 52,500 shares

Expires 2032-07-07

F1 · derivative.exercise_date: 1/48th of the total number of shares vest in forty-eight (48) successive and equal monthly installments measured from July 7, 2022 (the "Vesting Commencement Date"), such that 100% of the shares subject to the option will be fully vested and exercisable on the fourth anniversary of the Vesting Commencement Date, subject to the Reporting Person's continued service through each vesting date.

Read SEC document
July 07, 2022 Filed Jul 11, 2022 20:15 UTC
Quan Lucinda Y.See Remarks
GrantStock Option (Right to Buy) · Derivative 52,500 $0.00 Strike: $1.41 $0.00
Disclosure

SEC source: 0001567619-22-013869 · doc1.xml · derivative · entry 1

Quan Lucinda Y. · CIK 0001824711 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,500

Underlying: Common Stock · 52,500 shares

Expires 2032-07-07

F1 · derivative.exercise_date: 1/48th of the total number of shares vest in forty-eight (48) successive and equal monthly installments measured from July 7, 2022 (the "Vesting Commencement Date"), such that 100% of the shares subject to the option will be fully vested and exercisable on the fourth anniversary of the Vesting Commencement Date, subject to the Reporting Person's continued service through each vesting date.

Read SEC document
July 07, 2022 Filed Jul 11, 2022 20:13 UTC
Beigelman LeonidDirector · President
GrantStock Option (Right to Buy) · Derivative 113,000 $0.00 Strike: $1.41 $0.00
Disclosure

SEC source: 0001567619-22-013867 · doc1.xml · derivative · entry 1

Beigelman Leonid · CIK 0001824721 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 113,000

Underlying: Common Stock · 113,000 shares

Expires 2032-07-07

F1 · derivative.exercise_date: 1/48th of the total number of shares vest in forty-eight (48) successive and equal monthly installments measured from July 7, 2022 (the "Vesting Commencement Date"), such that 100% of the shares subject to the option will be fully vested and exercisable on the fourth anniversary of the Vesting Commencement Date, subject to the Reporting Person's continued service through each vesting date.

Read SEC document
July 07, 2022 Filed Jul 11, 2022 20:13 UTC
BLATT LAWRENCEChief Executive Officer
GrantStock Option (Right to Buy) · Derivative 161,700 $0.00 Strike: $1.41 $0.00
Disclosure

SEC source: 0001567619-22-013866 · doc1.xml · derivative · entry 1

BLATT LAWRENCE · CIK 0001242110 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 161,700

Underlying: Common Stock · 161,700 shares

Expires 2032-07-07

F1 · derivative.exercise_date: 1/48th of the total number of shares vest in forty-eight (48) successive and equal monthly installments measured from July 7, 2022 (the "Vesting Commencement Date"), such that 100% of the shares subject to the option will be fully vested and exercisable on the fourth anniversary of the Vesting Commencement Date, subject to the Reporting Person's continued service through each vesting date.

Read SEC document
July 07, 2022 Filed Jul 11, 2022 20:12 UTC
Symons Julian A.See Remarks
GrantStock Option (Right to Buy) · Derivative 50,000 $0.00 Strike: $1.41 $0.00
Disclosure

SEC source: 0001567619-22-013865 · doc1.xml · derivative · entry 1

Symons Julian A. · CIK 0001824727 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2032-07-07

F1 · derivative.exercise_date: 1/48th of the total number of shares vest in forty-eight (48) successive and equal monthly installments measured from July 7, 2022 (the "Vesting Commencement Date"), such that 100% of the shares subject to the option will be fully vested and exercisable on the fourth anniversary of the Vesting Commencement Date, subject to the Reporting Person's continued service through each vesting date.

Read SEC document
June 23, 2022 Filed Jun 27, 2022 20:14 UTC
Hirth PeterDirector
GrantStock Option (Right to Buy) · Derivative 15,000 $0.00 Strike: $1.34 $0.00
Disclosure

SEC source: 0001567619-22-013391 · doc1.xml · derivative · entry 1

Hirth Peter · CIK 0001813780 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2032-06-23

F1 · derivative.exercise_date: The shares subject to the option will vest and become exercisable as to 100% of the total number of shares subject to the option on the earlier of the first anniversary of the grant date or immediately prior to the annual meeting in 2023 of the Issuer's stockholders, subject to continuous service to the Issuer through such vesting date.

Read SEC document
June 23, 2022 Filed Jun 27, 2022 20:14 UTC GrantStock Option (Right to Buy) · Derivative 15,000 $0.00 Strike: $1.34 $0.00
Disclosure

SEC source: 0001567619-22-013392 · doc1.xml · derivative · entry 1

Woiwode Thomas · CIK 0001619294 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2032-06-23

F1 · derivative.exercise_date: The shares subject to the option will vest and become exercisable as to 100% of the total number of shares subject to the option on the earlier of the first anniversary of the grant date or immediately prior to the annual meeting in 2023 of the Issuer's stockholders, subject to continuous service to the Issuer through such vesting date.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.