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Nasdaq · USD

ALXO

ALX ONCOLOGY HOLDINGS INC

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Tapewire entity
6040
SEC CIK
0001810182
Parsed reports
213

Last 12 months

Inside the activity.

1 purchase rows · 7 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202601
Feb 202611
Mar 202602
Apr 202600
May 202600
Jun 202600
Jul 202601
Aug 202602
Sep 202600
Oct 202600

Latest available

Insider transactions

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
January 21, 2025 Filed Jan 23, 2025 23:11 UTC
Sandler Alan B.Chief Medical Officer
GrantEmployee Stock Option (right to buy) · Derivative 100,000 $0.00 Strike: $1.65 $0.00
Disclosure

SEC source: 0001415889-25-001963 · form4-01232025_110146.xml · derivative · entry 1

Sandler Alan B. · CIK 0001835966 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2035-01-20

F1 · derivative.exercise_date: Shares subject to the option vest in 48 equal monthly installments beginning on February 21, 2025.

Read SEC document
January 21, 2025 Filed Jan 23, 2025 23:07 UTC
Lettmann JasonDirector · CHIEF EXECUTIVE OFFICER
GrantEmployee Stock Option (right to buy) · Derivative 478,000 $0.00 Strike: $1.65 $0.00
Disclosure

SEC source: 0001415889-25-001959 · form4-01232025_110159.xml · derivative · entry 1

Lettmann Jason · CIK 0001688269 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 478,000

Underlying: Common Stock · 478,000 shares

Expires 2035-01-20

F1 · derivative.exercise_date: Shares subject to the option vest in 48 equal monthly installments beginning on February 21, 2025.

Read SEC document
January 06, 2025 Filed Jan 8, 2025 21:10 UTC
Wong ShellyInterim CFO
SaleCommon Stock 2,221 $1.80 $3,997.80
Disclosure

SEC source: 0001415889-25-001120 · form4-01082025_090144.xml · nonDerivative · entry 1

Pinto Shelly · CIK 0001857740 · Interim CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 87,902

F1 · kind: The reported shares were sold to satisfy the reporting person's tax obligations in connection with the vesting of restricted stock units.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.79 to $1.80, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price.

Read SEC document
December 30, 2024 Filed Jan 2, 2025 16:43 UTC
Pons JaumePRESIDENT & CSO
SaleCommon Stock 10,796 $1.58 $17,059.84
Disclosure

SEC source: 0001415889-25-000123 · form4-01022025_090125.xml · nonDerivative · entry 1

Pons Jaume · CIK 0001816977 · PRESIDENT & CSO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 580,714

F1 · kind: The reported shares were sold to satisfy the reporting person's tax obligations in connection with the vesting of restricted stock units.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.58 to $1.60, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price.

Read SEC document
December 30, 2024 Filed Jan 2, 2025 21:46 UTC
Wong ShellyInterim CFO
SaleCommon Stock 1,426 $1.58 $2,253.37
Disclosure

SEC source: 0001415889-25-000132 · form4-01022025_090133.xml · nonDerivative · entry 1

Pinto Shelly · CIK 0001857740 · Interim CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 90,123

F1 · kind: The reported shares were sold to satisfy the reporting person's tax obligations in connection with the vesting of restricted stock units.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.58 to $1.60, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price.

Read SEC document
December 02, 2024 Filed Dec 4, 2024 21:17 UTC PurchaseCommon Stock 30,000 $1.55 $46,404.00
Disclosure

SEC source: 0001415889-24-028247 · form4-12042024_091224.xml · nonDerivative · entry 1

Hemrajani Rekha · CIK 0001771213 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 33,000

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.515 to $1.55, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price.

Read SEC document
December 02, 2024 Filed Dec 4, 2024 21:15 UTC
Wong ShellyInterim CFO
GrantEmployee Stock Option (right to buy) · Derivative 150,000 $0.00 Strike: $1.66 $0.00
Disclosure

SEC source: 0001415889-24-028245 · form4-12042024_091224.xml · derivative · entry 1

Pinto Shelly · CIK 0001857740 · Interim CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 150,000 shares

Expires 2031-12-01

F1 · derivative.exercise_date: Shares subject to the option vest in 30 equal monthly installments beginning on January 2, 2025.

Read SEC document
December 02, 2024 Filed Dec 4, 2024 21:13 UTC
Lettmann JasonDirector · CHIEF EXECUTIVE OFFICER
GrantEmployee Stock Option (right to buy) · Derivative 200,000 $0.00 Strike: $1.66 $0.00
Disclosure

SEC source: 0001415889-24-028239 · form4-12042024_091258.xml · derivative · entry 1

Lettmann Jason · CIK 0001688269 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 200,000

Underlying: Common Stock · 200,000 shares

Expires 2031-12-01

F1 · derivative.exercise_date: Shares subject to the option vest in 30 equal monthly installments beginning on January 2, 2025.

Read SEC document
November 18, 2024 Filed Nov 19, 2024 21:05 UTC
Sandler Alan B.Chief Medical Officer
GrantEmployee Stock Option (right to buy) · Derivative 600,000 $0.00 Strike: $1.22 $0.00
Disclosure

SEC source: 0001415889-24-027181 · form4-11192024_091142.xml · derivative · entry 1

Sandler Alan B. · CIK 0001835966 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 600,000

Underlying: Common Stock · 600,000 shares

Expires 2034-11-17

F1 · derivative.exercise_date: One-fourth of the shares subject to the option vest on November 18, 2025 and 1/48th of the shares vest monthly thereafter.

Read SEC document
August 14, 2024 Filed Aug 16, 2024 17:09 UTC
Randolph SophiaCHIEF MEDICAL OFFICER
SaleCommon Stock 1,365 $2.58 $3,521.70
Disclosure

SEC source: 0001415889-24-021480 · form4-08162024_090823.xml · nonDerivative · entry 1

Randolph Sophia · CIK 0001817127 · CHIEF MEDICAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 325,711

F1 · kind: The reported shares were sold to satisfy the reporting person's tax obligations in connection with the vesting of restricted stock units.

Read SEC document
August 14, 2024 Filed Aug 16, 2024 17:06 UTC
Pons JaumePRESIDENT & CSO
SaleCommon Stock 1,937 $2.58 $4,997.46
Disclosure

SEC source: 0001415889-24-021474 · form4-08162024_090846.xml · nonDerivative · entry 1

Pons Jaume · CIK 0001816977 · PRESIDENT & CSO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 591,510

F1 · kind: The reported shares were sold to satisfy the reporting person's tax obligations in connection with the vesting of restricted stock units.

Read SEC document
August 14, 2024 Filed Aug 16, 2024 21:10 UTC
Wong ShellySVP, FINANCE AND CAO
SaleCommon Stock 564 $2.58 $1,455.12
Disclosure

SEC source: 0001415889-24-021482 · form4-08162024_090836.xml · nonDerivative · entry 1

Pinto Shelly · CIK 0001857740 · SVP, FINANCE AND CAO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 91,549

F1 · kind: The reported shares were sold to satisfy the reporting person's tax obligations in connection with the vesting of restricted stock units.

Read SEC document
August 14, 2024 Filed Aug 16, 2024 21:08 UTC
GARCIA PETER SCHIEF FINANCIAL OFFICER
Tax withholdingCommon Stock 761 $2.58 $1,963.38
Disclosure

SEC source: 0001415889-24-021476 · form4-08162024_090807.xml · nonDerivative · entry 1

GARCIA PETER S · CIK 0001188956 · CHIEF FINANCIAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 121,516

F1 · kind: The shares were withheld to satisfy the reporting person's tax liability in connection with the vesting of restricted stock units, or RSUs.

Read SEC document
August 14, 2024 Filed Aug 16, 2024 21:05 UTC
Lettmann JasonDirector · CHIEF EXECUTIVE OFFICER
Tax withholdingCommon Stock 2,191 $2.58 $5,652.78
Disclosure

SEC source: 0001415889-24-021471 · form4-08162024_090831.xml · nonDerivative · entry 1

Lettmann Jason · CIK 0001688269 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 169,429

F1 · kind: The shares were withheld to satisfy the reporting person's tax liability in connection with the vesting of restricted stock units, or RSUs.

Read SEC document
August 05, 2024 Filed Aug 7, 2024 21:23 UTC GrantStock Option (right to buy) · Derivative 40,400 $0.00 Strike: $2.73 $0.00
Disclosure

SEC source: 0001415889-24-020932 · form4-08072024_090845.xml · derivative · entry 1

Sandler Alan B. · CIK 0001835966 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,400

Underlying: Common Stock · 40,400 shares

Expires 2034-08-04

F1 · derivative.exercise_date: Shares subject to the option vest in 36 equal monthly installments beginning on September 5, 2024.

Read SEC document
July 11, 2024 Filed Jul 15, 2024 16:06 UTC
Pons JaumeDirector · PRESIDENT & CSO
Exercise / conversionEmployee Stock Option (right to buy) · Derivative 20,000 $0.00 Strike: $0.99 $0.00
Disclosure

SEC source: 0001415889-24-019546 · form4-07152024_080721.xml · derivative · entry 3

Pons Jaume · CIK 0001816977 · Director · PRESIDENT & CSO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 144,433

Underlying: Common Stock · 20,000 shares

Expires 2027-03-30

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.

F3 · derivative.exercise_date: The shares subject to the option are fully vested and immediately exercisable.

Read SEC document
July 11, 2024 Filed Jul 15, 2024 16:06 UTC
Pons JaumeDirector · PRESIDENT & CSO
SaleCommon Stock 20,000 $7.90 $158,076.00
Disclosure

SEC source: 0001415889-24-019546 · form4-07152024_080721.xml · nonDerivative · entry 2

Pons Jaume · CIK 0001816977 · Director · PRESIDENT & CSO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 593,447

F1 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 6, 2023.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.90 to 7.905, inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price.

Read SEC document
July 11, 2024 Filed Jul 15, 2024 16:06 UTC
Pons JaumeDirector · PRESIDENT & CSO
Exercise / conversionCommon Stock 20,000 $0.99 $19,800.00
Disclosure

SEC source: 0001415889-24-019546 · form4-07152024_080721.xml · nonDerivative · entry 1

Pons Jaume · CIK 0001816977 · Director · PRESIDENT & CSO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 613,447

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.

Read SEC document
July 05, 2024 Filed Jul 9, 2024 20:09 UTC
Wong ShellySVP, FINANCE AND CAO
SaleCommon Stock 1,823 $5.50 $10,025.22
Disclosure

SEC source: 0001415889-24-019429 · form4-07092024_080737.xml · nonDerivative · entry 1

Pinto Shelly · CIK 0001857740 · SVP, FINANCE AND CAO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 92,113

F1 · kind: The reported shares were sold to satisfy the reporting person's tax obligations in connection with the vesting of restricted stock units.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.45 to $5.50, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price.

Read SEC document
July 01, 2024 Filed Jul 3, 2024 17:02 UTC
Randolph SophiaDirector · CHIEF MEDICAL OFFICER
SaleCommon Stock 3,273 $5.82 $19,044.93
Disclosure

SEC source: 0001415889-24-019224 · form4-07032024_090700.xml · nonDerivative · entry 1

Randolph Sophia · CIK 0001817127 · Director · CHIEF MEDICAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 327,076

F1 · kind: The reported shares were sold to satisfy the reporting person's tax obligations in connection with the vesting of restricted stock units.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.78 to $5.82, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price.

Read SEC document
July 01, 2024 Filed Jul 3, 2024 17:00 UTC
Pons JaumeDirector · PRESIDENT & CSO
SaleCommon Stock 10,758 $5.82 $62,598.65
Disclosure

SEC source: 0001415889-24-019221 · form4-07032024_090724.xml · nonDerivative · entry 1

Pons Jaume · CIK 0001816977 · Director · PRESIDENT & CSO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 593,447

F1 · kind: The reported shares were sold to satisfy the reporting person's tax obligations in connection with the vesting of restricted stock units.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.78 to $5.82, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price.

Read SEC document
July 01, 2024 Filed Jul 3, 2024 21:03 UTC
Wong ShellySVP, FINANCE AND CAO
SaleCommon Stock 1,373 $5.82 $7,989.21
Disclosure

SEC source: 0001415889-24-019228 · form4-07032024_090722.xml · nonDerivative · entry 1

Pinto Shelly · CIK 0001857740 · SVP, FINANCE AND CAO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 93,936

F1 · kind: The reported shares were sold to satisfy the reporting person's tax obligations in connection with the vesting of restricted stock units.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.77 to $5.82, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price.

F3 · balance_after: Includes 1,718 shares acquired under the Issuer's employee stock purchase plan on June 28, 2024.

Read SEC document
June 28, 2024 Filed Jul 2, 2024 20:39 UTC
GARCIA PETER SCHIEF FINANCIAL OFFICER
Tax withholdingCommon Stock 1,789 $6.03 $10,787.67
Disclosure

SEC source: 0001415889-24-018919 · form4-07022024_080741.xml · nonDerivative · entry 1

GARCIA PETER S · CIK 0001188956 · CHIEF FINANCIAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 122,277

F1 · kind: The shares were withheld to satisfy the reporting person's tax liability in connection with the vesting of restricted stock units, or RSUs.

F2 · balance_after: Includes 1,718 shares acquired under the Issuer's employee stock purchase plan on June 28, 2024.

Read SEC document
June 13, 2024 Filed Jun 14, 2024 20:49 UTC GrantStock Option (right to buy) · Derivative 20,200 $0.00 Strike: $8.44 $0.00
Disclosure

SEC source: 0001415889-24-016955 · form4-06142024_080638.xml · derivative · entry 1

Hemrajani Rekha · CIK 0001771213 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,200

Underlying: Common Stock · 20,200 shares

Expires 2034-06-12

F1 · derivative.exercise_date: Shares subject to the option vest in 12 equal monthly installments on the 13th day of the month, or if earlier, the day immediately before the day of the next annual meeting of stockholders.

Read SEC document
June 13, 2024 Filed Jun 14, 2024 20:46 UTC GrantStock Option (right to buy) · Derivative 20,200 $0.00 Strike: $8.44 $0.00
Disclosure

SEC source: 0001415889-24-016952 · form4-06142024_080642.xml · derivative · entry 1

Garland J. Scott · CIK 0001533228 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,200

Underlying: Common Stock · 20,200 shares

Expires 2034-06-12

F1 · derivative.exercise_date: Shares subject to the option vest in 12 equal monthly installments on the 13th day of the month, or if earlier, the day immediately before the day of the next annual meeting of stockholders.

Read SEC document
June 13, 2024 Filed Jun 14, 2024 20:42 UTC
GOODMAN COREY SDirector · 10% owner
GrantStock Option (right to buy) · Derivative 20,200 $0.00 Strike: $8.44 $0.00
Disclosure

SEC source: 0001415889-24-016949 · form4-06142024_080636.xml · derivative · entry 1

GOODMAN COREY S · CIK 0001278411 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,200

Underlying: Common Stock · 20,200 shares

Expires 2034-06-12

F1 · derivative.exercise_date: Shares subject to the option vest in 12 equal monthly installments on the 13th day of the month, or if earlier, the day immediately before the day of the next annual meeting of stockholders.

Read SEC document
June 13, 2024 Filed Jun 17, 2024 11:29 UTC
GARCIA PETER SCHIEF FINANCIAL OFFICER
PurchaseCommon Stock 12,000 $8.53 $102,338.40
Disclosure

SEC source: 0001415889-24-017054 · form4-06172024_110650.xml · nonDerivative · entry 1

GARCIA PETER S · CIK 0001188956 · CHIEF FINANCIAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 122,348

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $8.4113 to $8.68, inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price.

Read SEC document
June 13, 2024 Filed Jun 24, 2024 13:00 UTC Amendment
GARCIA PETER SCHIEF FINANCIAL OFFICER
PurchaseCommon Stock 12,000 $8.53 $102,338.40
Disclosure

SEC source: 0001415889-24-017899 · form4a-06242024_010651.xml · nonDerivative · entry 1

GARCIA PETER S · CIK 0001188956 · CHIEF FINANCIAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 122,348

F1 · kind: For purposes of the short-swing profit recovery provisions of Section 16(b) of the Securities Exchange Act of 1934, the acquisition of shares reported herein may be deemed to be matchable to the extent of 1,893 shares with the reporting person's sale of 1,893 shares of Issuer common stock to satisfy the reporting person's tax obligations in connection with the vesting of restricted stock units on December 29, 2023. The reporting person has agreed to pay to the Issuer $11,959.88, which represents the full amount of the profit realized in connection with the short-swing transaction, less transaction costs.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $8.4113 to $8.68, inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price.

Read SEC document
June 04, 2024 Filed Jun 6, 2024 16:06 UTC
Pons JaumeDirector · PRESIDENT & CSO
Exercise / conversionEmployee Stock Option (right to buy) · Derivative 20,000 $0.00 Strike: $0.99 $0.00
Disclosure

SEC source: 0001415889-24-015737 · form4-06062024_080618.xml · derivative · entry 3

Pons Jaume · CIK 0001816977 · Director · PRESIDENT & CSO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 164,433

Underlying: Common Stock · 20,000 shares

Expires 2027-03-30

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.

F3 · derivative.exercise_date: The shares subject to the option are fully vested and immediately exercisable.

Read SEC document
June 04, 2024 Filed Jun 6, 2024 16:06 UTC
Pons JaumeDirector · PRESIDENT & CSO
SaleCommon Stock 20,000 $8.43 $168,652.00
Disclosure

SEC source: 0001415889-24-015737 · form4-06062024_080618.xml · nonDerivative · entry 2

Pons Jaume · CIK 0001816977 · Director · PRESIDENT & CSO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 604,205

F1 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 6, 2023.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $8.17 to $8.87, inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price.

Read SEC document
June 04, 2024 Filed Jun 6, 2024 16:06 UTC
Pons JaumeDirector · PRESIDENT & CSO
Exercise / conversionCommon Stock 20,000 $0.99 $19,800.00
Disclosure

SEC source: 0001415889-24-015737 · form4-06062024_080618.xml · nonDerivative · entry 1

Pons Jaume · CIK 0001816977 · Director · PRESIDENT & CSO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 624,205

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.

Read SEC document
May 13, 2024 Filed May 15, 2024 16:30 UTC
Randolph SophiaDirector · CHIEF MEDICAL OFFICER
SaleCommon Stock 1,797 $16.67 $29,958.87
Disclosure

SEC source: 0001415889-24-013237 · form4-05152024_080510.xml · nonDerivative · entry 2

Randolph Sophia · CIK 0001817127 · Director · CHIEF MEDICAL OFFICER

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 330,349

F1 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on January 11, 2024.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.47 to $16.94, inclusive.

Read SEC document
May 13, 2024 Filed May 15, 2024 16:30 UTC
Randolph SophiaDirector · CHIEF MEDICAL OFFICER
SaleCommon Stock 10,203 $15.82 $161,379.83
Disclosure

SEC source: 0001415889-24-013237 · form4-05152024_080510.xml · nonDerivative · entry 1

Randolph Sophia · CIK 0001817127 · Director · CHIEF MEDICAL OFFICER

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 332,146

F1 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on January 11, 2024.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.465 to $16.4602, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (2) and (3) to this Form 4.

Read SEC document
May 06, 2024 Filed May 8, 2024 17:31 UTC
Pons JaumeDirector · PRESIDENT & CSO
Exercise / conversionEmployee Stock Option (right to buy) · Derivative 20,000 $0.00 Strike: $0.99 $0.00
Disclosure

SEC source: 0001415889-24-012637 · form4-05082024_090502.xml · derivative · entry 3

Pons Jaume · CIK 0001816977 · Director · PRESIDENT & CSO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 184,433

Underlying: Common Stock · 20,000 shares

Expires 2027-03-30

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.

F3 · derivative.exercise_date: The shares subject to the option are fully vested and immediately exercisable.

Read SEC document
May 06, 2024 Filed May 8, 2024 17:31 UTC
Pons JaumeDirector · PRESIDENT & CSO
SaleCommon Stock 20,000 $15.92 $318,334.00
Disclosure

SEC source: 0001415889-24-012637 · form4-05082024_090502.xml · nonDerivative · entry 2

Pons Jaume · CIK 0001816977 · Director · PRESIDENT & CSO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 604,205

F1 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 6, 2023.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.55 to $16.3942, inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price.

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May 06, 2024 Filed May 8, 2024 17:31 UTC
Pons JaumeDirector · PRESIDENT & CSO
Exercise / conversionCommon Stock 20,000 $0.99 $19,800.00
Disclosure

SEC source: 0001415889-24-012637 · form4-05082024_090502.xml · nonDerivative · entry 1

Pons Jaume · CIK 0001816977 · Director · PRESIDENT & CSO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 624,205

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.

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April 16, 2024 Filed Apr 18, 2024 16:49 UTC
Pons JaumeDirector · PRESIDENT & CSO
Exercise / conversionEmployee Stock Option (right to buy) · Derivative 25,846 $0.00 Strike: $0.99 $0.00
Disclosure

SEC source: 0001415889-24-011128 · form4-04182024_080417.xml · derivative · entry 3

Pons Jaume · CIK 0001816977 · Director · PRESIDENT & CSO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 204,433

Underlying: Common Stock · 25,846 shares

Expires 2027-03-30

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.

F3 · derivative.exercise_date: The shares subject to the option are fully vested and immediately exercisable.

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April 16, 2024 Filed Apr 18, 2024 16:49 UTC
Pons JaumeDirector · PRESIDENT & CSO
SaleCommon Stock 50,000 $14.20 $710,195.00
Disclosure

SEC source: 0001415889-24-011128 · form4-04182024_080417.xml · nonDerivative · entry 2

Pons Jaume · CIK 0001816977 · Director · PRESIDENT & CSO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 604,205

F1 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 6, 2023.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.00 to $14.47, inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price.

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April 16, 2024 Filed Apr 18, 2024 16:49 UTC
Pons JaumeDirector · PRESIDENT & CSO
Exercise / conversionCommon Stock 25,846 $0.99 $25,587.54
Disclosure

SEC source: 0001415889-24-011128 · form4-04182024_080417.xml · nonDerivative · entry 1

Pons Jaume · CIK 0001816977 · Director · PRESIDENT & CSO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 654,205

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.

Read SEC document
April 04, 2024 Filed Apr 5, 2024 17:37 UTC
Pons JaumeDirector · PRESIDENT & CSO
SaleCommon Stock 20,000 $11.15 $223,036.00
Disclosure

SEC source: 0001415889-24-010443 · form4-04052024_090425.xml · nonDerivative · entry 1

Pons Jaume · CIK 0001816977 · Director · PRESIDENT & CSO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 628,359

F1 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 6, 2023.

F2 · shares: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.86 to $11.275, inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price.

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March 14, 2024 Filed Mar 18, 2024 20:06 UTC
Lettmann JasonDirector · CHIEF EXECUTIVE OFFICER
PurchaseCommon Stock 4,400 $11.31 $49,771.48
Disclosure

SEC source: 0001415889-24-008260 · form4-03182024_080318.xml · nonDerivative · entry 1

Lettmann Jason · CIK 0001688269 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 171,620

Read SEC document
February 14, 2024 Filed Feb 16, 2024 18:17 UTC
Randolph SophiaDirector · CHIEF MEDICAL OFFICER
GrantEmployee Stock Option (right to buy) · Derivative 95,000 $0.00 Strike: $15.84 $0.00
Disclosure

SEC source: 0001415889-24-004227 · form4-02162024_110240.xml · derivative · entry 2

Randolph Sophia · CIK 0001817127 · Director · CHIEF MEDICAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 95,000

Underlying: Common Stock · 95,000 shares

Expires 2034-02-13

F2 · derivative.exercise_date: Shares subject to the option vest in 48 equal monthly installments beginning on March 14, 2024.

Read SEC document
February 14, 2024 Filed Feb 16, 2024 18:17 UTC
Randolph SophiaDirector · CHIEF MEDICAL OFFICER
GrantCommon Stock 30,000 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-004227 · form4-02162024_110240.xml · nonDerivative · entry 1

Randolph Sophia · CIK 0001817127 · Director · CHIEF MEDICAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 342,349

F1 · shares: The reported shares are represented by restricted stock units, or RSUs, which vest in eight equal semiannual installments beginning on August 14, 2024.

Read SEC document
February 14, 2024 Filed Feb 16, 2024 18:09 UTC
Pons JaumeDirector · PRESIDENT & CSO
GrantEmployee Stock Option (right to buy) · Derivative 95,000 $0.00 Strike: $15.84 $0.00
Disclosure

SEC source: 0001415889-24-004218 · form4-02162024_110225.xml · derivative · entry 2

Pons Jaume · CIK 0001816977 · Director · PRESIDENT & CSO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 95,000

Underlying: Common Stock · 95,000 shares

Expires 2034-02-13

F2 · derivative.exercise_date: Shares subject to the option vest in 48 equal monthly installments beginning on March 14, 2024.

Read SEC document
February 14, 2024 Filed Feb 16, 2024 18:09 UTC
Pons JaumeDirector · PRESIDENT & CSO
GrantCommon Stock 30,000 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-004218 · form4-02162024_110225.xml · nonDerivative · entry 1

Pons Jaume · CIK 0001816977 · Director · PRESIDENT & CSO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 648,359

F1 · shares: The reported shares are represented by restricted stock units, or RSUs, which vest in eight equal semiannual installments beginning on August 14, 2024.

Read SEC document
February 14, 2024 Filed Feb 16, 2024 23:24 UTC
Wong ShellySVP, FINANCE AND CAO
GrantEmployee Stock Option (right to buy) · Derivative 35,000 $0.00 Strike: $15.84 $0.00
Disclosure

SEC source: 0001415889-24-004233 · form4-02162024_110202.xml · derivative · entry 2

Pinto Shelly · CIK 0001857740 · SVP, FINANCE AND CAO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2034-02-13

F2 · derivative.exercise_date: Shares subject to the option vest in 48 equal monthly installments beginning on March 14, 2024.

Read SEC document
February 14, 2024 Filed Feb 16, 2024 23:24 UTC
Wong ShellySVP, FINANCE AND CAO
GrantCommon Stock 15,000 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-004233 · form4-02162024_110202.xml · nonDerivative · entry 1

Pinto Shelly · CIK 0001857740 · SVP, FINANCE AND CAO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 93,591

F1 · shares: The reported shares are represented by restricted stock units, or RSUs, which vest in eight equal semiannual installments beginning on August 14, 2024.

Read SEC document
February 14, 2024 Filed Feb 16, 2024 23:21 UTC
GARCIA PETER SCHIEF FINANCIAL OFFICER
GrantEmployee Stock Option (right to buy) · Derivative 80,000 $0.00 Strike: $15.84 $0.00
Disclosure

SEC source: 0001415889-24-004231 · form4-02162024_110247.xml · derivative · entry 2

GARCIA PETER S · CIK 0001188956 · CHIEF FINANCIAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 80,000

Underlying: Common Stock · 80,000 shares

Expires 2034-02-13

F2 · derivative.exercise_date: Shares subject to the option vest in 48 equal monthly installments beginning on March 14, 2024.

Read SEC document
February 14, 2024 Filed Feb 16, 2024 23:21 UTC
GARCIA PETER SCHIEF FINANCIAL OFFICER
GrantCommon Stock 25,000 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-004231 · form4-02162024_110247.xml · nonDerivative · entry 1

GARCIA PETER S · CIK 0001188956 · CHIEF FINANCIAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 110,348

F1 · shares: The reported shares are represented by restricted stock units, or RSUs, which vest in eight equal semiannual installments beginning on August 14, 2024.

Read SEC document
February 14, 2024 Filed Feb 16, 2024 23:03 UTC
Lettmann JasonDirector · CHIEF EXECUTIVE OFFICER
GrantEmployee Stock Option · Derivative 190,000 $0.00 Strike: $15.84 $0.00
Disclosure

SEC source: 0001415889-24-004210 · form4-02162024_110246.xml · derivative · entry 2

Lettmann Jason · CIK 0001688269 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 190,000

Underlying: Common Stock · 190,000 shares

Expires 2034-02-13

F2 · derivative.exercise_date: Shares subject to the option vest in 48 equal monthly installments beginning on March 14, 2024.

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.