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Nasdaq · USD

ANNX

Annexon, Inc.

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5011
SEC CIK
0001528115
Parsed reports
206

Last 12 months

Inside the activity.

13 purchase rows · 10 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202550
Dec 202530
Jan 202600
Feb 202605
Mar 202615
Apr 202610
May 202620
Jun 202600
Jul 202600
Aug 202600
Sep 202610
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
June 05, 2024 Filed Jun 8, 2024 01:40 UTC GrantStock Option (Right to Buy) · Derivative 44,000 $0.00 Strike: $6.79 $0.00
Disclosure

SEC source: 0001415889-24-016102 · form4-06082024_010641.xml · derivative · entry 1

Cockroft Bettina M. · CIK 0001900452 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 44,000

Underlying: Common Stock · 44,000 shares

Expires 2034-06-05

F1 · derivative.exercise_date: The underlying shares subject to the option vest and become exercisable as to 100% of the total number of shares subject to the option on the earlier of (i) the first anniversary of June 5, 2024 or (ii) the next Annual Meeting following June 5, 2024, subject to Reporting Person's continuous service as a director until such vesting date.

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June 03, 2024 Filed Jun 5, 2024 20:23 UTC PurchaseCommon Stock 3,200 $4.83 $15,459.20
Disclosure

SEC source: 0001415889-24-015560 · form4-06052024_080641.xml · nonDerivative · entry 1

Carson William H. · CIK 0001824280 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 9,600

F1 · kind: The transactions reported herein were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan, adopted January 4, 2024.

F2 · price: This transaction was executed in multiple trades in prices ranging from $4.60 to $5.01, inclusive. The price reported in Column 4 above reflects the weighted average purchase price. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote.

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May 01, 2024 Filed May 3, 2024 20:15 UTC PurchaseCommon Stock 3,200 $4.68 $14,982.40
Disclosure

SEC source: 0001415889-24-012154 · form4-05032024_040501.xml · nonDerivative · entry 1

Carson William H. · CIK 0001824280 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 6,400

F1 · kind: The transactions reported herein were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan, adopted January 4, 2024.

F2 · price: This transaction was executed in multiple trades in prices ranging from $4.49 to $4.84, inclusive. The price reported in Column 4 above reflects the weighted average purchase price. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote.

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April 08, 2024 Filed Apr 10, 2024 23:17 UTC PurchaseCommon Stock 3,200 $6.07 $19,411.20
Disclosure

SEC source: 0001415889-24-010667 · form4-04102024_110457.xml · nonDerivative · entry 1

Carson William H. · CIK 0001824280 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 3,200

F1 · kind: The transactions reported herein were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan, adopted January 4, 2024.

F2 · price: This transaction was executed in multiple trades in prices ranging from $5.82 to $6.20, inclusive. The price reported in Column 4 above reflects the weighted average purchase price. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote.

Read SEC document
February 27, 2024 Filed Mar 3, 2025 16:45 UTC
Overdorf MichaelEVP & CHIEF BUSINESS OFFICER
GrantCommon Stock 44,963 $0.00 $0.00
Disclosure

SEC source: 0001415889-25-006190 · form4-03032025_090336.xml · nonDerivative · entry 1

Overdorf Michael · CIK 0001818522 · EVP & CHIEF BUSINESS OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 131,542

F1 · shares: Constitute restricted stock units ("RSUs") for which the Reporting Person is entitled to receive one (1) share of Common Stock for each RSU upon vesting. 1/3rd of the RSUs vest annually on February 27 of each year, with the first 1/3rd vesting on February 27, 2026.

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February 27, 2024 Filed Mar 3, 2025 21:48 UTC
Yednock TedEVP & CHIEF INNOVATION OFFICER
GrantCommon Stock 44,963 $0.00 $0.00
Disclosure

SEC source: 0001415889-25-006191 · form4-03032025_090340.xml · nonDerivative · entry 1

Yednock Ted · CIK 0001818525 · EVP & CHIEF INNOVATION OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 106,200

F1 · shares: Constitute restricted stock units ("RSUs") for which the Reporting Person is entitled to receive one (1) share of Common Stock for each RSU upon vesting. 1/3rd of the RSUs vest annually on February 27 of each year, with the first 1/3rd vesting on February 27, 2026.

Read SEC document
February 27, 2024 Filed Mar 3, 2025 21:52 UTC
Lew JenniferEVP & CHIEF FINANCIAL OFFICER
GrantCommon Stock 44,963 $0.00 $0.00
Disclosure

SEC source: 0001415889-25-006193 · form4-03032025_090309.xml · nonDerivative · entry 1

Lew Jennifer · CIK 0001465994 · EVP & CHIEF FINANCIAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 122,733

F1 · shares: Constitute restricted stock units ("RSUs") for which the Reporting Person is entitled to receive one (1) share of Common Stock for each RSU upon vesting. 1/3rd of the RSUs vest annually on February 27 of each year, with the first 1/3rd vesting on February 27, 2026.

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February 27, 2024 Filed Mar 3, 2025 21:56 UTC
ARTIS DEAN RICHARDEVP & CHIEF SCIENTIFIC OFFICER
GrantCommon Stock 44,963 $0.00 $0.00
Disclosure

SEC source: 0001415889-25-006196 · form4-03032025_090332.xml · nonDerivative · entry 1

ARTIS DEAN RICHARD · CIK 0001958523 · EVP & CHIEF SCIENTIFIC OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 128,777

F1 · shares: Constitute restricted stock units ("RSUs") for which the Reporting Person is entitled to receive one (1) share of Common Stock for each RSU upon vesting. 1/3rd of the RSUs vest annually on February 27 of each year, with the first 1/3rd vesting on February 27, 2026.

Read SEC document
February 27, 2024 Filed Mar 3, 2025 21:55 UTC
Dananberg JamieCHIEF MEDICAL OFFICER
GrantCommon Stock 44,963 $0.00 $0.00
Disclosure

SEC source: 0001415889-25-006195 · form4-03032025_090331.xml · nonDerivative · entry 1

Dananberg Jamie · CIK 0001734424 · CHIEF MEDICAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 78,442

F1 · shares: Constitute restricted stock units ("RSUs") for which the Reporting Person is entitled to receive one (1) share of Common Stock for each RSU upon vesting. 1/3rd of the RSUs vest annually on February 27 of each year, with the first 1/3rd vesting on February 27, 2026.

Read SEC document
February 20, 2024 Filed Feb 21, 2024 16:31 UTC
Overdorf MichaelEVP & CHIEF BUSINESS OFFICER
SaleCommon Stock 1,951 $5.48 $10,691.48
Disclosure

SEC source: 0001415889-24-004624 · form4-02212024_040214.xml · nonDerivative · entry 2

Overdorf Michael · CIK 0001818522 · EVP & CHIEF BUSINESS OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 85,641

F2 · kind: The shares were sold to cover tax withholding obligations in connection with the vesting of RSUs.

F3 · price: This transaction was executed in multiple trades in prices ranging from $5.34 to $5.60, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote.

Read SEC document
February 20, 2024 Filed Feb 21, 2024 21:31 UTC
Yednock TedEVP & CHIEF INNOVATION OFFICER
SaleCommon Stock 2,604 $5.51 $14,348.04
Disclosure

SEC source: 0001415889-24-004625 · form4-02212024_040217.xml · nonDerivative · entry 2

Yednock Ted · CIK 0001818525 · EVP & CHIEF INNOVATION OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 72,471

F2 · kind: The shares were sold to cover tax withholding obligations in connection with the vesting of RSUs.

F3 · price: This transaction was executed in multiple trades in prices ranging from $5.34 to $5.58, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote.

Read SEC document
February 20, 2024 Filed Feb 21, 2024 21:31 UTC
Lew JenniferEVP & CHIEF FINANCIAL OFFICER
SaleCommon Stock 2,593 $5.53 $14,339.29
Disclosure

SEC source: 0001415889-24-004623 · form4-02212024_040210.xml · nonDerivative · entry 2

Lew Jennifer · CIK 0001465994 · EVP & CHIEF FINANCIAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 82,058

F2 · kind: The shares were sold to cover tax withholding obligations in connection with the vesting of RSUs.

F3 · price: This transaction was executed in multiple trades in prices ranging from $5.39 to $5.57, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote.

Read SEC document
February 16, 2024 Filed Feb 21, 2024 16:31 UTC
Overdorf MichaelEVP & CHIEF BUSINESS OFFICER
GrantStock Option (Right to Buy) · Derivative 160,000 $0.00 Strike: $5.13 $0.00
Disclosure

SEC source: 0001415889-24-004624 · form4-02212024_040214.xml · derivative · entry 3

Overdorf Michael · CIK 0001818522 · EVP & CHIEF BUSINESS OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 160,000

Underlying: Common Stock · 160,000 shares

Expires 2034-02-16

F4 · derivative.exercise_date: 1/48th of the shares subject to the option vest on each monthly anniversary measured from February 16, 2024 (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.

Read SEC document
February 16, 2024 Filed Feb 21, 2024 16:31 UTC
Overdorf MichaelEVP & CHIEF BUSINESS OFFICER
GrantCommon Stock 39,000 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-004624 · form4-02212024_040214.xml · nonDerivative · entry 1

Overdorf Michael · CIK 0001818522 · EVP & CHIEF BUSINESS OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 87,592

F1 · shares: Constitute restricted stock units ("RSUs") for which the Reporting Person is entitled to receive one (1) share of Common Stock for each RSU upon vesting. 1/3rd of the RSUs vest annually on February 16 of each year, with the first 1/3rd vesting on February 16, 2025.

Read SEC document
February 16, 2024 Filed Feb 21, 2024 16:32 UTC
Love DouglasDirector · PRESIDENT AND CEO
GrantStock Option (Right to Buy) · Derivative 656,200 $0.00 Strike: $5.13 $0.00
Disclosure

SEC source: 0001415889-24-004629 · form4-02212024_040249.xml · derivative · entry 1

Love Douglas · CIK 0001818520 · Director · PRESIDENT AND CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 656,200

Underlying: Common Stock · 656,200 shares

Expires 2034-02-16

F1 · derivative.exercise_date: 1/48th of the shares subject to the option vest on each monthly anniversary measured from February 16, 2024 (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.

Read SEC document
February 16, 2024 Filed Feb 21, 2024 21:31 UTC
Yednock TedEVP & CHIEF INNOVATION OFFICER
GrantStock Option (Right to Buy) · Derivative 160,000 $0.00 Strike: $5.13 $0.00
Disclosure

SEC source: 0001415889-24-004625 · form4-02212024_040217.xml · derivative · entry 4

Yednock Ted · CIK 0001818525 · EVP & CHIEF INNOVATION OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 160,000

Underlying: Common Stock · 160,000 shares

Expires 2034-02-16

F4 · derivative.exercise_date: 1/48th of the shares subject to the option vest on each monthly anniversary measured from February 16, 2024 (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.

Read SEC document
February 16, 2024 Filed Feb 21, 2024 21:31 UTC
Yednock TedEVP & CHIEF INNOVATION OFFICER
GrantCommon Stock 39,000 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-004625 · form4-02212024_040217.xml · nonDerivative · entry 1

Yednock Ted · CIK 0001818525 · EVP & CHIEF INNOVATION OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 75,075

F1 · shares: Constitute restricted stock units ("RSUs") for which the Reporting Person is entitled to receive one (1) share of Common Stock for each RSU upon vesting. 1/3rd of the RSUs vest annually on February 16 of each year, with the first 1/3rd vesting on February 16, 2025.

Read SEC document
February 16, 2024 Filed Feb 21, 2024 21:31 UTC
Lew JenniferEVP & CHIEF FINANCIAL OFFICER
GrantStock Option (Right to Buy) · Derivative 160,000 $0.00 Strike: $5.13 $0.00
Disclosure

SEC source: 0001415889-24-004623 · form4-02212024_040210.xml · derivative · entry 3

Lew Jennifer · CIK 0001465994 · EVP & CHIEF FINANCIAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 160,000

Underlying: Common Stock · 160,000 shares

Expires 2034-02-16

F4 · derivative.exercise_date: 1/48th of the shares subject to the option vest on each monthly anniversary measured from February 16, 2024 (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.

Read SEC document
February 16, 2024 Filed Feb 21, 2024 21:31 UTC
Lew JenniferEVP & CHIEF FINANCIAL OFFICER
GrantCommon Stock 39,000 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-004623 · form4-02212024_040210.xml · nonDerivative · entry 1

Lew Jennifer · CIK 0001465994 · EVP & CHIEF FINANCIAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 84,651

F1 · shares: Constitute restricted stock units ("RSUs") for which the Reporting Person is entitled to receive one (1) share of Common Stock for each RSU upon vesting. 1/3rd of the RSUs vest annually on February 16 of each year, with the first 1/3rd vesting on February 16, 2025.

Read SEC document
February 16, 2024 Filed Feb 21, 2024 21:32 UTC
Dananberg JamieCHIEF MEDICAL OFFICER
GrantStock Option (Right to Buy) · Derivative 160,000 $0.00 Strike: $5.13 $0.00
Disclosure

SEC source: 0001415889-24-004627 · form4-02212024_040231.xml · derivative · entry 2

Dananberg Jamie · CIK 0001734424 · CHIEF MEDICAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 160,000

Underlying: Common Stock · 160,000 shares

Expires 2034-02-16

F2 · derivative.exercise_date: 1/48th of the shares subject to the option vest on each monthly anniversary measured from February 16, 2024 (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.

Read SEC document
February 16, 2024 Filed Feb 21, 2024 21:32 UTC
Dananberg JamieCHIEF MEDICAL OFFICER
GrantCommon Stock 39,000 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-004627 · form4-02212024_040231.xml · nonDerivative · entry 1

Dananberg Jamie · CIK 0001734424 · CHIEF MEDICAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 39,000

F1 · shares: Constitute restricted stock units ("RSUs") for which the Reporting Person is entitled to receive one (1) share of Common Stock for each RSU upon vesting. 1/3rd of the RSUs vest annually on February 16 of each year, with the first 1/3rd vesting on February 16, 2025.

Read SEC document
February 16, 2024 Filed Feb 21, 2024 21:32 UTC
ARTIS DEAN RICHARDEVP & CHIEF SCIENTIFIC OFFICER
GrantStock Option (Right to Buy) · Derivative 160,000 $0.00 Strike: $5.13 $0.00
Disclosure

SEC source: 0001415889-24-004626 · form4-02212024_040220.xml · derivative · entry 2

ARTIS DEAN RICHARD · CIK 0001958523 · EVP & CHIEF SCIENTIFIC OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 160,000

Underlying: Common Stock · 160,000 shares

Expires 2034-02-16

F2 · derivative.exercise_date: 1/48th of the shares subject to the option vest on each monthly anniversary measured from February 16, 2024 (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.

Read SEC document
February 16, 2024 Filed Feb 21, 2024 21:32 UTC
ARTIS DEAN RICHARDEVP & CHIEF SCIENTIFIC OFFICER
GrantCommon Stock 39,000 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-004626 · form4-02212024_040220.xml · nonDerivative · entry 1

ARTIS DEAN RICHARD · CIK 0001958523 · EVP & CHIEF SCIENTIFIC OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 89,329

F1 · shares: Constitute restricted stock units ("RSUs") for which the Reporting Person is entitled to receive one (1) share of Common Stock for each RSU upon vesting. 1/3rd of the RSUs vest annually on February 16 of each year, with the first 1/3rd vesting on February 16, 2025.

Read SEC document
February 12, 2024 Filed Feb 14, 2024 19:59 UTC
Overdorf MichaelEVP & CHIEF BUSINESS OFFICER
SaleCommon Stock 1,349 $5.53 $7,459.97
Disclosure

SEC source: 0001415889-24-003857 · form4-02152024_120202.xml · nonDerivative · entry 1

Overdorf Michael · CIK 0001818522 · EVP & CHIEF BUSINESS OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 48,592

F1 · kind: The shares were sold to cover tax withholding obligations in connection with the vesting of restricted stock units ("RSUs").

F2 · price: This transaction was executed in multiple trades in prices ranging from $5.33 to $5.715, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote.

F3 · balance_after: Includes 29,392 RSUs.

F4 · balance_after: Includes 4,139 shares acquired on November 15, 2023, pursuant to the Issuer's Employee Stock Purchase Plan.

Read SEC document
February 12, 2024 Filed Feb 14, 2024 19:56 UTC
Love DouglasDirector · PRESIDENT AND CEO
SaleCommon Stock 5,782 $5.54 $32,032.28
Disclosure

SEC source: 0001415889-24-003856 · form4-02152024_120225.xml · nonDerivative · entry 1

Love Douglas · CIK 0001818520 · Director · PRESIDENT AND CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 196,121

F1 · kind: The shares were sold to cover tax withholding obligations in connection with the vesting of restricted stock units ("RSUs").

F2 · price: This transaction was executed in multiple trades in prices ranging from $5.34 to $5.712, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote.

F3 · balance_after: Includes 13,334 RSUs.

F4 · balance_after: Includes 2,650 shares acquired on May 15, 2023 and 1,607 shares acquired on November 15, 2023, pursuant to the Issuer's Employee Stock Purchase Plan.

Read SEC document
February 12, 2024 Filed Feb 15, 2024 00:52 UTC
Yednock TedEVP & CHIEF INNOVATION OFFICER
SaleCommon Stock 1,810 $5.54 $10,027.40
Disclosure

SEC source: 0001415889-24-003854 · form4-02152024_120219.xml · nonDerivative · entry 1

Yednock Ted · CIK 0001818525 · EVP & CHIEF INNOVATION OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 36,075

F1 · kind: The shares were sold to cover tax withholding obligations in connection with the vesting of restricted stock units ("RSUs").

F2 · price: This transaction was executed in multiple trades in prices ranging from $5.33 to $5.70, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote.

F3 · balance_after: Includes 29,392 RSUs.

Read SEC document
February 12, 2024 Filed Feb 15, 2024 00:54 UTC
Lew JenniferEVP & CHIEF FINANCIAL OFFICER
SaleCommon Stock 1,809 $5.54 $10,021.86
Disclosure

SEC source: 0001415889-24-003855 · form4-02152024_120234.xml · nonDerivative · entry 1

Lew Jennifer · CIK 0001465994 · EVP & CHIEF FINANCIAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 45,651

F1 · kind: The shares were sold to cover tax withholding obligations in connection with the vesting of restricted stock units ("RSUs").

F2 · price: This transaction was executed in multiple trades in prices ranging from $5.33 to $5.70, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote.

F3 · balance_after: Includes 29,392 RSUs.

Read SEC document
December 27, 2023 Filed Dec 29, 2023 21:12 UTC
Yednock TedEVP & Chief Innovation Officer
Exercise / conversionStock Option (Right to Buy) · Derivative 10,385 $0.00 Strike: $1.85 $0.00
Disclosure

SEC source: 0001209191-23-059988 · doc4.xml · derivative · entry 5

Yednock Ted · CIK 0001818525 · EVP & Chief Innovation Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 36,000

Underlying: Common Stock · 10,385 shares

Expires 2026-08-11

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The transactions reported herein were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan, adopted March 28, 2023.

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

Read SEC document
December 27, 2023 Filed Dec 29, 2023 21:12 UTC
Yednock TedEVP & Chief Innovation Officer
Exercise / conversionStock Option (Right to Buy) · Derivative 10,615 $0.00 Strike: $1.41 $0.00
Disclosure

SEC source: 0001209191-23-059988 · doc4.xml · derivative · entry 4

Yednock Ted · CIK 0001818525 · EVP & Chief Innovation Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,615 shares

Expires 2025-01-22

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The transactions reported herein were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan, adopted March 28, 2023.

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

Read SEC document
December 27, 2023 Filed Dec 29, 2023 21:12 UTC
Yednock TedEVP & Chief Innovation Officer
SaleCommon Stock 21,000 $4.52 $94,966.20
Disclosure

SEC source: 0001209191-23-059988 · doc4.xml · nonDerivative · entry 3

Yednock Ted · CIK 0001818525 · EVP & Chief Innovation Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 0

F1 · kind: The transactions reported herein were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan, adopted March 28, 2023.

F2 · price: This transaction was executed in multiple trades in prices ranging from $4.50 to $4.58, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote.

Read SEC document
December 27, 2023 Filed Dec 29, 2023 21:12 UTC
Yednock TedEVP & Chief Innovation Officer
Exercise / conversionCommon Stock 10,385 $1.85 $19,213.29
Disclosure

SEC source: 0001209191-23-059988 · doc4.xml · nonDerivative · entry 2

Yednock Ted · CIK 0001818525 · EVP & Chief Innovation Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 21,000

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The transactions reported herein were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan, adopted March 28, 2023.

Read SEC document
December 27, 2023 Filed Dec 29, 2023 21:12 UTC
Yednock TedEVP & Chief Innovation Officer
Exercise / conversionCommon Stock 10,615 $1.41 $14,962.90
Disclosure

SEC source: 0001209191-23-059988 · doc4.xml · nonDerivative · entry 1

Yednock Ted · CIK 0001818525 · EVP & Chief Innovation Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 10,615

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The transactions reported herein were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan, adopted March 28, 2023.

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December 27, 2023 Filed Jan 23, 2024 22:00 UTC Amendment
Yednock TedEVP & Chief Innovation Officer
SaleCommon Stock 21,000 $4.52 $94,966.20
Disclosure

SEC source: 0001209191-24-002080 · doc4a.xml · nonDerivative · entry 4

Yednock Ted · CIK 0001818525 · EVP & Chief Innovation Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 37,885

F5 · kind: The transactions reported herein were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan, adopted March 28, 2023.

F3 · price: This transaction was executed in multiple trades in prices ranging from $3.72 to $3.90, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote.

F4 · balance_after: Includes 33,559 restricted stock units.

F6 · balance_after: Column 5 is being amended to reflect the correct amount of securities beneficially owned following reported transaction.

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December 27, 2023 Filed Jan 23, 2024 22:00 UTC Amendment
Yednock TedEVP & Chief Innovation Officer
Exercise / conversionCommon Stock 10,385 $1.85 $19,213.29
Disclosure

SEC source: 0001209191-24-002080 · doc4a.xml · nonDerivative · entry 3

Yednock Ted · CIK 0001818525 · EVP & Chief Innovation Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 58,885

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.

F5 · kind: The transactions reported herein were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan, adopted March 28, 2023.

F4 · balance_after: Includes 33,559 restricted stock units.

F6 · balance_after: Column 5 is being amended to reflect the correct amount of securities beneficially owned following reported transaction.

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December 27, 2023 Filed Jan 23, 2024 22:00 UTC Amendment
Yednock TedEVP & Chief Innovation Officer
Exercise / conversionCommon Stock 10,615 $1.41 $14,962.90
Disclosure

SEC source: 0001209191-24-002080 · doc4a.xml · nonDerivative · entry 2

Yednock Ted · CIK 0001818525 · EVP & Chief Innovation Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 48,500

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.

F5 · kind: The transactions reported herein were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan, adopted March 28, 2023.

F4 · balance_after: Includes 33,559 restricted stock units.

F6 · balance_after: Column 5 is being amended to reflect the correct amount of securities beneficially owned following reported transaction.

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December 26, 2023 Filed Dec 28, 2023 21:30 UTC
Satter Muneer ADirector · 10% owner
PurchaseCommon Stock 350,000 $2.88 $1,008,000.00
Disclosure

SEC source: 0001209191-23-059911 · doc4.xml · nonDerivative · entry 1

Satter Muneer A · CIK 0001315797 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 7,406,024

F1 · shares: All shares were purchased by Alerce Medical Technology Partners, L.P. ("Alerce Medical") for which the Reporting Person has sole voting and dispositive power over all such shares. The Reporting Person disclaims beneficial ownership of the shares except to the extent of his pecuniary interest therein.

F2 · ownership.nature: Includes (a) 240,000 shares that are held by the Muneer A. Satter Revocable Trust for which the Reporting Person serves as trustee and, in such capacity, has sole voting and dispositive power over all such shares, (b) 567,240 shares that are held by various other trusts and other entities for which the Reporting Person serves as trustee, investment advisor or manager and, in such capacity, has sole voting and dispositive power over all such shares, (c) 1,147,738 shares that are held by Satter Medical Technology Partners, L.P. for which the Reporting Person has sole voting and dispositive power over all such shares and (d) 5,451,046 shares that are held by Alerce Medical for which the Reporting Person has sole voting and dispositive power of all such shares. The Reporting Person disclaims beneficial ownership of all shares included under (b), (c) and (d) of this footnote, except to the extent of his pecuniary interest.

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August 01, 2023 Filed Aug 2, 2023 21:07 UTC
Dananberg JamieChief Medical Officer
GrantStock Option (Right to Buy) · Derivative 275,000 $0.00 Strike: $3.54 $0.00
Disclosure

SEC source: 0001610717-23-000220 · form4.xml · derivative · entry 1

Dananberg Jamie · CIK 0001734424 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 275,000

Underlying: Common Stock · 275,000 shares

Expires 2033-08-01

F1 · derivative.exercise_date: 25% of the shares subject to the option vest on the first anniversary measured from July 27, 2023 (the "Vesting Commencement Date"), and 1/48th of the total number of shares vest monthly thereafter, 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 11, 2023 Filed Jan 23, 2024 22:00 UTC Amendment
Yednock TedEVP & Chief Innovation Officer
SaleCommon Stock 1,057 $3.84 $4,054.76
Disclosure

SEC source: 0001209191-24-002080 · doc4a.xml · nonDerivative · entry 1

Yednock Ted · CIK 0001818525 · EVP & Chief Innovation Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 37,885

F1 · security: Late reporting of transaction being made as a result of an administrative oversight.

F2 · kind: The shares were sold to cover tax withholding obligations in connection with the vesting of restricted stock units ("RSUs").

F3 · price: This transaction was executed in multiple trades in prices ranging from $3.72 to $3.90, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote.

F4 · balance_after: Includes 33,559 restricted stock units.

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July 11, 2023 Filed Jan 23, 2024 16:58 UTC
Overdorf MichaelEVP & Chief Business Officer
SaleCommon Stock 978 $3.84 $3,751.71
Disclosure

SEC source: 0001209191-24-002074 · doc4.xml · nonDerivative · entry 1

Overdorf Michael · CIK 0001818522 · EVP & Chief Business Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 45,802

F1 · kind: The shares were sold to cover tax withholding obligations in connection with the vesting of restricted stock units ("RSUs").

F2 · price: This transaction was executed in multiple trades in prices ranging from $3.72 to $3.90, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote.

F3 · balance_after: Includes 33,559 RSUs.

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July 11, 2023 Filed Jan 23, 2024 21:57 UTC
Lew JenniferEVP & Chief Financial Officer
SaleCommon Stock 1,057 $3.84 $4,054.76
Disclosure

SEC source: 0001209191-24-002072 · doc4.xml · nonDerivative · entry 1

Lew Jennifer · CIK 0001465994 · EVP & Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 47,460

F1 · kind: The shares were sold to cover tax withholding obligations in connection with the vesting of restricted stock units ("RSUs").

F2 · price: This transaction was executed in multiple trades in prices ranging from $3.72 to $3.90, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote.

F3 · balance_after: Includes 33,559 RSUs.

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June 08, 2023 Filed Jun 12, 2023 20:50 UTC GrantStock Option (Right to Buy) · Derivative 24,000 $0.00 Strike: $2.88 $0.00
Disclosure

SEC source: 0001610717-23-000144 · form4.xml · derivative · entry 1

WIGGANS THOMAS G · CIK 0001208907 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 24,000

Underlying: Common Stock · 24,000 shares

Expires 2033-06-08

F1 · derivative.exercise_date: The underlying shares subject to the option vest and become exercisable as to 100% of the total number of shares subject to the option on the earlier of (i) the first anniversary of June 8, 2023 or (ii) the next Annual Meeting following June 8, 2023, subject to Reporting Person's continuous service as a director until such vesting date.

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June 08, 2023 Filed Jun 12, 2023 21:52 UTC
Satter Muneer ADirector · 10% owner
GrantStock Option (Right to Buy) · Derivative 24,000 $0.00 Strike: $2.88 $0.00
Disclosure

SEC source: 0001610717-23-000152 · form4.xml · derivative · entry 1

Satter Muneer A · CIK 0001315797 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 24,000

Underlying: Common Stock · 24,000 shares

Expires 2033-06-08

F1 · derivative.exercise_date: The underlying shares subject to the option vest and become exercisable as to 100% of the total number of shares subject to the option on the earlier of (i) the first anniversary of June 8, 2023 or (ii) the next Annual Meeting following June 8, 2023, subject to Reporting Person's continuous service as a director until such vesting date.

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June 08, 2023 Filed Jun 12, 2023 20:49 UTC
Choi JungDirector
GrantStock Option (Right to Buy) · Derivative 24,000 $0.00 Strike: $2.88 $0.00
Disclosure

SEC source: 0001610717-23-000143 · form4.xml · derivative · entry 1

Choi Jung · CIK 0001650126 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 24,000

Underlying: Common Stock · 24,000 shares

Expires 2033-06-08

F1 · derivative.exercise_date: The underlying shares subject to the option vest and become exercisable as to 100% of the total number of shares subject to the option on the earlier of (i) the first anniversary of June 8, 2023 or (ii) the next Annual Meeting following June 8, 2023, subject to Reporting Person's continuous service as a director until such vesting date.

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June 08, 2023 Filed Jun 12, 2023 20:48 UTC GrantStock Option (Right to Buy) · Derivative 24,000 $0.00 Strike: $2.88 $0.00
Disclosure

SEC source: 0001610717-23-000142 · form4.xml · derivative · entry 1

Cockroft Bettina M. · CIK 0001900452 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 24,000

Underlying: Common Stock · 24,000 shares

Expires 2033-06-08

F1 · derivative.exercise_date: The underlying shares subject to the option vest and become exercisable as to 100% of the total number of shares subject to the option on the earlier of (i) the first anniversary of June 8, 2023 or (ii) the next Annual Meeting following June 8, 2023, subject to Reporting Person's continuous service as a director until such vesting date.

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June 08, 2023 Filed Jun 12, 2023 20:45 UTC GrantStock Option (Right to Buy) · Derivative 24,000 $0.00 Strike: $2.88 $0.00
Disclosure

SEC source: 0001610717-23-000141 · form4.xml · derivative · entry 1

Waddill William D. · CIK 0001553338 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 24,000

Underlying: Common Stock · 24,000 shares

Expires 2033-06-08

F1 · derivative.exercise_date: The underlying shares subject to the option vest and become exercisable as to 100% of the total number of shares subject to the option on the earlier of (i) the first anniversary of June 8, 2023 or (ii) the next Annual Meeting following June 8, 2023, subject to Reporting Person's continuous service as a director until such vesting date.

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June 08, 2023 Filed Jun 12, 2023 20:44 UTC GrantStock Option (Right to Buy) · Derivative 24,000 $0.00 Strike: $2.88 $0.00
Disclosure

SEC source: 0001610717-23-000140 · form4.xml · derivative · entry 1

Carson William H. · CIK 0001824280 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 24,000

Underlying: Common Stock · 24,000 shares

Expires 2033-06-08

F1 · derivative.exercise_date: The underlying shares subject to the option vest and become exercisable as to 100% of the total number of shares subject to the option on the earlier of (i) the first anniversary of June 8, 2023 or (ii) the next Annual Meeting following June 8, 2023, subject to Reporting Person's continuous service as a director until such vesting date.

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May 25, 2023 Filed May 31, 2023 01:54 UTC PurchaseCommon Stock 300,000 $2.13 $639,720.00
Disclosure

SEC source: 0000899243-23-014139 · doc4.xml · nonDerivative · entry 1

Bain Capital Life Sciences Investors, LLC · CIK 0001703031 · 10% owner

Bain Capital Life Sciences Fund, L.P. · CIK 0001687968 · 10% owner

Bain Capital Life Sciences Partners, LP · CIK 0001703030 · 10% owner

BCIP Life Sciences Associates, LP · CIK 0001702921 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 5,701,926

F1 · shares: Represents 300,000 shares of Common Stock purchased by BCLS I Investco, LP ("BCLS I Investco") on May 25, 2023.

F2 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $2.08 to $2.25, inclusive. The reporting persons undertake to provide to the Issuer, any securityholder 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 within the range set forth herein.

F3 · ownership.nature: Represents shares of Common Stock held by Bain Capital Life Sciences Fund, L.P. ("BCLS Fund I"), BCLS I Investco and BCIP Life Sciences Associates, LP ("BCIPLS" and, together with BCLS Fund I and BCLS I Investco, the "Bain Capital Life Sciences Entities"). Following the completion of the transactions reported in footnote (1) above, BCLS Fund I, BCLS I Investco and BCIPLS each holds 2,940,627, 2,460,298 and 301,001 shares of Common Stock, respectively.

F4 · ownership.nature: Bain Capital Life Sciences Partners, LP ("BCLSP") is the general partner of BCLS Fund I. As a result, BCLSP may be deemed to share voting and dispositive power with respect to the securities held by BCLS Fund I. BCLSP disclaims beneficial ownership of such securities except to the extent of its pecuniary interest therein.

F5 · ownership.nature: BCLS I Investco GP, LLC ("BCLS I Investco GP"), whose manager is BCLS Fund I, is the general partner of BCLS I Investco. As a result, each of BCLSP, BCLS Fund I and BCLS I Investco GP may be deemed to share voting and dispositive power with respect to the securities held by BCLS I Investco. Each of BCLSP, BCLS Fund I and BCLS I Investco GP disclaims beneficial ownership of such securities except to the extent of its pecuniary interest therein.

F6 · ownership.nature: Boylston Coinvestors, LLC is the general partner of BCIPLS.

F7 · ownership.nature: Bain Capital Life Sciences Investors, LLC ("BCLSI") is the general partner of BCLSP and governs the investment strategy and decision making process with respect to investments held by BCIPLS. As a result, BCLSI may be deemed to share voting and dispositive power with respect to the securities held by the Bain Capital Life Sciences Entities. BCLSI disclaims beneficial ownership of such securities except to the extent of its pecuniary interest therein.

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February 16, 2023 Filed Feb 21, 2023 17:27 UTC
Overdorf MichaelEVP & Chief Business Officer
GrantStock Option (Right to Buy) · Derivative 77,050 $0.00 Strike: $5.94 $0.00
Disclosure

SEC source: 0001567619-23-003425 · doc1.xml · derivative · entry 2

Overdorf Michael · CIK 0001818522 · EVP & Chief Business Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,050

Underlying: Common Stock · 77,050 shares

Expires 2033-02-16

F3 · derivative.exercise_date: 1/48th of the shares subject to the option vest on each monthly anniversary measured from February 16, 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.

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February 16, 2023 Filed Feb 21, 2023 17:27 UTC
Overdorf MichaelEVP & Chief Business Officer
GrantCommon Stock 18,975 $0.00 $0.00
Disclosure

SEC source: 0001567619-23-003425 · doc1.xml · nonDerivative · entry 1

Overdorf Michael · CIK 0001818522 · EVP & Chief Business Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,780

F1 · shares: Constitute restricted stock units ("RSUs") for which the Reporting Person is entitled to receive one (1) share of Common Stock for each RSU upon vesting. 1/3rd of the RSUs vest annually on February 16 of each year, with the first 1/3rd vesting on February 16, 2024.

F2 · balance_after: Includes 36,684 RSUs.

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February 16, 2023 Filed Feb 21, 2023 17:28 UTC
Love DouglasDirector · President & CEO
GrantStock Option (Right to Buy) · Derivative 345,000 $0.00 Strike: $5.94 $0.00
Disclosure

SEC source: 0001567619-23-003427 · doc1.xml · derivative · entry 1

Love Douglas · CIK 0001818520 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 345,000

Underlying: Common Stock · 345,000 shares

Expires 2033-02-16

F1 · derivative.exercise_date: 1/48th of the shares subject to the option vest on each monthly anniversary measured from February 16, 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.

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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.