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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

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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 16, 2023 Filed Feb 21, 2023 22:26 UTC
Lew JenniferEVP & Chief Financial Officer
GrantStock Option (Right to Buy) · Derivative 77,050 $0.00 Strike: $5.94 $0.00
Disclosure

SEC source: 0001567619-23-003424 · doc1.xml · derivative · entry 2

Lew Jennifer · CIK 0001465994 · EVP & Chief Financial 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.

Read SEC document
February 16, 2023 Filed Feb 21, 2023 22:26 UTC
Lew JenniferEVP & Chief Financial Officer
GrantCommon Stock 18,975 $0.00 $0.00
Disclosure

SEC source: 0001567619-23-003424 · doc1.xml · nonDerivative · entry 1

Lew Jennifer · CIK 0001465994 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,517

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.

Read SEC document
February 15, 2023 Filed Feb 17, 2023 17:12 UTC
Love DouglasDirector · President & CEO
SaleCommon Stock 6,571 $5.87 $38,563.88
Disclosure

SEC source: 0001567619-23-003317 · doc1.xml · nonDerivative · entry 1

Love Douglas · CIK 0001818520 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 197,646

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

F2 · price: This transaction was executed in multiple trades in prices ranging from $5.80 to $5.95, 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 3,274 shares acquired on May 15, 2022 and 1 share acquired on November 15, 2022, pursuant to the Issuer's Employee Stock Purchase Plan.

F4 · balance_after: Includes 26,667 restricted stock units.

Read SEC document
February 14, 2023 Filed Feb 15, 2023 19:00 UTC
Overdorf MichaelEVP & Chief Business Officer
SaleCommon Stock 144 $6.30 $907.10
Disclosure

SEC source: 0001567619-23-003095 · doc1.xml · nonDerivative · entry 2

Overdorf Michael · CIK 0001818522 · EVP & Chief Business Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,805

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

F4 · balance_after: Includes 17,709 restricted stock units.

Read SEC document
February 14, 2023 Filed Feb 15, 2023 23:59 UTC
Lew JenniferEVP & Chief Financial Officer
SaleCommon Stock 166 $6.30 $1,046.30
Disclosure

SEC source: 0001567619-23-003094 · doc1.xml · nonDerivative · entry 2

Lew Jennifer · CIK 0001465994 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,542

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

F4 · balance_after: Includes 17,709 restricted stock units.

Read SEC document
February 13, 2023 Filed Feb 15, 2023 19:00 UTC
Overdorf MichaelEVP & Chief Business Officer
SaleCommon Stock 1,501 $6.30 $9,461.10
Disclosure

SEC source: 0001567619-23-003095 · doc1.xml · nonDerivative · entry 1

Overdorf Michael · CIK 0001818522 · EVP & Chief Business Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,949

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

F2 · price: This transaction was executed in multiple trades in prices ranging from $6.15 to $6.43, 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 7,575 shares acquired pursuant to the Issuer's Employee Stock Purchase Plan on November 15, 2022.

F4 · balance_after: Includes 17,709 restricted stock units.

Read SEC document
February 13, 2023 Filed Feb 15, 2023 23:59 UTC
Lew JenniferEVP & Chief Financial Officer
SaleCommon Stock 1,742 $6.31 $10,988.71
Disclosure

SEC source: 0001567619-23-003094 · doc1.xml · nonDerivative · entry 1

Lew Jennifer · CIK 0001465994 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,708

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

F2 · price: This transaction was executed in multiple trades in prices ranging from $6.15 to $6.43, 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 7,575 shares acquired pursuant to the Issuer's Employee Stock Purchase Plan on November 15, 2022.

F4 · balance_after: Includes 17,709 restricted stock units.

Read SEC document
February 10, 2023 Filed Feb 14, 2023 21:31 UTC
Satter Muneer ADirector · 10% owner
PurchaseCommon Stock 2,647,058 $6.80 $17,999,994.40
Disclosure

SEC source: 0001567619-23-002932 · doc1.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 7,056,024

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) 5,101,046 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.

Read SEC document
January 15, 2023 Filed Jan 19, 2023 00:43 UTC
ARTIS DEAN RICHARDEVP & Chief Scientific Officer
GrantStock Option (Right to Buy) · Derivative 210,000 $0.00 Strike: $6.84 $0.00
Disclosure

SEC source: 0001567619-23-000998 · doc1.xml · derivative · entry 1

ARTIS DEAN RICHARD · CIK 0001958523 · EVP & Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 210,000

Underlying: Common Stock · 210,000 shares

Expires 2033-01-15

F1 · derivative.exercise_date: 25% of the shares subject to the option vest on the first anniversary measured from January 6, 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.

Read SEC document
July 11, 2022 Filed Jul 13, 2022 19:49 UTC
Overdorf MichaelEVP & Chief Business Officer
GrantStock Option (Right to Buy) · Derivative 75,000 $0.00 Strike: $3.91 $0.00
Disclosure

SEC source: 0001567619-22-013999 · doc1.xml · derivative · entry 2

Overdorf Michael · CIK 0001818522 · EVP & Chief Business Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 75,000 shares

Expires 2032-07-11

F3 · derivative.exercise_date: 1/36th of the shares subject to the option vest on each monthly anniversary measured from July 11, 2022 (the "Vesting Commencement Date"), such that 100% of the shares subject to the option will be fully vested and exercisable on the third anniversary of the Vesting Commencement Date.

Read SEC document
July 11, 2022 Filed Jul 13, 2022 19:49 UTC
Overdorf MichaelEVP & Chief Business Officer
GrantCommon Stock 9,375 $0.00 $0.00
Disclosure

SEC source: 0001567619-22-013999 · doc1.xml · nonDerivative · entry 1

Overdorf Michael · CIK 0001818522 · EVP & Chief Business Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,875

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 July 11th of each year, with the first 1/3rd vesting on July 11, 2023.

F2 · balance_after: Includes 21,875 RSUs.

Read SEC document
July 11, 2022 Filed Jul 13, 2022 19:46 UTC
Love DouglasDirector · President & CEO
GrantStock Option (Right to Buy) · Derivative 300,000 $0.00 Strike: $3.91 $0.00
Disclosure

SEC source: 0001567619-22-013998 · doc1.xml · derivative · entry 1

Love Douglas · CIK 0001818520 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300,000

Underlying: Common Stock · 300,000 shares

Expires 2032-07-11

F1 · derivative.exercise_date: 1/36th of the shares subject to the option vest on each monthly anniversary measured from July 11, 2022 (the "Vesting Commencement Date"), such that 100% of the shares subject to the option will be fully vested and exercisable on the third anniversary of the Vesting Commencement Date.

Read SEC document
July 11, 2022 Filed Jul 13, 2022 19:05 UTC
Love DouglasDirector · President & CEO
GrantStock Option (Right to Buy) · Derivative 300,000 $0.00 Strike: $3.91 $0.00
Disclosure

SEC source: 0001567619-22-013994 · doc1.xml · derivative · entry 1

Love Douglas · CIK 0001818520 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300,000

Underlying: Common Stock · 300,000 shares

Expires 2032-07-11

F1 · derivative.exercise_date: 1/36th of the shares subject to the option vest on each monthly anniversary measured from July 11, 2022 (the "Vesting Commencement Date"), such that 100% of the shares subject to the option will be fully vested and exercisable on the third anniversary of the Vesting Commencement Date.

Read SEC document
July 11, 2022 Filed Jul 13, 2022 18:58 UTC
Love DouglasDirector · President & CEO
GrantStock Option (Right to Buy) · Derivative 300,000 $0.00 Strike: $3.91 $0.00
Disclosure

SEC source: 0001567619-22-013992 · doc1.xml · derivative · entry 1

Love Douglas · CIK 0001818520 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300,000

Underlying: Common Stock · 300,000 shares

Expires 2032-07-11

F1 · derivative.exercise_date: 1/36th of the shares subject to the option vest on each monthly anniversary measured from July 11, 2022 (the "Vesting Commencement Date"), such that 100% of the shares subject to the option will be fully vested and exercisable on the third anniversary of the Vesting Commencement Date.

Read SEC document
July 11, 2022 Filed Jul 13, 2022 22:48 UTC
Lew JenniferEVP & Chief Financial Officer
GrantStock Option (Right to Buy) · Derivative 75,000 $0.00 Strike: $3.91 $0.00
Disclosure

SEC source: 0001567619-22-013991 · doc1.xml · derivative · entry 2

Lew Jennifer · CIK 0001465994 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 75,000 shares

Expires 2032-07-11

F3 · derivative.exercise_date: 1/36th of the shares subject to the option vest on each monthly anniversary measured from July 11, 2022 (the "Vesting Commencement Date"), such that 100% of the shares subject to the option will be fully vested and exercisable on the third anniversary of the Vesting Commencement Date.

Read SEC document
July 11, 2022 Filed Jul 13, 2022 22:48 UTC
Lew JenniferEVP & Chief Financial Officer
GrantCommon Stock 9,375 $0.00 $0.00
Disclosure

SEC source: 0001567619-22-013991 · doc1.xml · nonDerivative · entry 1

Lew Jennifer · CIK 0001465994 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,875

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 July 11th of each year, with the first 1/3rd vesting on July 11, 2023.

F2 · balance_after: Includes 21,875 RSUs.

Read SEC document
July 11, 2022 Filed Jul 13, 2022 23:40 UTC
Mattheakis LarryEVP & Chief Scientific Officer
GrantStock Option (Right to Buy) · Derivative 37,500 $0.00 Strike: $3.91 $0.00
Disclosure

SEC source: 0001567619-22-013997 · doc1.xml · derivative · entry 2

Mattheakis Larry · CIK 0001885081 · EVP & Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,500

Underlying: Common Stock · 37,500 shares

Expires 2032-07-11

F3 · derivative.exercise_date: 1/36th of the shares subject to the option vest on each monthly anniversary measured from July 11, 2022 (the "Vesting Commencement Date"), such that 100% of the shares subject to the option will be fully vested and exercisable on the third anniversary of the Vesting Commencement Date.

Read SEC document
July 11, 2022 Filed Jul 13, 2022 23:40 UTC
Mattheakis LarryEVP & Chief Scientific Officer
GrantCommon Stock 4,688 $0.00 $0.00
Disclosure

SEC source: 0001567619-22-013997 · doc1.xml · nonDerivative · entry 1

Mattheakis Larry · CIK 0001885081 · EVP & Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,188

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 July 11th of each year, with the first 1/3rd vesting on July 11, 2023.

F2 · balance_after: Includes 17,188 RSUs.

Read SEC document
July 11, 2022 Filed Jul 13, 2022 23:37 UTC
Mattheakis LarryEVP & Chief Scientific Officer
GrantStock Option (Right to Buy) · Derivative 37,500 $0.00 Strike: $3.91 $0.00
Disclosure

SEC source: 0001567619-22-013996 · doc1.xml · derivative · entry 2

Mattheakis Larry · CIK 0001885081 · EVP & Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,500

Underlying: Common Stock · 37,500 shares

Expires 2032-07-11

F3 · derivative.exercise_date: 1/36th of the shares subject to the option vest on each monthly anniversary measured from July 11, 2022 (the "Vesting Commencement Date"), such that 100% of the shares subject to the option will be fully vested and exercisable on the third anniversary of the Vesting Commencement Date.

Read SEC document
July 11, 2022 Filed Jul 13, 2022 23:37 UTC
Mattheakis LarryEVP & Chief Scientific Officer
GrantCommon Stock 4,688 $0.00 $0.00
Disclosure

SEC source: 0001567619-22-013996 · doc1.xml · nonDerivative · entry 1

Mattheakis Larry · CIK 0001885081 · EVP & Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,188

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 July 11th of each year, with the first 1/3rd vesting on July 11, 2023.

F2 · balance_after: Includes 17,188 RSUs.

Read SEC document
July 07, 2022 Filed Jul 12, 2022 00:42 UTC PurchaseWarrants (Right to Buy) · Derivative 613,497 $0.13 Strike: $5.81 $76,687.13
Disclosure

SEC source: 0001567619-22-013890 · doc1.xml · derivative · entry 2

Satter Muneer A · CIK 0001315797 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 613,497

Underlying: Common Stock · 613,497 shares

Expires 2025-06-30

F3 · ownership.nature: The warrants are held by SMTP II for which the Reporting Person has sole voting and dispositive power of all such warrants. The Reporting Person disclaims beneficial ownership of all the warrants, except to the extent of his pecuniary interest.

Read SEC document
July 07, 2022 Filed Jul 12, 2022 00:42 UTC PurchaseCommon Stock 2,453,988 $3.84 $9,423,313.92
Disclosure

SEC source: 0001567619-22-013890 · doc1.xml · nonDerivative · entry 1

Satter Muneer A · CIK 0001315797 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 4,408,966

F1 · shares: Reflects shares that were purchased from the Issuer on July 7, 2022 in a private offering pursuant to a Securities Purchase Agreement, dated July 7, 2022. The shares were purchased by Satter Medical Technology Partners II, L.P. ("SMTP II") 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) 2,453,988 shares that are held by SMTP II 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.

Read SEC document
June 09, 2022 Filed Jun 13, 2022 20:44 UTC GrantStock Option (Right to Buy) · Derivative 24,000 $0.00 Strike: $3.84 $0.00
Disclosure

SEC source: 0001567619-22-012781 · doc1.xml · derivative · entry 1

WIGGANS THOMAS G · CIK 0001208907 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,000

Underlying: Common Stock · 24,000 shares

Expires 2032-06-09

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 9, 2022 or (ii) the next Annual Meeting following June 9, 2022, subject to Reporting Person's continuous service as a director until such vesting date.

Read SEC document
June 09, 2022 Filed Jun 13, 2022 20:41 UTC GrantStock Option (Right to Buy) · Derivative 24,000 $0.00 Strike: $3.84 $0.00
Disclosure

SEC source: 0001567619-22-012779 · doc1.xml · derivative · entry 1

Satter Muneer A · CIK 0001315797 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,000

Underlying: Common Stock · 24,000 shares

Expires 2032-06-09

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 9, 2022 or (ii) the next Annual Meeting following June 9, 2022, subject to Reporting Person's continuous service as a director until such vesting date.

Read SEC document
June 09, 2022 Filed Jun 13, 2022 20:34 UTC
Choi JungDirector
GrantStock Option (Right to Buy) · Derivative 24,000 $0.00 Strike: $3.84 $0.00
Disclosure

SEC source: 0001567619-22-012775 · doc1.xml · derivative · entry 1

Choi Jung · CIK 0001650126 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,000

Underlying: Common Stock · 24,000 shares

Expires 2032-06-09

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 9, 2022 or (ii) the next Annual Meeting following June 9, 2022, subject to Reporting Person's continuous service as a director until such vesting date.

Read SEC document
June 09, 2022 Filed Jun 13, 2022 20:42 UTC GrantStock Option (Right to Buy) · Derivative 24,000 $0.00 Strike: $3.84 $0.00
Disclosure

SEC source: 0001567619-22-012780 · doc1.xml · derivative · entry 1

Waddill William D. · CIK 0001553338 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,000

Underlying: Common Stock · 24,000 shares

Expires 2032-06-09

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 9, 2022 or (ii) the next Annual Meeting following June 9, 2022, subject to Reporting Person's continuous service as a director until such vesting date.

Read SEC document
June 09, 2022 Filed Jun 13, 2022 20:36 UTC GrantStock Option (Right to Buy) · Derivative 24,000 $0.00 Strike: $3.84 $0.00
Disclosure

SEC source: 0001567619-22-012777 · doc1.xml · derivative · entry 1

Cockroft Bettina M. · CIK 0001900452 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,000

Underlying: Common Stock · 24,000 shares

Expires 2032-06-09

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 9, 2022 or (ii) the next Annual Meeting following June 9, 2022, subject to Reporting Person's continuous service as a director until such vesting date.

Read SEC document
June 09, 2022 Filed Jun 13, 2022 20:28 UTC GrantStock Option (Right to Buy) · Derivative 24,000 $0.00 Strike: $3.84 $0.00
Disclosure

SEC source: 0001567619-22-012774 · doc1.xml · derivative · entry 1

Carson William H. · CIK 0001824280 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,000

Underlying: Common Stock · 24,000 shares

Expires 2032-06-09

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 9, 2022 or (ii) the next Annual Meeting following June 9, 2022, subject to Reporting Person's continuous service as a director until such vesting date.

Read SEC document
April 14, 2022 Filed Apr 18, 2022 19:04 UTC
Love DouglasDirector · President & CEO
PurchaseCommon Stock 60,000 $2.45 $146,814.00
Disclosure

SEC source: 0001567619-22-008630 · doc1.xml · nonDerivative · entry 1

Love Douglas · CIK 0001818520 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,942

F1 · price: The shares were purchased in multiple transactions at prices ranging from $2.41 to $2.50, 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 purchased at each respective price within the range set forth in this footnote.

F2 · balance_after: Includes 160,942 shares held and 40,000 restricted stock units ("RSUs") for which the Reporting Person is entitled to receive one (1) share of Common Stock for each RSU upon vesting.

Read SEC document
February 11, 2022 Filed Feb 15, 2022 16:38 UTC
Overdorf MichaelEVP & Chief Business Officer
GrantStock Option (Right to Buy) · Derivative 100,000 $0.00 Strike: $6.94 $0.00
Disclosure

SEC source: 0001567619-22-004614 · doc1.xml · derivative · entry 2

Overdorf Michael · CIK 0001818522 · EVP & Chief Business Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2032-02-11

F3 · derivative.exercise_date: 1/48th of the shares subject to the option vest on each monthly anniversary measured from February 11, 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.

Read SEC document
February 11, 2022 Filed Feb 15, 2022 16:38 UTC
Overdorf MichaelEVP & Chief Business Officer
GrantCommon Stock 12,500 $0.00 $0.00
Disclosure

SEC source: 0001567619-22-004614 · doc1.xml · nonDerivative · entry 1

Overdorf Michael · CIK 0001818522 · EVP & Chief Business Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,500

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 11 of each year, with the first 1/3rd vesting on February 11, 2023.

F2 · balance_after: Includes 12,500 RSUs.

Read SEC document
February 11, 2022 Filed Feb 15, 2022 16:39 UTC
Love DouglasDirector · President & CEO
GrantStock Option (Right to Buy) · Derivative 320,000 $0.00 Strike: $6.94 $0.00
Disclosure

SEC source: 0001567619-22-004615 · doc1.xml · derivative · entry 2

Love Douglas · CIK 0001818520 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 320,000

Underlying: Common Stock · 320,000 shares

Expires 2032-02-11

F3 · derivative.exercise_date: 1/48th of the shares subject to the option vest on each monthly anniversary measured from February 11, 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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February 11, 2022 Filed Feb 15, 2022 16:39 UTC
Love DouglasDirector · President & CEO
GrantCommon Stock 40,000 $0.00 $0.00
Disclosure

SEC source: 0001567619-22-004615 · doc1.xml · nonDerivative · entry 1

Love Douglas · CIK 0001818520 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 140,942

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 11 of each year, with the first 1/3rd vesting on February 11, 2023.

F2 · balance_after: Includes 40,000 RSUs.

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February 11, 2022 Filed Feb 15, 2022 21:37 UTC
Keswani Sanjay ChandruEVP & Chief Medical Officer
GrantStock Option (Right to Buy) · Derivative 100,000 $0.00 Strike: $6.94 $0.00
Disclosure

SEC source: 0001567619-22-004613 · doc1.xml · derivative · entry 2

Keswani Sanjay · CIK 0001818524 · EVP & Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2032-02-11

F3 · derivative.exercise_date: 1/48th of the shares subject to the option vest on each monthly anniversary measured from February 11, 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.

Read SEC document
February 11, 2022 Filed Feb 15, 2022 21:37 UTC
Keswani Sanjay ChandruEVP & Chief Medical Officer
GrantCommon Stock 12,500 $0.00 $0.00
Disclosure

SEC source: 0001567619-22-004613 · doc1.xml · nonDerivative · entry 1

Keswani Sanjay · CIK 0001818524 · EVP & Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,500

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 11 of each year, with the first 1/3rd vesting on February 11, 2023.

F2 · balance_after: Includes 12,500 RSUs.

Read SEC document
February 11, 2022 Filed Feb 15, 2022 21:36 UTC
Lew JenniferEVP & Chief Financial Officer
GrantStock Option (Right to Buy) · Derivative 100,000 $0.00 Strike: $6.94 $0.00
Disclosure

SEC source: 0001567619-22-004612 · doc1.xml · derivative · entry 2

Lew Jennifer · CIK 0001465994 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2032-02-11

F3 · derivative.exercise_date: 1/48th of the shares subject to the option vest on each monthly anniversary measured from February 11, 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.

Read SEC document
February 11, 2022 Filed Feb 15, 2022 21:36 UTC
Lew JenniferEVP & Chief Financial Officer
GrantCommon Stock 12,500 $0.00 $0.00
Disclosure

SEC source: 0001567619-22-004612 · doc1.xml · nonDerivative · entry 1

Lew Jennifer · CIK 0001465994 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,500

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 11 of each year, with the first 1/3rd vesting on February 11, 2023.

F2 · balance_after: Includes 12,500 RSUs.

Read SEC document
February 11, 2022 Filed Feb 15, 2022 21:35 UTC
Mattheakis LarryEVP & Chief Scientific Officer
GrantStock Option (Right to Buy) · Derivative 100,000 $0.00 Strike: $6.94 $0.00
Disclosure

SEC source: 0001567619-22-004611 · doc1.xml · derivative · entry 2

Mattheakis Larry · CIK 0001885081 · EVP & Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2032-02-11

F3 · derivative.exercise_date: 1/48th of the shares subject to the option vest on each monthly anniversary measured from February 11, 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.

Read SEC document
February 11, 2022 Filed Feb 15, 2022 21:35 UTC
Mattheakis LarryEVP & Chief Scientific Officer
GrantCommon Stock 12,500 $0.00 $0.00
Disclosure

SEC source: 0001567619-22-004611 · doc1.xml · nonDerivative · entry 1

Mattheakis Larry · CIK 0001885081 · EVP & Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,500

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 11 of each year, with the first 1/3rd vesting on February 11, 2023.

F2 · balance_after: Includes 12,500 RSUs.

Read SEC document
January 19, 2022 Filed Jan 20, 2022 22:06 UTC GrantStock Option (Right to Buy) · Derivative 20,000 $0.00 Strike: $8.08 $0.00
Disclosure

SEC source: 0001567619-22-001370 · doc1.xml · derivative · entry 1

Cockroft Bettina M. · CIK 0001900452 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2032-01-19

F1 · derivative.exercise_date: 1/36th of the shares subject to the option vest on each monthly anniversary measured from January 19, 2022 (the "Vesting Commencement Date"), such that 100% of the shares subject to the option will be fully vested and exercisable on the third anniversary of the Vesting Commencement Date.

Read SEC document
November 11, 2021 Filed Nov 15, 2021 18:05 UTC
Love DouglasDirector · President & CEO
Exercise / conversionStock Option (Right to Buy) · Derivative 30,000 $0.00 Strike: $1.85 $0.00
Disclosure

SEC source: 0001567619-21-020520 · doc1.xml · derivative · entry 4

Love Douglas · CIK 0001818520 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 114,449

Underlying: Common Stock · 30,000 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 · derivative.exercise_date: The shares subject to the option are fully vested and exercisable.

Read SEC document
November 11, 2021 Filed Nov 15, 2021 18:05 UTC
Love DouglasDirector · President & CEO
Exercise / conversionStock Option (Right to Buy) · Derivative 70,942 $0.00 Strike: $1.41 $0.00
Disclosure

SEC source: 0001567619-21-020520 · doc1.xml · derivative · entry 3

Love Douglas · CIK 0001818520 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 70,942 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 · derivative.exercise_date: The shares subject to the option are fully vested and exercisable.

Read SEC document
November 11, 2021 Filed Nov 15, 2021 18:05 UTC
Love DouglasDirector · President & CEO
Exercise / conversionCommon Stock 30,000 $1.85 $55,503.00
Disclosure

SEC source: 0001567619-21-020520 · doc1.xml · nonDerivative · entry 2

Love Douglas · CIK 0001818520 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,942

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
November 11, 2021 Filed Nov 15, 2021 18:05 UTC
Love DouglasDirector · President & CEO
Exercise / conversionCommon Stock 70,942 $1.41 $99,999.84
Disclosure

SEC source: 0001567619-21-020520 · doc1.xml · nonDerivative · entry 1

Love Douglas · CIK 0001818520 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,942

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
September 30, 2021 Filed Oct 4, 2021 22:31 UTC
Mattheakis LarryChief Scientific Officer
GrantStock Option (Right to Buy) · Derivative 220,000 $0.00 Strike: $18.61 $0.00
Disclosure

SEC source: 0001567619-21-017862 · doc1.xml · derivative · entry 1

Mattheakis Larry · CIK 0001885081 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 220,000

Underlying: Common Stock · 220,000 shares

Expires 2031-09-30

F1 · derivative.exercise_date: 25% of the shares subject to the option vest on the first anniversary measured from September 30, 2021 (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.

Read SEC document
September 16, 2021 Filed Sep 20, 2021 17:46 UTC
Love DouglasDirector · President & CEO
Exercise / conversionStock Option (Right to Buy) · Derivative 7,500 $0.00 Strike: $1.41 $0.00
Disclosure

SEC source: 0001567619-21-017366 · doc1.xml · derivative · entry 3

Love Douglas · CIK 0001818520 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,994

Underlying: Common Stock · 7,500 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.

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

Read SEC document
September 16, 2021 Filed Sep 20, 2021 17:46 UTC
Love DouglasDirector · President & CEO
SaleCommon Stock 7,500 $22.05 $165,340.50
Disclosure

SEC source: 0001567619-21-017366 · doc1.xml · nonDerivative · entry 2

Love Douglas · CIK 0001818520 · Director · President & CEO

10b5-1 filing: Not disclosed

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.

F2 · price: This transaction was executed in multiple trades in prices ranging from $22.00 to $22.26, 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
September 16, 2021 Filed Sep 20, 2021 17:46 UTC
Love DouglasDirector · President & CEO
Exercise / conversionCommon Stock 7,500 $1.41 $10,572.00
Disclosure

SEC source: 0001567619-21-017366 · doc1.xml · nonDerivative · entry 1

Love Douglas · CIK 0001818520 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,500

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.

Read SEC document
September 13, 2021 Filed Sep 15, 2021 22:35 UTC
Yednock TedEVP & Chief Scientific Officer
Exercise / conversionStock Option (Right to Buy) · Derivative 1,190 $0.00 Strike: $5.11 $0.00
Disclosure

SEC source: 0001567619-21-017166 · doc1.xml · derivative · entry 5

Yednock Ted · CIK 0001818525 · EVP & Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,939

Underlying: Common Stock · 1,190 shares

Expires 2029-01-22

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.

F4 · derivative.exercise_date: 1/48th of the shares subject to the option vest on each monthly anniversary measured from December 12, 2018 (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
September 13, 2021 Filed Sep 15, 2021 22:35 UTC
Yednock TedEVP & Chief Scientific Officer
Exercise / conversionStock Option (Right to Buy) · Derivative 15,000 $0.00 Strike: $1.41 $0.00
Disclosure

SEC source: 0001567619-21-017166 · doc1.xml · derivative · entry 4

Yednock Ted · CIK 0001818525 · EVP & Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,615

Underlying: Common Stock · 15,000 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.

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

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.