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Nasdaq · USD

APRE

Aprea Therapeutics, Inc.

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7948
SEC CIK
0001781983
Parsed reports
180

Last 12 months

Inside the activity.

4 purchase rows · 0 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202520
Jan 202620
Feb 202600
Mar 202600
Apr 202600
May 202600
Jun 202600
Jul 202600
Aug 202600
Sep 202600
Oct 202600

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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
August 23, 2023 Filed Aug 25, 2023 01:51 UTC GrantStock Options (Right to Buy) · Derivative 2,000 $0.00 Strike: $3.65 $0.00
Disclosure

SEC source: 0001104659-23-095020 · tm2324788-7_4seq1.xml · derivative · entry 2

Grissinger Michael · CIK 0001757601 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,000

Underlying: Common Stock · 2,000 shares

Expires 2033-08-23

F2 · derivative.exercise_date: The option vests in full on August 23, 2024, subject to the reporting person's continued service on the Issuer's board of directors through and including the applicable vesting date and subject to acceleration under certain conditions.

Read SEC document
August 23, 2023 Filed Aug 25, 2023 01:51 UTC GrantCommon Stock 500 $0.00 $0.00
Disclosure

SEC source: 0001104659-23-095020 · tm2324788-7_4seq1.xml · nonDerivative · entry 1

Grissinger Michael · CIK 0001757601 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 799

F1 · shares: These shares represent restricted stock units which were granted on August 23, 2023, and which will vest and be settled in common stock on August 23, 2024, subject to the reporting person's continued service on the Issuer's board of directors through and including the applicable vesting date and subject to acceleration under certain conditions.

Read SEC document
August 23, 2023 Filed Aug 25, 2023 01:51 UTC GrantStock Options (Right to Buy) · Derivative 2,000 $0.00 Strike: $3.65 $0.00
Disclosure

SEC source: 0001104659-23-095019 · tm2324788-6_4seq1.xml · derivative · entry 2

HENNEMAN JOHN B III · CIK 0001187572 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,000

Underlying: Common Stock · 2,000 shares

Expires 2033-08-23

F2 · derivative.exercise_date: The option vests in full on August 23, 2024, subject to the reporting person's continued service on the Issuer's board of directors through and including the applicable vesting date and subject to acceleration under certain conditions.

Read SEC document
August 23, 2023 Filed Aug 25, 2023 01:51 UTC GrantCommon Stock 500 $0.00 $0.00
Disclosure

SEC source: 0001104659-23-095019 · tm2324788-6_4seq1.xml · nonDerivative · entry 1

HENNEMAN JOHN B III · CIK 0001187572 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,279

F1 · shares: These shares represent restricted stock units which were granted on August 23, 2023, and which will vest and be settled in common stock on August 23, 2024, subject to the reporting person's continued service on the Issuer's board of directors through and including the applicable vesting date and subject to acceleration under certain conditions.

Read SEC document
August 23, 2023 Filed Aug 25, 2023 01:47 UTC GrantStock Options (Right to Buy) · Derivative 12,500 $0.00 Strike: $3.65 $0.00
Disclosure

SEC source: 0001104659-23-095014 · tm2324788-3_4seq1.xml · derivative · entry 1

BIZZARI JEAN-PIERRE · CIK 0001630914 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,500

Underlying: Common Stock · 12,500 shares

Expires 2033-08-23

F1 · derivative.exercise_date: These options shall vest in full on the two year anniversary of the grant date, subject to the reporting person's continued service on the Issuer's board of Directors through and including the applicable vesting date.

Read SEC document
August 23, 2023 Filed Aug 25, 2023 01:50 UTC GrantStock Options (Right to Buy) · Derivative 2,000 $0.00 Strike: $3.65 $0.00
Disclosure

SEC source: 0001104659-23-095018 · tm2324788-5_4seq1.xml · derivative · entry 2

Peters Richard · CIK 0001697628 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,000

Underlying: Common Stock · 2,000 shares

Expires 2033-08-23

F2 · derivative.exercise_date: The option vests in full on August 23, 2024, subject to the reporting person's continued service on the Issuer's board of directors through and including the applicable vesting date and subject to acceleration under certain conditions.

Read SEC document
August 23, 2023 Filed Aug 25, 2023 01:50 UTC GrantCommon Stock 500 $0.00 $0.00
Disclosure

SEC source: 0001104659-23-095018 · tm2324788-5_4seq1.xml · nonDerivative · entry 1

Peters Richard · CIK 0001697628 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,029

F1 · shares: These shares represent restricted stock units which were granted on August 23, 2023, and which will vest and be settled in common stock on August 23, 2024, subject to the reporting person's continued service on the Issuer's board of directors through and including the applicable vesting date and subject to acceleration under certain conditions.

Read SEC document
August 23, 2023 Filed Aug 25, 2023 01:48 UTC GrantStock Options (Right to Buy) · Derivative 2,000 $0.00 Strike: $3.65 $0.00
Disclosure

SEC source: 0001104659-23-095016 · tm2324788-1_4seq1.xml · derivative · entry 2

Seizinger Bernd R. · CIK 0001789042 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,000

Underlying: Common Stock · 2,000 shares

Expires 2033-08-23

F2 · derivative.exercise_date: The option vests in full on August 23, 2024, subject to the reporting person's continued service on the Issuer's board of directors through and including the applicable vesting date and subject to acceleration under certain conditions.

Read SEC document
August 23, 2023 Filed Aug 25, 2023 01:48 UTC GrantCommon Stock 500 $0.00 $0.00
Disclosure

SEC source: 0001104659-23-095016 · tm2324788-1_4seq1.xml · nonDerivative · entry 1

Seizinger Bernd R. · CIK 0001789042 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 26,825

F1 · shares: These shares represent restricted stock units which were granted on August 23, 2023, and which will vest and be settled in common stock on August 23, 2024, subject to the reporting person's continued service on the Issuer's board of directors through and including the applicable vesting date and subject to acceleration under certain conditions.

Read SEC document
June 07, 2023 Filed Jun 8, 2023 20:34 UTC PurchaseCommon Stock 6,029 $3.68 $22,192.15
Disclosure

SEC source: 0001104659-23-069421 · tm2318158-1_4seq1.xml · nonDerivative · entry 2

Seizinger Bernd R. · CIK 0001789042 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 26,325

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.65 to $3.70, inclusive. The reporting person undertakes to provide to Aprea Therapeutics, Inc., any security holder of Aprea Therapeutics, Inc., 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.

F3 · balance_after: Reflects a one-for-20 reverse split, effective as of 5:00 p.m. Eastern Time on February 10, 2023.

Read SEC document
June 06, 2023 Filed Jun 8, 2023 20:34 UTC PurchaseCommon Stock 4,068 $3.63 $14,764.40
Disclosure

SEC source: 0001104659-23-069421 · tm2318158-1_4seq1.xml · nonDerivative · entry 1

Seizinger Bernd R. · CIK 0001789042 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,296

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.4984 to $3.75, inclusive. The reporting person undertakes to provide to Aprea Therapeutics, Inc., any security holder of Aprea Therapeutics, Inc., 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.

Read SEC document
May 05, 2023 Filed May 8, 2023 21:17 UTC GrantStock Options (Right to Buy) · Derivative 12,500 $0.00 Strike: $3.90 $0.00
Disclosure

SEC source: 0001104659-23-057260 · tm2314936-2_4seq1.xml · derivative · entry 1

Gruia Gabriela · CIK 0001860326 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,500

Underlying: Common Stock · 12,500 shares

Expires 2033-05-05

F1 · derivative.exercise_date: These options shall vest in full on May 5, 2024, subject to the reporting person's continued service through and including the applicable vesting date.

Read SEC document
March 09, 2023 Filed Mar 13, 2023 18:30 UTC
Gilad OrenDirector · President, CEO
GrantStock Options (Right to Buy) · Derivative 16,000 $0.00 Strike: $5.08 $0.00
Disclosure

SEC source: 0001104659-23-031882 · tm239268d1_4.xml · derivative · entry 4

Gilad Oren · CIK 0001929300 · Director · President, CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,000

Underlying: Common Stock · 16,000 shares

Expires 2033-03-09

F3 · derivative.exercise_date: Twenty-five percent of these options vest on March 9, 2024, with the remaining options vesting ratably over the following 36 months, subject to the reporting person's continued employment through and including the applicable vesting dates and subject to acceleration under certain conditions.

Read SEC document
March 09, 2023 Filed Mar 13, 2023 18:30 UTC
Gilad OrenDirector · President, CEO
GrantCommon Stock 4,000 $0.00 $0.00
Disclosure

SEC source: 0001104659-23-031882 · tm239268d1_4.xml · nonDerivative · entry 2

Gilad Oren · CIK 0001929300 · Director · President, CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 322,770

F1 · shares: These shares represent restricted stock units ("RSUs") and shall vest and be settled in the Issuer's common stock ("Common Stock") in three (3) equal annual installments beginning on March 9, 2024 until vested in full, subject to the reporting person's continued employment through and including the applicable vesting dates and subject to acceleration under certain conditions.

F4 · balance_after: Reflects a one-for-20 reverse split, effective as of 5:00 p.m. Eastern Time on February 10, 2023.

Read SEC document
February 27, 2023 Filed Feb 27, 2023 18:37 UTC
Hamill John P.SrVP/CFO/Prin Fin & Acct Ofcr
GrantCommon Stock 1,000 $5.25 $5,250.00
Disclosure

SEC source: 0001104659-23-026159 · tm238004-1_4seq1.xml · nonDerivative · entry 1

Hamill John P. · CIK 0001716213 · SrVP/CFO/Prin Fin & Acct Ofcr

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,493

F1 · balance_after: Effective February 13, 2023, the Issuer completed a 1-for-20 reverse stock split (the "Reverse Stock Split") of its outstanding Common Stock. The number of securities reported on this Form 4 has been adjusted to reflect the Reverse Stock Split.

Read SEC document
January 30, 2023 Filed Jan 30, 2023 17:21 UTC
Hamill John P.SrVP/CFO/Prin. Fin&Acctg. Off
GrantEmployee Stock Option (Right to Buy) · Derivative 539,758 $0.00 Strike: $0.50 $0.00
Disclosure

SEC source: 0001104659-23-008064 · tm234680-2_4seq1.xml · derivative · entry 2

Hamill John P. · CIK 0001716213 · SrVP/CFO/Prin. Fin&Acctg. Off

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 539,758

Underlying: Common Stock · 539,758 shares

Expires 2033-01-30

F2 · derivative.exercise_date: Twenty-five percent of these options vest on January 30, 2024, with the remaining options vesting ratably over the following 36 months, subject to the reporting person's continued employment through and including the applicable vesting dates and subject to acceleration under certain conditions.

Read SEC document
January 30, 2023 Filed Jan 30, 2023 17:21 UTC
Hamill John P.SrVP/CFO/Prin. Fin&Acctg. Off
GrantCommon Stock 269,879 $0.00 $0.00
Disclosure

SEC source: 0001104659-23-008064 · tm234680-2_4seq1.xml · nonDerivative · entry 1

Hamill John P. · CIK 0001716213 · SrVP/CFO/Prin. Fin&Acctg. Off

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 269,879

F1 · shares: These shares represent restricted stock units which were granted on January 30, 2023, and which will vest and be settled in common stock in three equal, annual installments beginning on January 30, 2024, January 30, 2025, and January 30, 2026, subject to the reporting person's continued employment through and including the applicable vesting dates and subject to acceleration under certain conditions.

Read SEC document
August 23, 2022 Filed Mar 13, 2023 18:30 UTC
Gilad OrenDirector · President, CEO
ConversionSeries A Non-Voting Convertible Preferred Stock · Derivative 604,510 $0.00 $0.00
Disclosure

SEC source: 0001104659-23-031882 · tm239268d1_4.xml · derivative · entry 3

Gilad Oren · CIK 0001929300 · Director · President, CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,045,100 shares

Expires not disclosed

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.

F2 · derivative.exercise_price: Each share of Series A Non-Voting Convertible Preferred Stock is convertible into 10 shares of Common Stock any time at the option of the holder thereof, subject to certain limitations. On August 23, 2022, the Reporting Person converted 604,510 shares of Series A Non-Voting Convertible Preferred Stock into 6,045,100 shares of Common Stock.

F2 · derivative.exercise_date: Each share of Series A Non-Voting Convertible Preferred Stock is convertible into 10 shares of Common Stock any time at the option of the holder thereof, subject to certain limitations. On August 23, 2022, the Reporting Person converted 604,510 shares of Series A Non-Voting Convertible Preferred Stock into 6,045,100 shares of Common Stock.

F2 · derivative.expiration_date: Each share of Series A Non-Voting Convertible Preferred Stock is convertible into 10 shares of Common Stock any time at the option of the holder thereof, subject to certain limitations. On August 23, 2022, the Reporting Person converted 604,510 shares of Series A Non-Voting Convertible Preferred Stock into 6,045,100 shares of Common Stock.

Read SEC document
August 23, 2022 Filed Mar 13, 2023 18:30 UTC
Gilad OrenDirector · President, CEO
ConversionCommon Stock 6,045,100 $0.00 $0.00
Disclosure

SEC source: 0001104659-23-031882 · tm239268d1_4.xml · nonDerivative · entry 1

Gilad Oren · CIK 0001929300 · Director · President, CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,375,414

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.

F2 · shares: Each share of Series A Non-Voting Convertible Preferred Stock is convertible into 10 shares of Common Stock any time at the option of the holder thereof, subject to certain limitations. On August 23, 2022, the Reporting Person converted 604,510 shares of Series A Non-Voting Convertible Preferred Stock into 6,045,100 shares of Common Stock.

Read SEC document
August 23, 2022 Filed Aug 25, 2023 01:52 UTC ConversionSeries A Non-Voting Convertible Preferred Stock · Derivative 27,187 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001104659-23-095021 · tm2324788-8_4seq1.xml · derivative · entry 5

Pamukcu Rifat · CIK 0001929298 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By ZNZ Holdings LLC

Disclosed balance after: 0

Underlying: Common Stock · 271,870 shares

Expires not disclosed

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: Following stockholder approval at the Issuer's annual stockholder's meeting, each share of Series A Non-Voting Convertible Preferred Stock is convertible into 10 shares of the Issuer's common stock ("Common Stock") at any time at the option of the holder thereof, subject to certain limitations, including that a holder of Series A Non-Voting Convertible Preferred Stock is prohibited from converting shares of Series A Non-Voting Convertible Preferred Stock into shares of Common Stock if, as a result of such conversion, such holder, together with its affiliates, would beneficially own more than a specified percentage (to be established by the holder between 4.9% and 19.9%) of the total number of shares of Common Stock issued and outstanding immediately after giving effect to such conversion. The Series A Non-Voting Convertible Preferred Stock has no expiration date.

F1 · derivative.expiration_date: Following stockholder approval at the Issuer's annual stockholder's meeting, each share of Series A Non-Voting Convertible Preferred Stock is convertible into 10 shares of the Issuer's common stock ("Common Stock") at any time at the option of the holder thereof, subject to certain limitations, including that a holder of Series A Non-Voting Convertible Preferred Stock is prohibited from converting shares of Series A Non-Voting Convertible Preferred Stock into shares of Common Stock if, as a result of such conversion, such holder, together with its affiliates, would beneficially own more than a specified percentage (to be established by the holder between 4.9% and 19.9%) of the total number of shares of Common Stock issued and outstanding immediately after giving effect to such conversion. The Series A Non-Voting Convertible Preferred Stock has no expiration date.

F4 · ownership.nature: The Reporting Person serves as Manager Partner of ZNZ Holdings L.L.C.

Read SEC document
August 23, 2022 Filed Aug 25, 2023 01:52 UTC ConversionSeries A Non-Voting Convertible Preferred Stock · Derivative 4,928 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001104659-23-095021 · tm2324788-8_4seq1.xml · derivative · entry 4

Pamukcu Rifat · CIK 0001929298 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 49,280 shares

Expires not disclosed

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: Following stockholder approval at the Issuer's annual stockholder's meeting, each share of Series A Non-Voting Convertible Preferred Stock is convertible into 10 shares of the Issuer's common stock ("Common Stock") at any time at the option of the holder thereof, subject to certain limitations, including that a holder of Series A Non-Voting Convertible Preferred Stock is prohibited from converting shares of Series A Non-Voting Convertible Preferred Stock into shares of Common Stock if, as a result of such conversion, such holder, together with its affiliates, would beneficially own more than a specified percentage (to be established by the holder between 4.9% and 19.9%) of the total number of shares of Common Stock issued and outstanding immediately after giving effect to such conversion. The Series A Non-Voting Convertible Preferred Stock has no expiration date.

F1 · derivative.expiration_date: Following stockholder approval at the Issuer's annual stockholder's meeting, each share of Series A Non-Voting Convertible Preferred Stock is convertible into 10 shares of the Issuer's common stock ("Common Stock") at any time at the option of the holder thereof, subject to certain limitations, including that a holder of Series A Non-Voting Convertible Preferred Stock is prohibited from converting shares of Series A Non-Voting Convertible Preferred Stock into shares of Common Stock if, as a result of such conversion, such holder, together with its affiliates, would beneficially own more than a specified percentage (to be established by the holder between 4.9% and 19.9%) of the total number of shares of Common Stock issued and outstanding immediately after giving effect to such conversion. The Series A Non-Voting Convertible Preferred Stock has no expiration date.

Read SEC document
August 23, 2022 Filed Aug 25, 2023 01:52 UTC ConversionCommon Stock 271,870 $0.00 $0.00
Disclosure

SEC source: 0001104659-23-095021 · tm2324788-8_4seq1.xml · nonDerivative · entry 3

Pamukcu Rifat · CIK 0001929298 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By ZNZ Holdings LLC

Disclosed balance after: 14,108

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 · shares: Following stockholder approval at the Issuer's annual stockholder's meeting, each share of Series A Non-Voting Convertible Preferred Stock is convertible into 10 shares of the Issuer's common stock ("Common Stock") at any time at the option of the holder thereof, subject to certain limitations, including that a holder of Series A Non-Voting Convertible Preferred Stock is prohibited from converting shares of Series A Non-Voting Convertible Preferred Stock into shares of Common Stock if, as a result of such conversion, such holder, together with its affiliates, would beneficially own more than a specified percentage (to be established by the holder between 4.9% and 19.9%) of the total number of shares of Common Stock issued and outstanding immediately after giving effect to such conversion. The Series A Non-Voting Convertible Preferred Stock has no expiration date.

F3 · balance_after: Reflects a one-for-20 reverse split, effective as of 5:00 p.m. Eastern Time on February 10, 2023

F4 · ownership.nature: The Reporting Person serves as Manager Partner of ZNZ Holdings L.L.C.

Read SEC document
August 23, 2022 Filed Aug 25, 2023 01:52 UTC ConversionCommon Stock 49,280 $0.00 $0.00
Disclosure

SEC source: 0001104659-23-095021 · tm2324788-8_4seq1.xml · nonDerivative · entry 1

Pamukcu Rifat · CIK 0001929298 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 57,142

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 · shares: Following stockholder approval at the Issuer's annual stockholder's meeting, each share of Series A Non-Voting Convertible Preferred Stock is convertible into 10 shares of the Issuer's common stock ("Common Stock") at any time at the option of the holder thereof, subject to certain limitations, including that a holder of Series A Non-Voting Convertible Preferred Stock is prohibited from converting shares of Series A Non-Voting Convertible Preferred Stock into shares of Common Stock if, as a result of such conversion, such holder, together with its affiliates, would beneficially own more than a specified percentage (to be established by the holder between 4.9% and 19.9%) of the total number of shares of Common Stock issued and outstanding immediately after giving effect to such conversion. The Series A Non-Voting Convertible Preferred Stock has no expiration date.

Read SEC document
August 23, 2022 Filed Aug 25, 2023 01:50 UTC
Duey MarcDirector
ConversionSeries A Non-Voting Convertible Preferred Stock · Derivative 1,161 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001104659-23-095017 · tm2324788-4_4seq1.xml · derivative · entry 5

Duey Marc · CIK 0001925150 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Spouse

Disclosed balance after: 0

Underlying: Common Stock · 11,610 shares

Expires not disclosed

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: Following stockholder approval at the Issuer's annual stockholder's meeting, each share of Series A Non-Voting Convertible Preferred Stock is convertible into 10 shares of the Issuer's common stock ("Common Stock") at any time at the option of the holder thereof, subject to certain limitations, including that a holder of Series A Non-Voting Convertible Preferred Stock is prohibited from converting shares of Series A Non-Voting Convertible Preferred Stock into shares of Common Stock if, as a result of such conversion, such holder, together with its affiliates, would beneficially own more than a specified percentage (to be established by the holder between 4.9% and 19.9%) of the total number of shares of Common Stock issued and outstanding immediately after giving effect to such conversion. The Series A Non-Voting Convertible Preferred Stock has no expiration date.

F4 · derivative.expiration_date: Following stockholder approval at the Issuer's annual stockholder's meeting, each share of Series A Non-Voting Convertible Preferred Stock is convertible into 10 shares of the Issuer's common stock ("Common Stock") at any time at the option of the holder thereof, subject to certain limitations, including that a holder of Series A Non-Voting Convertible Preferred Stock is prohibited from converting shares of Series A Non-Voting Convertible Preferred Stock into shares of Common Stock if, as a result of such conversion, such holder, together with its affiliates, would beneficially own more than a specified percentage (to be established by the holder between 4.9% and 19.9%) of the total number of shares of Common Stock issued and outstanding immediately after giving effect to such conversion. The Series A Non-Voting Convertible Preferred Stock has no expiration date.

F3 · ownership.nature: The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, or for any other purpose.

Read SEC document
August 23, 2022 Filed Aug 25, 2023 01:50 UTC
Duey MarcDirector
ConversionSeries A Non-Voting Convertible Preferred Stock · Derivative 400,969 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001104659-23-095017 · tm2324788-4_4seq1.xml · derivative · entry 4

Duey Marc · CIK 0001925150 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,009,690 shares

Expires not disclosed

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: Following stockholder approval at the Issuer's annual stockholder's meeting, each share of Series A Non-Voting Convertible Preferred Stock is convertible into 10 shares of the Issuer's common stock ("Common Stock") at any time at the option of the holder thereof, subject to certain limitations, including that a holder of Series A Non-Voting Convertible Preferred Stock is prohibited from converting shares of Series A Non-Voting Convertible Preferred Stock into shares of Common Stock if, as a result of such conversion, such holder, together with its affiliates, would beneficially own more than a specified percentage (to be established by the holder between 4.9% and 19.9%) of the total number of shares of Common Stock issued and outstanding immediately after giving effect to such conversion. The Series A Non-Voting Convertible Preferred Stock has no expiration date.

F4 · derivative.expiration_date: Following stockholder approval at the Issuer's annual stockholder's meeting, each share of Series A Non-Voting Convertible Preferred Stock is convertible into 10 shares of the Issuer's common stock ("Common Stock") at any time at the option of the holder thereof, subject to certain limitations, including that a holder of Series A Non-Voting Convertible Preferred Stock is prohibited from converting shares of Series A Non-Voting Convertible Preferred Stock into shares of Common Stock if, as a result of such conversion, such holder, together with its affiliates, would beneficially own more than a specified percentage (to be established by the holder between 4.9% and 19.9%) of the total number of shares of Common Stock issued and outstanding immediately after giving effect to such conversion. The Series A Non-Voting Convertible Preferred Stock has no expiration date.

Read SEC document
August 23, 2022 Filed Aug 25, 2023 01:50 UTC
Duey MarcDirector
ConversionCommon Stock 11,610 $0.00 $0.00
Disclosure

SEC source: 0001104659-23-095017 · tm2324788-4_4seq1.xml · nonDerivative · entry 3

Duey Marc · CIK 0001925150 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Spouse

Disclosed balance after: 602

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.

F2 · balance_after: Reflects a one-for-20 reverse split, effective as of 5:00 p.m. Eastern Time on February 10, 2023

F3 · ownership.nature: The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, or for any other purpose.

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August 23, 2022 Filed Aug 25, 2023 01:50 UTC
Duey MarcDirector
ConversionCommon Stock 4,009,690 $0.00 $0.00
Disclosure

SEC source: 0001104659-23-095017 · tm2324788-4_4seq1.xml · nonDerivative · entry 1

Duey Marc · CIK 0001925150 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,167,589

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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July 28, 2022 Filed Aug 1, 2022 21:04 UTC GrantStock Option (right to Buy) · Derivative 29,575 $0.00 Strike: $1.09 $0.00
Disclosure

SEC source: 0001104659-22-084768 · tm2222147-7_4seq1.xml · derivative · entry 3

Pamukcu Rifat · CIK 0001929298 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,575

Underlying: Common Stock · 29,575 shares

Expires 2032-07-28

F2 · derivative.exercise_date: The option vests in full on July 28, 2023, subject to the reporting person's continued service on the Issuer's board of directors through and including the applicable vesting date and subject to acceleration under certain conditions.

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July 28, 2022 Filed Aug 1, 2022 21:04 UTC GrantCommon Stock 5,995 $0.00 $0.00
Disclosure

SEC source: 0001104659-22-084768 · tm2222147-7_4seq1.xml · nonDerivative · entry 1

Pamukcu Rifat · CIK 0001929298 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,862

F1 · shares: These shares represent restricted stock units which were granted on July 28, 2022, and which will vest and be settled in common stock on July 28, 2023, subject to the reporting person's continued service on the Issuer's board of directors through and including the applicable vesting date and subject to acceleration under certain conditions.

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July 28, 2022 Filed Aug 1, 2022 17:01 UTC
Gilad OrenPresident, CEO
GrantStock Option (right to Buy) · Derivative 148,700 $0.00 Strike: $1.09 $0.00
Disclosure

SEC source: 0001104659-22-084763 · tm2222147-3_4seq1.xml · derivative · entry 2

Gilad Oren · CIK 0001929300 · President, CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 148,700

Underlying: Common Stock · 148,700 shares

Expires 2032-07-28

F2 · derivative.exercise_date: Twenty-five percent of these options vest on July 28, 2023, with the remaining options vesting ratably over the following 36 months, subject to the reporting person's continued employment through and including the applicable vesting dates and subject to acceleration under certain conditions.

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July 28, 2022 Filed Aug 1, 2022 17:01 UTC
Gilad OrenPresident, CEO
GrantCommon Stock 101,300 $0.00 $0.00
Disclosure

SEC source: 0001104659-22-084763 · tm2222147-3_4seq1.xml · nonDerivative · entry 1

Gilad Oren · CIK 0001929300 · President, CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 330,314

F1 · shares: These shares represent restricted stock units which were granted on July 28, 2022, and which will vest and be settled in common stock as follows: (i) 33,766 shares on July 28, 2023, (ii) 33,767 shares on July 28, 2024 and (iii) 33,767 shares on July 28, 2025, subject to the reporting person's continued employment through and including the applicable vesting dates and subject to acceleration under certain conditions.

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July 28, 2022 Filed Aug 1, 2022 21:00 UTC
Duey MarcDirector
GrantStock Option (right to Buy) · Derivative 29,575 $0.00 Strike: $1.09 $0.00
Disclosure

SEC source: 0001104659-22-084762 · tm2222147-2_4seq1.xml · derivative · entry 3

Duey Marc · CIK 0001925150 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,575

Underlying: Common Stock · 29,575 shares

Expires 2032-07-28

F2 · derivative.exercise_date: The option vests in full on July 28, 2023, subject to the reporting person's continued service on the Issuer's board of directors through and including the applicable vesting date and subject to acceleration under certain conditions.

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July 28, 2022 Filed Aug 1, 2022 21:00 UTC
Duey MarcDirector
GrantCommon Stock 5,995 $0.00 $0.00
Disclosure

SEC source: 0001104659-22-084762 · tm2222147-2_4seq1.xml · nonDerivative · entry 1

Duey Marc · CIK 0001925150 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 157,899

F1 · shares: These shares represent restricted stock units which were granted on July 28, 2022, and which will vest and be settled in common stock on July 28, 2023, subject to the reporting person's continued service on the Issuer's board of directors through and including the applicable vesting date and subject to acceleration under certain conditions.

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July 28, 2022 Filed Aug 1, 2022 21:02 UTC GrantStock Option (right to Buy) · Derivative 29,575 $0.00 Strike: $1.09 $0.00
Disclosure

SEC source: 0001104659-22-084764 · tm2222147-4_4seq1.xml · derivative · entry 2

Grissinger Michael · CIK 0001757601 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,575

Underlying: Common Stock · 29,575 shares

Expires 2032-07-28

F2 · derivative.exercise_date: The option vests in full on July 28, 2023, subject to the reporting person's continued service on the Issuer's board of directors through and including the applicable vesting date and subject to acceleration under certain conditions.

Read SEC document
July 28, 2022 Filed Aug 1, 2022 21:02 UTC GrantCommon Stock 5,995 $0.00 $0.00
Disclosure

SEC source: 0001104659-22-084764 · tm2222147-4_4seq1.xml · nonDerivative · entry 1

Grissinger Michael · CIK 0001757601 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,995

F1 · shares: These shares represent restricted stock units which were granted on July 28, 2022, and which will vest and be settled in common stock on July 28, 2023, subject to the reporting person's continued service on the Issuer's board of directors through and including the applicable vesting date and subject to acceleration under certain conditions.

Read SEC document
July 28, 2022 Filed Aug 1, 2022 21:03 UTC GrantStock Option (right to Buy) · Derivative 29,575 $0.00 Strike: $1.09 $0.00
Disclosure

SEC source: 0001104659-22-084765 · tm2222147-5_4seq1.xml · derivative · entry 2

HENNEMAN JOHN B III · CIK 0001187572 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,575

Underlying: Common Stock · 29,575 shares

Expires 2032-07-28

F2 · derivative.exercise_date: The option vests in full on July 28, 2023, subject to the reporting person's continued service on the Issuer's board of directors through and including the applicable vesting date and subject to acceleration under certain conditions.

Read SEC document
July 28, 2022 Filed Aug 1, 2022 21:03 UTC GrantCommon Stock 5,995 $0.00 $0.00
Disclosure

SEC source: 0001104659-22-084765 · tm2222147-5_4seq1.xml · nonDerivative · entry 1

HENNEMAN JOHN B III · CIK 0001187572 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,605

F1 · shares: These shares represent restricted stock units which were granted on July 28, 2022, and which will vest and be settled in common stock on July 28, 2023, subject to the reporting person's continued service on the Issuer's board of directors through and including the applicable vesting date and subject to acceleration under certain conditions.

Read SEC document
July 28, 2022 Filed Aug 1, 2022 21:06 UTC GrantStock Option (right to Buy) · Derivative 47,600 $0.00 Strike: $1.09 $0.00
Disclosure

SEC source: 0001104659-22-084772 · tm2222147-9_4seq1.xml · derivative · entry 9

SCHADE CHRISTIAN S · CIK 0001214496 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,600

Underlying: Common Stock · 47,600 shares

Expires 2032-07-28

F2 · derivative.exercise_date: The option vests in full on July 28, 2023, subject to the reporting person's continued service on the Issuer's board of directors through and including the applicable vesting date and subject to acceleration under certain conditions.

Read SEC document
July 28, 2022 Filed Aug 1, 2022 21:06 UTC GrantCommon Stock 32,400 $0.00 $0.00
Disclosure

SEC source: 0001104659-22-084772 · tm2222147-9_4seq1.xml · nonDerivative · entry 1

SCHADE CHRISTIAN S · CIK 0001214496 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 259,246

F1 · shares: These shares represent restricted stock units which were granted on July 28, 2022, and which will vest and be settled in common stock on July 28, 2023, subject to the reporting person's continued service on the Issuer's board of directors through and including the applicable vesting date and subject to acceleration under certain conditions.

Read SEC document
July 28, 2022 Filed Aug 1, 2022 17:00 UTC
Coiante Scott MSVP, Chief Financial Officer
GrantStock Option (right to Buy) · Derivative 89,200 $0.00 Strike: $1.09 $0.00
Disclosure

SEC source: 0001104659-22-084760 · tm2222147-1_4seq1.xml · derivative · entry 2

Coiante Scott M · CIK 0001608536 · SVP, Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 89,200

Underlying: Common Stock · 89,200 shares

Expires 2032-07-28

F2 · derivative.exercise_date: Twenty-five percent of these options vest on July 28, 2023, with the remaining options vesting ratably over the following 36 months, subject to the reporting person's continued employment through and including the applicable vesting dates and subject to acceleration under certain conditions.

Read SEC document
July 28, 2022 Filed Aug 1, 2022 17:00 UTC
Coiante Scott MSVP, Chief Financial Officer
GrantCommon Stock 60,800 $0.00 $0.00
Disclosure

SEC source: 0001104659-22-084760 · tm2222147-1_4seq1.xml · nonDerivative · entry 1

Coiante Scott M · CIK 0001608536 · SVP, Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 145,065

F1 · shares: These shares represent restricted stock units which were granted on July 28, 2022, and which will vest and be settled in common stock as follows: (i) 20,266 shares on July 28, 2023, (ii) 20,267 shares on July 28, 2024 and (iii) 20,267 shares on July 28, 2025, subject to the reporting person's continued employment through and including the applicable vesting dates and subject to acceleration under certain conditions.

Read SEC document
July 28, 2022 Filed Aug 1, 2022 21:05 UTC GrantStock Option (right to Buy) · Derivative 29,575 $0.00 Strike: $1.09 $0.00
Disclosure

SEC source: 0001104659-22-084770 · tm2222147-8_4seq1.xml · derivative · entry 2

Peters Richard · CIK 0001697628 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,575

Underlying: Common Stock · 29,575 shares

Expires 2032-07-28

F2 · derivative.exercise_date: The option vests in full on July 28, 2023, subject to the reporting person's continued service on the Issuer's board of directors through and including the applicable vesting date and subject to acceleration under certain conditions.

Read SEC document
July 28, 2022 Filed Aug 1, 2022 21:05 UTC GrantCommon Stock 5,995 $0.00 $0.00
Disclosure

SEC source: 0001104659-22-084770 · tm2222147-8_4seq1.xml · nonDerivative · entry 1

Peters Richard · CIK 0001697628 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,605

F1 · shares: These shares represent restricted stock units which were granted on July 28, 2022, and which will vest and be settled in common stock on July 28, 2023, subject to the reporting person's continued service on the Issuer's board of directors through and including the applicable vesting date and subject to acceleration under certain conditions.

Read SEC document
July 28, 2022 Filed Aug 1, 2022 21:06 UTC GrantStock Option (right to Buy) · Derivative 29,575 $0.00 Strike: $1.09 $0.00
Disclosure

SEC source: 0001104659-22-084775 · tm2222147-10_4seq1.xml · derivative · entry 2

Seizinger Bernd R. · CIK 0001789042 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,575

Underlying: Common Stock · 29,575 shares

Expires 2032-07-28

F2 · derivative.exercise_date: The option vests in full on July 28, 2023, subject to the reporting person's continued service on the Issuer's board of directors through and including the applicable vesting date and subject to acceleration under certain conditions.

Read SEC document
July 28, 2022 Filed Aug 1, 2022 21:06 UTC GrantCommon Stock 5,995 $0.00 $0.00
Disclosure

SEC source: 0001104659-22-084775 · tm2222147-10_4seq1.xml · nonDerivative · entry 1

Seizinger Bernd R. · CIK 0001789042 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 324,575

F1 · shares: These shares represent restricted stock units which were granted on July 28, 2022, and which will vest and be settled in common stock on July 28, 2023, subject to the reporting person's continued service on the Issuer's board of directors through and including the applicable vesting date and subject to acceleration under certain conditions.

Read SEC document
July 28, 2022 Filed Aug 1, 2022 21:04 UTC
Korbel Gregory AlanSVP, Chief Operating Officer
GrantStock Option (right to Buy) · Derivative 35,700 $0.00 Strike: $1.09 $0.00
Disclosure

SEC source: 0001104659-22-084767 · tm2222147-6_4seq1.xml · derivative · entry 2

Korbel Gregory Alan · CIK 0001789032 · SVP, Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,700

Underlying: Common Stock · 35,700 shares

Expires 2032-07-28

F2 · derivative.exercise_date: Twenty-five percent of these options vest on July 28, 2023, with the remaining options vesting ratably over the following 36 months, subject to the reporting person's continued employment through and including the applicable vesting dates and subject to acceleration under certain conditions.

Read SEC document
July 28, 2022 Filed Aug 1, 2022 21:04 UTC
Korbel Gregory AlanSVP, Chief Operating Officer
GrantCommon Stock 24,300 $0.00 $0.00
Disclosure

SEC source: 0001104659-22-084767 · tm2222147-6_4seq1.xml · nonDerivative · entry 1

Korbel Gregory Alan · CIK 0001789032 · SVP, Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,762

F1 · shares: These shares represent restricted stock units which were granted on July 28, 2022, and which will vest and be settled in common stock as follows: (i) 8,100 shares on July 28, 2023, (ii) 8,100 shares on July 28, 2024 and (iii) 8,100 shares on July 28, 2025, subject to the reporting person's continued employment through and including the applicable vesting dates and subject to acceleration under certain conditions.

Read SEC document
June 03, 2022 Filed Jun 7, 2022 21:05 UTC
SCHADE CHRISTIAN SDirector · Chairman & CEO
Tax withholdingCommon Stock 65,770 $0.81 $52,944.85
Disclosure

SEC source: 0001104659-22-069015 · tm2217848-4_4seq1.xml · nonDerivative · entry 1

SCHADE CHRISTIAN S · CIK 0001214496 · Director · Chairman & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 226,846

F1 · shares: Represents shares withheld to satisfy tax withholding obligations in connection with the vesting of 180,934 restricted stock units.

Read SEC document
June 03, 2022 Filed Jun 7, 2022 17:02 UTC
Coiante Scott MDirector · SVP, Chief Financial Officer
Tax withholdingCommon Stock 35,284 $0.81 $28,403.62
Disclosure

SEC source: 0001104659-22-069009 · tm2217848-3_4seq1.xml · nonDerivative · entry 1

Coiante Scott M · CIK 0001608536 · Director · SVP, Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,265

F1 · shares: Represents shares withheld to satisfy tax withholding obligations in connection with the vesting of 86,067 restricted stock units.

Read SEC document
June 03, 2022 Filed Jun 7, 2022 21:01 UTC
Korbel Gregory AlanDirector · SVP, Chief Operating Officer
Tax withholdingCommon Stock 8,390 $0.81 $6,753.95
Disclosure

SEC source: 0001104659-22-069001 · tm2217848-2_4seq1.xml · nonDerivative · entry 1

Korbel Gregory Alan · CIK 0001789032 · Director · SVP, Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,462

F1 · shares: Represents shares withheld to satisfy tax withholding obligations in connection with the vesting of 24,334 restricted stock units

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.