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Nasdaq · USD

APVO

Aptevo Therapeutics Inc.

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8337
SEC CIK
0001671584
Parsed reports
238

Last 12 months

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1 purchase rows · 0 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
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MonthPurchasesSales
Nov 202510
Dec 202500
Jan 202600
Feb 202600
Mar 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
June 01, 2022 Filed Jun 3, 2022 19:16 UTC Exercise / conversionCommon Stock 298 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-22-033936 · doc4.xml · nonDerivative · entry 1

Abdun-Nabi Daniel · CIK 0001380187 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,108

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 · price: Restricted Stock Units ("RSUs") convert into common stock, $0.001 par value per share, of the Issuer on a one-for-one basis.

Read SEC document
June 01, 2022 Filed Jun 3, 2022 19:10 UTC Exercise / conversionRestricted Stock Unit · Derivative 298 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-033930 · doc4.xml · derivative · entry 2

Harsanyi Zsolt · CIK 0001380184 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 595

Underlying: Common Stock · 298 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_price: Restricted Stock Units ("RSUs") convert into common stock, $0.001 par value per share, of the Issuer on a one-for-one basis.

F3 · derivative.exercise_date: On June 1, 2021, the reporting person was granted 893 RSUs, vesting in three approximately equal annual installments beginning on June 1, 2022.

F3 · derivative.expiration_date: On June 1, 2021, the reporting person was granted 893 RSUs, vesting in three approximately equal annual installments beginning on June 1, 2022.

Read SEC document
June 01, 2022 Filed Jun 3, 2022 19:10 UTC Exercise / conversionCommon Stock 298 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-22-033930 · doc4.xml · nonDerivative · entry 1

Harsanyi Zsolt · CIK 0001380184 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,607

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 · price: Restricted Stock Units ("RSUs") convert into common stock, $0.001 par value per share, of the Issuer on a one-for-one basis.

F2 · balance_after: Shares beneficially owned by the reporting person were adjusted to include the following shares of the Issuer's common stock: (i) 210 shares that were inadvertently omitted from the Form 4 filed on August 5, 2016; and (ii) 527 shares that were originally disclosed in the Form 4 filed on August 5, 2016, but due to a mathematical error, were not included in the aggregate number of shares beneficially owned in the Form 4 filed on June 7, 2019. In each of subsections (i) and (ii) above, the number of shares were adjusted to reflect a 1-for-14 reverse stock split of the Issuer's common stock effective as of March 26, 2020.

Read SEC document
June 01, 2022 Filed Jun 3, 2022 19:01 UTC Exercise / conversionRestricted Stock Unit · Derivative 298 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-033924 · doc4.xml · derivative · entry 2

Kunz Barbara Lopez · CIK 0001679970 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 595

Underlying: Common Stock · 298 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_price: Restricted Stock Units ("RSUs") convert into common stock, $0.001 par value per share, of the Issuer on a one-for-one basis.

F2 · derivative.exercise_date: On June 1, 2021, the reporting person was granted 893 RSUs, vesting in three approximately equal annual installments beginning on June 1, 2022.

F2 · derivative.expiration_date: On June 1, 2021, the reporting person was granted 893 RSUs, vesting in three approximately equal annual installments beginning on June 1, 2022.

Read SEC document
June 01, 2022 Filed Jun 3, 2022 19:01 UTC Exercise / conversionCommon Stock 298 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-22-033924 · doc4.xml · nonDerivative · entry 1

Kunz Barbara Lopez · CIK 0001679970 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,012

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 · price: Restricted Stock Units ("RSUs") convert into common stock, $0.001 par value per share, of the Issuer on a one-for-one basis.

Read SEC document
June 01, 2022 Filed Jun 3, 2022 19:06 UTC Exercise / conversionRestricted Stock Unit · Derivative 298 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-033928 · doc4.xml · derivative · entry 4

Niederhuber John · CIK 0001501240 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 595

Underlying: Common Stock · 298 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.

F3 · derivative.exercise_price: Restricted Stock Units ("RSUs") convert into common stock, $0.001 par value per share, of the Issuer on a one-for-one basis.

F4 · derivative.exercise_date: On June 1, 2021, the reporting person was granted 893 RSUs, vesting in three approximately equal annual installments beginning on June 1, 2022.

F4 · derivative.expiration_date: On June 1, 2021, the reporting person was granted 893 RSUs, vesting in three approximately equal annual installments beginning on June 1, 2022.

Read SEC document
June 01, 2022 Filed Jun 3, 2022 19:06 UTC Exercise / conversionCommon Stock 298 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-22-033928 · doc4.xml · nonDerivative · entry 3

Niederhuber John · CIK 0001501240 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,814

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 · price: Restricted Stock Units ("RSUs") convert into common stock, $0.001 par value per share, of the Issuer on a one-for-one basis.

Read SEC document
June 01, 2022 Filed Jun 3, 2022 18:56 UTC Exercise / conversionRestricted Stock Unit · Derivative 298 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-033920 · doc4.xml · derivative · entry 2

Grant Grady III · CIK 0001679966 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 595

Underlying: Common Stock · 298 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_price: Restricted Stock Units ("RSUs") convert into common stock, $0.001 par value per share, of the Issuer on a one-for-one basis.

F2 · derivative.exercise_date: On June 1, 2021, the reporting person was granted 893 RSUs, vesting in three approximately equal annual installments beginning on June 1, 2022.

F2 · derivative.expiration_date: On June 1, 2021, the reporting person was granted 893 RSUs, vesting in three approximately equal annual installments beginning on June 1, 2022.

Read SEC document
June 01, 2022 Filed Jun 3, 2022 18:56 UTC Exercise / conversionCommon Stock 298 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-22-033920 · doc4.xml · nonDerivative · entry 1

Grant Grady III · CIK 0001679966 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,012

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 · price: Restricted Stock Units ("RSUs") convert into common stock, $0.001 par value per share, of the Issuer on a one-for-one basis.

Read SEC document
March 04, 2022 Filed Mar 4, 2022 23:07 UTC
Kwon SoYoungSVP, GC, and Corporate Affairs
GrantStock Option (right to buy) · Derivative 11,000 $0.00 Strike: $5.30 $0.00
Disclosure

SEC source: 0001209191-22-016448 · doc4.xml · derivative · entry 1

Kwon SoYoung · CIK 0001864406 · SVP, GC, and Corporate Affairs

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,000

Underlying: Common Stock · 11,000 shares

Expires 2032-03-03

F1 · derivative.exercise_date: The option vests in three approximately equal annual installments beginning on March 3, 2023.

Read SEC document
March 04, 2022 Filed Mar 4, 2022 23:13 UTC
White Marvin LDirector · President and CEO
GrantStock Option (right to buy) · Derivative 28,750 $0.00 Strike: $5.30 $0.00
Disclosure

SEC source: 0001209191-22-016457 · doc4.xml · derivative · entry 1

White Marvin L · CIK 0001493324 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,750

Underlying: Common Stock · 28,750 shares

Expires 2032-03-03

F1 · derivative.exercise_date: The option vests in three approximately equal annual installments beginning on March 3, 2023.

Read SEC document
March 04, 2022 Filed Mar 4, 2022 23:11 UTC GrantStock Option (right to buy) · Derivative 11,000 $0.00 Strike: $5.30 $0.00
Disclosure

SEC source: 0001209191-22-016453 · doc4.xml · derivative · entry 1

Lamothe Jeffrey G. · CIK 0001679967 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,000

Underlying: Common Stock · 11,000 shares

Expires 2032-03-03

F1 · derivative.exercise_date: The option vests in three approximately equal annual installments beginning on March 3, 2023.

Read SEC document
January 29, 2022 Filed Feb 1, 2022 23:01 UTC
White Marvin LDirector · President and CEO
Exercise / conversionRestricted Stock Unit · Derivative 4,792 $0.00 $0.00
Disclosure

SEC source: 0001019056-22-000114 · white.xml · derivative · entry 2

White Marvin L · CIK 0001493324 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,583

Underlying: Common Stock · 4,792 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_price: Restricted Stock Units ("RSUs") convert into common stock, $0.001 par value per share, of the Issuer on a one-for-one basis.

F2 · derivative.exercise_date: On January 29, 2021, the reporting person was granted 14,375 RSUs, vesting in three approximately equal annual installments beginning on January 29, 2022.

F2 · derivative.expiration_date: On January 29, 2021, the reporting person was granted 14,375 RSUs, vesting in three approximately equal annual installments beginning on January 29, 2022.

Read SEC document
January 29, 2022 Filed Feb 1, 2022 23:01 UTC
White Marvin LDirector · President and CEO
Exercise / conversionCommon Stock 4,792 Not disclosed Not disclosed
Disclosure

SEC source: 0001019056-22-000114 · white.xml · nonDerivative · entry 1

White Marvin L · CIK 0001493324 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,764

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 · price: Restricted Stock Units ("RSUs") convert into common stock, $0.001 par value per share, of the Issuer on a one-for-one basis.

Read SEC document
January 29, 2022 Filed Feb 1, 2022 23:00 UTC Exercise / conversionRestricted Stock Unit · Derivative 1,833 $0.00 $0.00
Disclosure

SEC source: 0001019056-22-000112 · lamothe.xml · derivative · entry 2

Lamothe Jeffrey G. · CIK 0001679967 · SVP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,667

Underlying: Common Stock · 1,833 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_price: Restricted Stock Units ("RSUs") convert into common stock, $0.001 par value per share, of the Issuer on a one-for-one basis.

F2 · derivative.exercise_date: On January 29, 2021, the reporting person was granted 5,500 RSUs, vesting in three approximately equal annual installments beginning on January 29, 2022.

F2 · derivative.expiration_date: On January 29, 2021, the reporting person was granted 5,500 RSUs, vesting in three approximately equal annual installments beginning on January 29, 2022.

Read SEC document
January 29, 2022 Filed Feb 1, 2022 23:00 UTC Exercise / conversionCommon Stock 1,833 Not disclosed Not disclosed
Disclosure

SEC source: 0001019056-22-000112 · lamothe.xml · nonDerivative · entry 1

Lamothe Jeffrey G. · CIK 0001679967 · SVP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,192

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 · price: Restricted Stock Units ("RSUs") convert into common stock, $0.001 par value per share, of the Issuer on a one-for-one basis.

Read SEC document
December 03, 2021 Filed Dec 8, 2021 02:09 UTC OtherCommon Stock 7,373 $0.00 $0.00
Disclosure

SEC source: 0001019056-21-000634 · elhibri.xml · nonDerivative · entry 3

El-Hibri Fuad · CIK 0001380185 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 7,373

F1 · kind: On December 3, 2021, each of Intervac L.L.C., a Maryland limited liability company ("Intervac"), and BioVac, L.L.C., a Maryland limited liability company ("BioVac"), effected a pro-rata liquidating distribution to their respective members of shares of the Issuer's common stock for no consideration (the "Distribution"). In prior reports filed by the reporting person pursuant to Section 16, the reporting person reported indirect beneficial ownership over shares of the Issuer's common stock held by Intervac and BioVac. After giving effect to the Distribution, the reporting person no longer has beneficial ownership over 5,880 shares of the Issuer's common stock that was previously reported as beneficially owned by BioVac.

F4 · ownership.nature: Held by the El-Hibri Decedents Trust, for which the reporting person serves as the Trustee. The reporting person expressly disclaims beneficial ownership of any shares of the Issuer's common stock owned by the El-Hibri Decedents Trust except to the extent of his pecuniary interest therein.

Read SEC document
December 03, 2021 Filed Dec 8, 2021 02:09 UTC OtherCommon Stock 9,819 $0.00 $0.00
Disclosure

SEC source: 0001019056-21-000634 · elhibri.xml · nonDerivative · entry 2

El-Hibri Fuad · CIK 0001380185 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 9,819

F1 · kind: On December 3, 2021, each of Intervac L.L.C., a Maryland limited liability company ("Intervac"), and BioVac, L.L.C., a Maryland limited liability company ("BioVac"), effected a pro-rata liquidating distribution to their respective members of shares of the Issuer's common stock for no consideration (the "Distribution"). In prior reports filed by the reporting person pursuant to Section 16, the reporting person reported indirect beneficial ownership over shares of the Issuer's common stock held by Intervac and BioVac. After giving effect to the Distribution, the reporting person no longer has beneficial ownership over 5,880 shares of the Issuer's common stock that was previously reported as beneficially owned by BioVac.

F3 · ownership.nature: Held by the El-Hibri Family Trust, for which the reporting person's wife serves as the Trustee. The reporting person expressly disclaims beneficial ownership of any shares of the Issuer's common stock owned by the El-Hibri Family Trust except to the extent of his pecuniary interest therein.

Read SEC document
December 03, 2021 Filed Dec 8, 2021 02:09 UTC OtherCommon Stock 107,807 $0.00 $0.00
Disclosure

SEC source: 0001019056-21-000634 · elhibri.xml · nonDerivative · entry 1

El-Hibri Fuad · CIK 0001380185 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 107,807

F1 · kind: On December 3, 2021, each of Intervac L.L.C., a Maryland limited liability company ("Intervac"), and BioVac, L.L.C., a Maryland limited liability company ("BioVac"), effected a pro-rata liquidating distribution to their respective members of shares of the Issuer's common stock for no consideration (the "Distribution"). In prior reports filed by the reporting person pursuant to Section 16, the reporting person reported indirect beneficial ownership over shares of the Issuer's common stock held by Intervac and BioVac. After giving effect to the Distribution, the reporting person no longer has beneficial ownership over 5,880 shares of the Issuer's common stock that was previously reported as beneficially owned by BioVac.

F2 · ownership.nature: Held by the Yahia Fuad El-Hibri Revocable Trust, for which the reporting person serves as the Trustee. Comprised of (i) 59,253 shares of the Issuer's common stock previously reported as beneficially owned by Intervac and (ii) 48,554 shares of the Issuer's common stock previously reported as beneficially owned by BioVac. The reporting person expressly disclaims beneficial ownership of any shares of the Issuer's common stock owned by the Yahia Fuad El-Hibri Revocable Trust except to the extent of his pecuniary interest therein.

Read SEC document
November 23, 2021 Filed Nov 26, 2021 18:02 UTC
TANG KEVINExit Filing
SaleCommon Stock 160,000 $9.60 $1,536,560.00
Disclosure

SEC source: 0001209191-21-066910 · doc4.xml · nonDerivative · entry 7

TANG KEVIN C · CIK 0001178579 · Exit Filing

TANG CAPITAL MANAGEMENT LLC · CIK 0001232621 · Exit Filing

TANG CAPITAL PARTNERS LP · CIK 0001191935 · Exit Filing

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By LP

Disclosed balance after: 0

F8 · price: The prices reported in Column 4 are weighted-average prices. These shares were sold in multiple transactions at prices ranging from $9.50 to $10.20.

F2 · ownership.direct: The shares are beneficially owned by Tang Capital Partners, LP ("TCP"). Kevin Tang is the sole manager of Tang Capital Management, LLC ("TCM"), which is the general partner of TCP. Mr. Tang has a pecuniary interest in a portion of the shares beneficially held by TCP.

F2 · ownership.nature: The shares are beneficially owned by Tang Capital Partners, LP ("TCP"). Kevin Tang is the sole manager of Tang Capital Management, LLC ("TCM"), which is the general partner of TCP. Mr. Tang has a pecuniary interest in a portion of the shares beneficially held by TCP.

Read SEC document
November 23, 2021 Filed Nov 26, 2021 18:02 UTC
TANG KEVINExit Filing
SaleCommon Stock 200,000 $10.07 $2,014,440.00
Disclosure

SEC source: 0001209191-21-066910 · doc4.xml · nonDerivative · entry 6

TANG KEVIN C · CIK 0001178579 · Exit Filing

TANG CAPITAL MANAGEMENT LLC · CIK 0001232621 · Exit Filing

TANG CAPITAL PARTNERS LP · CIK 0001191935 · Exit Filing

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By LP

Disclosed balance after: 160,000

F7 · price: The prices reported in Column 4 are weighted-average prices. These shares were sold in multiple transactions at prices ranging from $9.59 to $10.34.

F2 · ownership.direct: The shares are beneficially owned by Tang Capital Partners, LP ("TCP"). Kevin Tang is the sole manager of Tang Capital Management, LLC ("TCM"), which is the general partner of TCP. Mr. Tang has a pecuniary interest in a portion of the shares beneficially held by TCP.

F2 · ownership.nature: The shares are beneficially owned by Tang Capital Partners, LP ("TCP"). Kevin Tang is the sole manager of Tang Capital Management, LLC ("TCM"), which is the general partner of TCP. Mr. Tang has a pecuniary interest in a portion of the shares beneficially held by TCP.

Read SEC document
November 23, 2021 Filed Nov 26, 2021 18:02 UTC
TANG KEVINExit Filing
SaleCommon Stock 50,889 $10.43 $530,665.40
Disclosure

SEC source: 0001209191-21-066910 · doc4.xml · nonDerivative · entry 5

TANG KEVIN C · CIK 0001178579 · Exit Filing

TANG CAPITAL MANAGEMENT LLC · CIK 0001232621 · Exit Filing

TANG CAPITAL PARTNERS LP · CIK 0001191935 · Exit Filing

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By LP

Disclosed balance after: 360,000

F6 · price: The prices reported in Column 4 are weighted-average prices. These shares were sold in multiple transactions at prices ranging from $10.31 to $10.64.

F2 · ownership.direct: The shares are beneficially owned by Tang Capital Partners, LP ("TCP"). Kevin Tang is the sole manager of Tang Capital Management, LLC ("TCM"), which is the general partner of TCP. Mr. Tang has a pecuniary interest in a portion of the shares beneficially held by TCP.

F2 · ownership.nature: The shares are beneficially owned by Tang Capital Partners, LP ("TCP"). Kevin Tang is the sole manager of Tang Capital Management, LLC ("TCM"), which is the general partner of TCP. Mr. Tang has a pecuniary interest in a portion of the shares beneficially held by TCP.

Read SEC document
November 23, 2021 Filed Nov 26, 2021 18:02 UTC
TANG KEVINExit Filing
SaleCommon Stock 149,111 $11.19 $1,668,432.80
Disclosure

SEC source: 0001209191-21-066910 · doc4.xml · nonDerivative · entry 4

TANG KEVIN C · CIK 0001178579 · Exit Filing

TANG CAPITAL MANAGEMENT LLC · CIK 0001232621 · Exit Filing

TANG CAPITAL PARTNERS LP · CIK 0001191935 · Exit Filing

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By LP

Disclosed balance after: 410,889

F5 · price: The prices reported in Column 4 are weighted-average prices. These shares were sold in multiple transactions at prices ranging from $10.74 to $11.67.

F2 · ownership.direct: The shares are beneficially owned by Tang Capital Partners, LP ("TCP"). Kevin Tang is the sole manager of Tang Capital Management, LLC ("TCM"), which is the general partner of TCP. Mr. Tang has a pecuniary interest in a portion of the shares beneficially held by TCP.

F2 · ownership.nature: The shares are beneficially owned by Tang Capital Partners, LP ("TCP"). Kevin Tang is the sole manager of Tang Capital Management, LLC ("TCM"), which is the general partner of TCP. Mr. Tang has a pecuniary interest in a portion of the shares beneficially held by TCP.

Read SEC document
November 23, 2021 Filed Nov 26, 2021 18:02 UTC
TANG KEVINExit Filing
SaleCommon Stock 75,491 $11.74 $886,430.42
Disclosure

SEC source: 0001209191-21-066910 · doc4.xml · nonDerivative · entry 3

TANG KEVIN C · CIK 0001178579 · Exit Filing

TANG CAPITAL MANAGEMENT LLC · CIK 0001232621 · Exit Filing

TANG CAPITAL PARTNERS LP · CIK 0001191935 · Exit Filing

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By LP

Disclosed balance after: 560,000

F4 · price: The prices reported in Column 4 are weighted-average prices. These shares were sold in multiple transactions at prices ranging from $11.59 to $11.89.

F2 · ownership.direct: The shares are beneficially owned by Tang Capital Partners, LP ("TCP"). Kevin Tang is the sole manager of Tang Capital Management, LLC ("TCM"), which is the general partner of TCP. Mr. Tang has a pecuniary interest in a portion of the shares beneficially held by TCP.

F2 · ownership.nature: The shares are beneficially owned by Tang Capital Partners, LP ("TCP"). Kevin Tang is the sole manager of Tang Capital Management, LLC ("TCM"), which is the general partner of TCP. Mr. Tang has a pecuniary interest in a portion of the shares beneficially held by TCP.

Read SEC document
November 23, 2021 Filed Nov 26, 2021 18:02 UTC
TANG KEVINExit Filing
SaleCommon Stock 124,509 $12.45 $1,550,186.85
Disclosure

SEC source: 0001209191-21-066910 · doc4.xml · nonDerivative · entry 2

TANG KEVIN C · CIK 0001178579 · Exit Filing

TANG CAPITAL MANAGEMENT LLC · CIK 0001232621 · Exit Filing

TANG CAPITAL PARTNERS LP · CIK 0001191935 · Exit Filing

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By LP

Disclosed balance after: 635,491

F3 · price: The prices reported in Column 4 are weighted-average prices. These shares were sold in multiple transactions at prices ranging from $11.97 to $12.90.

F2 · ownership.direct: The shares are beneficially owned by Tang Capital Partners, LP ("TCP"). Kevin Tang is the sole manager of Tang Capital Management, LLC ("TCM"), which is the general partner of TCP. Mr. Tang has a pecuniary interest in a portion of the shares beneficially held by TCP.

F2 · ownership.nature: The shares are beneficially owned by Tang Capital Partners, LP ("TCP"). Kevin Tang is the sole manager of Tang Capital Management, LLC ("TCM"), which is the general partner of TCP. Mr. Tang has a pecuniary interest in a portion of the shares beneficially held by TCP.

Read SEC document
November 23, 2021 Filed Nov 26, 2021 18:02 UTC
TANG KEVINExit Filing
SaleCommon Stock 161,336 $13.52 $2,181,520.86
Disclosure

SEC source: 0001209191-21-066910 · doc4.xml · nonDerivative · entry 1

TANG KEVIN C · CIK 0001178579 · Exit Filing

TANG CAPITAL MANAGEMENT LLC · CIK 0001232621 · Exit Filing

TANG CAPITAL PARTNERS LP · CIK 0001191935 · Exit Filing

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By LP

Disclosed balance after: 760,000

F1 · price: The prices reported in Column 4 are weighted average prices. These shares were sold in multiple transactions at prices ranging from $13.29 to $13.77. The Reporting Persons undertake to provide the Issuer, any security holder of the Issuer or the SEC Staff, upon request, full information regarding the number of shares sold at each price within the ranges set forth in footnotes 1 and 3 through 8 herein.

F2 · ownership.direct: The shares are beneficially owned by Tang Capital Partners, LP ("TCP"). Kevin Tang is the sole manager of Tang Capital Management, LLC ("TCM"), which is the general partner of TCP. Mr. Tang has a pecuniary interest in a portion of the shares beneficially held by TCP.

F2 · ownership.nature: The shares are beneficially owned by Tang Capital Partners, LP ("TCP"). Kevin Tang is the sole manager of Tang Capital Management, LLC ("TCM"), which is the general partner of TCP. Mr. Tang has a pecuniary interest in a portion of the shares beneficially held by TCP.

Read SEC document
November 22, 2021 Filed Nov 22, 2021 22:26 UTC
TANG KEVIN10% owner
SaleCommon Stock 38,664 $6.55 $253,372.92
Disclosure

SEC source: 0001209191-21-066146 · doc4.xml · nonDerivative · entry 10

TANG KEVIN C · CIK 0001178579 · 10% owner

TANG CAPITAL MANAGEMENT LLC · CIK 0001232621 · 10% owner

TANG CAPITAL PARTNERS LP · CIK 0001191935 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By LP

Disclosed balance after: 921,336

F11 · price: The prices reported in Column 4 are weighted-average prices. These shares were sold in multiple transactions at prices ranging from $6.50 to $6.71.

F2 · ownership.direct: The shares are beneficially owned by Tang Capital Partners, LP ("TCP"). Kevin Tang is the sole manager of Tang Capital Management, LLC ("TCM"), which is the general partner of TCP. Mr. Tang has a pecuniary interest in a portion of the shares beneficially held by TCP.

F2 · ownership.nature: The shares are beneficially owned by Tang Capital Partners, LP ("TCP"). Kevin Tang is the sole manager of Tang Capital Management, LLC ("TCM"), which is the general partner of TCP. Mr. Tang has a pecuniary interest in a portion of the shares beneficially held by TCP.

Read SEC document
November 22, 2021 Filed Nov 22, 2021 22:26 UTC
TANG KEVIN10% owner
SaleCommon Stock 3,719 $6.66 $24,778.58
Disclosure

SEC source: 0001209191-21-066146 · doc4.xml · nonDerivative · entry 9

TANG KEVIN C · CIK 0001178579 · 10% owner

TANG CAPITAL MANAGEMENT LLC · CIK 0001232621 · 10% owner

TANG CAPITAL PARTNERS LP · CIK 0001191935 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By LP

Disclosed balance after: 960,000

F10 · price: The prices reported in Column 4 are weighted-average prices. These shares were sold in multiple transactions at prices ranging from $6.66 to $6.68.

F2 · ownership.direct: The shares are beneficially owned by Tang Capital Partners, LP ("TCP"). Kevin Tang is the sole manager of Tang Capital Management, LLC ("TCM"), which is the general partner of TCP. Mr. Tang has a pecuniary interest in a portion of the shares beneficially held by TCP.

F2 · ownership.nature: The shares are beneficially owned by Tang Capital Partners, LP ("TCP"). Kevin Tang is the sole manager of Tang Capital Management, LLC ("TCM"), which is the general partner of TCP. Mr. Tang has a pecuniary interest in a portion of the shares beneficially held by TCP.

Read SEC document
November 22, 2021 Filed Nov 22, 2021 22:26 UTC
TANG KEVIN10% owner
SaleCommon Stock 196,281 $7.11 $1,395,184.98
Disclosure

SEC source: 0001209191-21-066146 · doc4.xml · nonDerivative · entry 8

TANG KEVIN C · CIK 0001178579 · 10% owner

TANG CAPITAL MANAGEMENT LLC · CIK 0001232621 · 10% owner

TANG CAPITAL PARTNERS LP · CIK 0001191935 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By LP

Disclosed balance after: 963,719

F9 · price: The prices reported in Column 4 are weighted-average prices. These shares were sold in multiple transactions at prices ranging from $6.69 to $7.69.

F2 · ownership.direct: The shares are beneficially owned by Tang Capital Partners, LP ("TCP"). Kevin Tang is the sole manager of Tang Capital Management, LLC ("TCM"), which is the general partner of TCP. Mr. Tang has a pecuniary interest in a portion of the shares beneficially held by TCP.

F2 · ownership.nature: The shares are beneficially owned by Tang Capital Partners, LP ("TCP"). Kevin Tang is the sole manager of Tang Capital Management, LLC ("TCM"), which is the general partner of TCP. Mr. Tang has a pecuniary interest in a portion of the shares beneficially held by TCP.

Read SEC document
November 22, 2021 Filed Nov 22, 2021 22:26 UTC
TANG KEVIN10% owner
SaleCommon Stock 16,667 $7.36 $122,650.79
Disclosure

SEC source: 0001209191-21-066146 · doc4.xml · nonDerivative · entry 7

TANG KEVIN C · CIK 0001178579 · 10% owner

TANG CAPITAL MANAGEMENT LLC · CIK 0001232621 · 10% owner

TANG CAPITAL PARTNERS LP · CIK 0001191935 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By LP

Disclosed balance after: 1,160,000

F8 · price: The prices reported in Column 4 are weighted-average prices. These shares were sold in multiple transactions at prices ranging from $7.20 to $7.54.

F2 · ownership.direct: The shares are beneficially owned by Tang Capital Partners, LP ("TCP"). Kevin Tang is the sole manager of Tang Capital Management, LLC ("TCM"), which is the general partner of TCP. Mr. Tang has a pecuniary interest in a portion of the shares beneficially held by TCP.

F2 · ownership.nature: The shares are beneficially owned by Tang Capital Partners, LP ("TCP"). Kevin Tang is the sole manager of Tang Capital Management, LLC ("TCM"), which is the general partner of TCP. Mr. Tang has a pecuniary interest in a portion of the shares beneficially held by TCP.

Read SEC document
November 19, 2021 Filed Nov 22, 2021 22:26 UTC
TANG KEVIN10% owner
SaleCommon Stock 183,333 $7.52 $1,378,755.83
Disclosure

SEC source: 0001209191-21-066146 · doc4.xml · nonDerivative · entry 6

TANG KEVIN C · CIK 0001178579 · 10% owner

TANG CAPITAL MANAGEMENT LLC · CIK 0001232621 · 10% owner

TANG CAPITAL PARTNERS LP · CIK 0001191935 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By LP

Disclosed balance after: 1,176,667

F7 · price: The prices reported in Column 4 are weighted-average prices. These shares were sold in multiple transactions at prices ranging from $7.20 to $8.09.

F2 · ownership.direct: The shares are beneficially owned by Tang Capital Partners, LP ("TCP"). Kevin Tang is the sole manager of Tang Capital Management, LLC ("TCM"), which is the general partner of TCP. Mr. Tang has a pecuniary interest in a portion of the shares beneficially held by TCP.

F2 · ownership.nature: The shares are beneficially owned by Tang Capital Partners, LP ("TCP"). Kevin Tang is the sole manager of Tang Capital Management, LLC ("TCM"), which is the general partner of TCP. Mr. Tang has a pecuniary interest in a portion of the shares beneficially held by TCP.

Read SEC document
November 19, 2021 Filed Nov 22, 2021 22:26 UTC
TANG KEVIN10% owner
SaleCommon Stock 30,467 $8.01 $244,110.74
Disclosure

SEC source: 0001209191-21-066146 · doc4.xml · nonDerivative · entry 5

TANG KEVIN C · CIK 0001178579 · 10% owner

TANG CAPITAL MANAGEMENT LLC · CIK 0001232621 · 10% owner

TANG CAPITAL PARTNERS LP · CIK 0001191935 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By LP

Disclosed balance after: 1,360,000

F6 · price: The prices reported in Column 4 are weighted-average prices. These shares were sold in multiple transactions at prices ranging from $7.78 to $8.15.

F2 · ownership.direct: The shares are beneficially owned by Tang Capital Partners, LP ("TCP"). Kevin Tang is the sole manager of Tang Capital Management, LLC ("TCM"), which is the general partner of TCP. Mr. Tang has a pecuniary interest in a portion of the shares beneficially held by TCP.

F2 · ownership.nature: The shares are beneficially owned by Tang Capital Partners, LP ("TCP"). Kevin Tang is the sole manager of Tang Capital Management, LLC ("TCM"), which is the general partner of TCP. Mr. Tang has a pecuniary interest in a portion of the shares beneficially held by TCP.

Read SEC document
November 18, 2021 Filed Nov 22, 2021 22:26 UTC
TANG KEVIN10% owner
SaleCommon Stock 169,533 $8.09 $1,372,318.78
Disclosure

SEC source: 0001209191-21-066146 · doc4.xml · nonDerivative · entry 4

TANG KEVIN C · CIK 0001178579 · 10% owner

TANG CAPITAL MANAGEMENT LLC · CIK 0001232621 · 10% owner

TANG CAPITAL PARTNERS LP · CIK 0001191935 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By LP

Disclosed balance after: 1,390,467

F5 · price: The prices reported in Column 4 are weighted-average prices. These shares were sold in multiple transactions at prices ranging from $8.00 to $8.34.

F2 · ownership.direct: The shares are beneficially owned by Tang Capital Partners, LP ("TCP"). Kevin Tang is the sole manager of Tang Capital Management, LLC ("TCM"), which is the general partner of TCP. Mr. Tang has a pecuniary interest in a portion of the shares beneficially held by TCP.

F2 · ownership.nature: The shares are beneficially owned by Tang Capital Partners, LP ("TCP"). Kevin Tang is the sole manager of Tang Capital Management, LLC ("TCM"), which is the general partner of TCP. Mr. Tang has a pecuniary interest in a portion of the shares beneficially held by TCP.

Read SEC document
November 18, 2021 Filed Nov 22, 2021 22:26 UTC
TANG KEVIN10% owner
SaleCommon Stock 4,023 $8.00 $32,190.03
Disclosure

SEC source: 0001209191-21-066146 · doc4.xml · nonDerivative · entry 3

TANG KEVIN C · CIK 0001178579 · 10% owner

TANG CAPITAL MANAGEMENT LLC · CIK 0001232621 · 10% owner

TANG CAPITAL PARTNERS LP · CIK 0001191935 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By LP

Disclosed balance after: 1,560,000

F4 · price: The prices reported in Column 4 are weighted-average prices. These shares were sold in multiple transactions at prices ranging from $8.00 to $8.01.

F2 · ownership.direct: The shares are beneficially owned by Tang Capital Partners, LP ("TCP"). Kevin Tang is the sole manager of Tang Capital Management, LLC ("TCM"), which is the general partner of TCP. Mr. Tang has a pecuniary interest in a portion of the shares beneficially held by TCP.

F2 · ownership.nature: The shares are beneficially owned by Tang Capital Partners, LP ("TCP"). Kevin Tang is the sole manager of Tang Capital Management, LLC ("TCM"), which is the general partner of TCP. Mr. Tang has a pecuniary interest in a portion of the shares beneficially held by TCP.

Read SEC document
November 18, 2021 Filed Nov 22, 2021 22:26 UTC
TANG KEVIN10% owner
SaleCommon Stock 152,764 $8.32 $1,271,515.88
Disclosure

SEC source: 0001209191-21-066146 · doc4.xml · nonDerivative · entry 2

TANG KEVIN C · CIK 0001178579 · 10% owner

TANG CAPITAL MANAGEMENT LLC · CIK 0001232621 · 10% owner

TANG CAPITAL PARTNERS LP · CIK 0001191935 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By LP

Disclosed balance after: 1,564,023

F3 · price: The prices reported in Column 4 are weighted-average prices. These shares were sold in multiple transactions at prices ranging from $8.04 to $9.04.

F2 · ownership.direct: The shares are beneficially owned by Tang Capital Partners, LP ("TCP"). Kevin Tang is the sole manager of Tang Capital Management, LLC ("TCM"), which is the general partner of TCP. Mr. Tang has a pecuniary interest in a portion of the shares beneficially held by TCP.

F2 · ownership.nature: The shares are beneficially owned by Tang Capital Partners, LP ("TCP"). Kevin Tang is the sole manager of Tang Capital Management, LLC ("TCM"), which is the general partner of TCP. Mr. Tang has a pecuniary interest in a portion of the shares beneficially held by TCP.

Read SEC document
November 18, 2021 Filed Nov 22, 2021 22:26 UTC
TANG KEVIN10% owner
SaleCommon Stock 43,213 $9.38 $405,532.40
Disclosure

SEC source: 0001209191-21-066146 · doc4.xml · nonDerivative · entry 1

TANG KEVIN C · CIK 0001178579 · 10% owner

TANG CAPITAL MANAGEMENT LLC · CIK 0001232621 · 10% owner

TANG CAPITAL PARTNERS LP · CIK 0001191935 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By LP

Disclosed balance after: 1,716,787

F1 · price: The prices reported in Column 4 are weighted average prices. These shares were sold in multiple transactions at prices ranging from $9.05 to $10.05. The Reporting Persons undertake to provide the Issuer, any security holder of the Issuer or the SEC Staff, upon request, full information regarding the number of shares sold at each price within the ranges set forth in footnotes 1 and 3 through 11 herein.

F2 · ownership.direct: The shares are beneficially owned by Tang Capital Partners, LP ("TCP"). Kevin Tang is the sole manager of Tang Capital Management, LLC ("TCM"), which is the general partner of TCP. Mr. Tang has a pecuniary interest in a portion of the shares beneficially held by TCP.

F2 · ownership.nature: The shares are beneficially owned by Tang Capital Partners, LP ("TCP"). Kevin Tang is the sole manager of Tang Capital Management, LLC ("TCM"), which is the general partner of TCP. Mr. Tang has a pecuniary interest in a portion of the shares beneficially held by TCP.

Read SEC document
June 01, 2021 Filed Jun 2, 2021 23:31 UTC
Kwon SoYoungSee Remarks
GrantRestricted Stock Unit · Derivative 5,500 $0.00 $0.00
Disclosure

SEC source: 0001019056-21-000351 · kwon.xml · derivative · entry 2

Kwon SoYoung · CIK 0001864406 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,500

Underlying: Common Stock · 5,500 shares

Expires not disclosed

F2 · derivative.exercise_price: Restricted stock units (the "RSUs") convert into shares of the Issuer's common stock on a one-for-one basis.

F3 · derivative.exercise_date: The RSUs vest in three approximately equal annual installments beginning on June 1, 2022.

F3 · derivative.expiration_date: The RSUs vest in three approximately equal annual installments beginning on June 1, 2022.

Read SEC document
June 01, 2021 Filed Jun 2, 2021 23:31 UTC
Kwon SoYoungSee Remarks
GrantEmployee Stock Option (right to buy) · Derivative 16,500 $0.00 Strike: $26.15 $0.00
Disclosure

SEC source: 0001019056-21-000351 · kwon.xml · derivative · entry 1

Kwon SoYoung · CIK 0001864406 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,500

Underlying: Common Stock · 16,500 shares

Expires 2031-06-01

F1 · derivative.exercise_date: The option vests in three approximately equal annual installments beginning on June 1, 2022.

Read SEC document
June 01, 2021 Filed Jun 2, 2021 23:35 UTC GrantRestricted Stock Unit · Derivative 893 $0.00 $0.00
Disclosure

SEC source: 0001019056-21-000359 · niederhuber.xml · derivative · entry 2

Niederhuber John · CIK 0001501240 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 893

Underlying: Common Stock · 893 shares

Expires not disclosed

F2 · derivative.exercise_price: Restricted stock units (the "RSUs") convert into shares of the Issuer's common stock on a one-for-one basis.

F3 · derivative.exercise_date: The RSUs vest in three approximately equal annual installments beginning on June 1, 2022.

F3 · derivative.expiration_date: The RSUs vest in three approximately equal annual installments beginning on June 1, 2022.

Read SEC document
June 01, 2021 Filed Jun 2, 2021 23:35 UTC GrantStock Option (right to buy) · Derivative 2,678 $0.00 Strike: $26.15 $0.00
Disclosure

SEC source: 0001019056-21-000359 · niederhuber.xml · derivative · entry 1

Niederhuber John · CIK 0001501240 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,678

Underlying: Common Stock · 2,678 shares

Expires 2031-06-01

F1 · derivative.exercise_date: The option vests in three approximately equal annual installments beginning on June 1, 2022.

Read SEC document
June 01, 2021 Filed Jun 2, 2021 23:34 UTC GrantRestricted Stock Unit · Derivative 893 $0.00 $0.00
Disclosure

SEC source: 0001019056-21-000358 · kunz.xml · derivative · entry 2

Kunz Barbara Lopez · CIK 0001679970 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 893

Underlying: Common Stock · 893 shares

Expires not disclosed

F2 · derivative.exercise_price: Restricted stock units (the "RSUs") convert into shares of the Issuer's common stock on a one-for-one basis.

F3 · derivative.exercise_date: The RSUs vest in three approximately equal annual installments beginning on June 1, 2022.

F3 · derivative.expiration_date: The RSUs vest in three approximately equal annual installments beginning on June 1, 2022.

Read SEC document
June 01, 2021 Filed Jun 2, 2021 23:34 UTC GrantStock Option (right to buy) · Derivative 2,678 $0.00 Strike: $26.15 $0.00
Disclosure

SEC source: 0001019056-21-000358 · kunz.xml · derivative · entry 1

Kunz Barbara Lopez · CIK 0001679970 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,678

Underlying: Common Stock · 2,678 shares

Expires 2031-06-01

F1 · derivative.exercise_date: The option vests in three approximately equal annual installments beginning on June 1, 2022.

Read SEC document
June 01, 2021 Filed Jun 2, 2021 23:34 UTC GrantRestricted Stock Unit · Derivative 893 $0.00 $0.00
Disclosure

SEC source: 0001019056-21-000357 · harsanyi.xml · derivative · entry 2

Harsanyi Zsolt · CIK 0001380184 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 893

Underlying: Common Stock · 893 shares

Expires not disclosed

F2 · derivative.exercise_price: Restricted stock units (the "RSUs") convert into shares of the Issuer's common stock on a one-for-one basis.

F3 · derivative.exercise_date: The RSUs vest in three approximately equal annual installments beginning on June 1, 2022.

F3 · derivative.expiration_date: The RSUs vest in three approximately equal annual installments beginning on June 1, 2022.

Read SEC document
June 01, 2021 Filed Jun 2, 2021 23:34 UTC GrantStock Option (right to buy) · Derivative 2,678 $0.00 Strike: $26.15 $0.00
Disclosure

SEC source: 0001019056-21-000357 · harsanyi.xml · derivative · entry 1

Harsanyi Zsolt · CIK 0001380184 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,678

Underlying: Common Stock · 2,678 shares

Expires 2031-06-01

F1 · derivative.exercise_date: The option vests in three approximately equal annual installments beginning on June 1, 2022.

Read SEC document
June 01, 2021 Filed Jun 2, 2021 23:33 UTC GrantRestricted Stock Unit · Derivative 893 $0.00 $0.00
Disclosure

SEC source: 0001019056-21-000356 · grant.xml · derivative · entry 2

Grant Grady III · CIK 0001679966 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 893

Underlying: Common Stock · 893 shares

Expires not disclosed

F2 · derivative.exercise_price: Restricted stock units (the "RSUs") convert into shares of the Issuer's common stock on a one-for-one basis.

F3 · derivative.exercise_date: The RSUs vest in three approximately equal annual installments beginning on June 1, 2022.

F3 · derivative.expiration_date: The RSUs vest in three approximately equal annual installments beginning on June 1, 2022.

Read SEC document
June 01, 2021 Filed Jun 2, 2021 23:33 UTC GrantStock Option (right to buy) · Derivative 2,678 $0.00 Strike: $26.15 $0.00
Disclosure

SEC source: 0001019056-21-000356 · grant.xml · derivative · entry 1

Grant Grady III · CIK 0001679966 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,678

Underlying: Common Stock · 2,678 shares

Expires 2031-06-01

F1 · derivative.exercise_date: The option vests in three approximately equal annual installments beginning on June 1, 2022.

Read SEC document
June 01, 2021 Filed Jun 2, 2021 23:33 UTC GrantRestricted Stock Unit · Derivative 893 $0.00 $0.00
Disclosure

SEC source: 0001019056-21-000355 · elhibri.xml · derivative · entry 2

El-Hibri Fuad · CIK 0001380185 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 893

Underlying: Common Stock · 893 shares

Expires not disclosed

F2 · derivative.exercise_price: Restricted stock units (the "RSUs") convert into shares of the Issuer's common stock on a one-for-one basis.

F3 · derivative.exercise_date: The RSUs vest in three approximately equal annual installments beginning on June 1, 2022.

F3 · derivative.expiration_date: The RSUs vest in three approximately equal annual installments beginning on June 1, 2022.

Read SEC document
June 01, 2021 Filed Jun 2, 2021 23:33 UTC GrantStock Option (right to buy) · Derivative 2,678 $0.00 Strike: $26.15 $0.00
Disclosure

SEC source: 0001019056-21-000355 · elhibri.xml · derivative · entry 1

El-Hibri Fuad · CIK 0001380185 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,678

Underlying: Common Stock · 2,678 shares

Expires 2031-06-01

F1 · derivative.exercise_date: The option vests in three approximately equal annual installments beginning on June 1, 2022.

Read SEC document
June 01, 2021 Filed Jun 2, 2021 23:32 UTC GrantRestricted Stock Unit · Derivative 893 $0.00 $0.00
Disclosure

SEC source: 0001019056-21-000353 · abdunnabi.xml · derivative · entry 2

Abdun-Nabi Daniel · CIK 0001380187 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 893

Underlying: Common Stock · 893 shares

Expires not disclosed

F2 · derivative.exercise_price: Restricted stock units (the "RSUs") convert into shares of the Issuer's common stock on a one-for-one basis.

F3 · derivative.exercise_date: The RSUs vest in three approximately equal annual installments beginning on June 1, 2022.

F3 · derivative.expiration_date: The RSUs vest in three approximately equal annual installments beginning on June 1, 2022.

Read SEC document
June 01, 2021 Filed Jun 2, 2021 23:32 UTC GrantStock Option (right to buy) · Derivative 2,678 $0.00 Strike: $26.15 $0.00
Disclosure

SEC source: 0001019056-21-000353 · abdunnabi.xml · derivative · entry 1

Abdun-Nabi Daniel · CIK 0001380187 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,678

Underlying: Common Stock · 2,678 shares

Expires 2031-06-01

F1 · derivative.exercise_date: The option vests in three approximately equal annual installments beginning on June 1, 2022.

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.