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Nasdaq · USD

APVO

Aptevo Therapeutics Inc.

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8337
SEC CIK
0001671584
Parsed reports
238

Last 12 months

Inside the activity.

1 purchase rows · 0 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202510
Dec 202500
Jan 202600
Feb 202600
Mar 202600
Apr 202600
May 202600
Jun 202600
Jul 202600
Aug 202600
Sep 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
February 28, 2019 Filed Mar 5, 2019 02:03 UTC
Adelman MichaelSVP, Commercial Operations
GrantStock Option (right to buy) · Derivative 67,400 $0.00 Strike: $1.52 $0.00
Disclosure

SEC source: 0001019056-19-000174 · adelman.xml · derivative · entry 3

Adelman Michael · CIK 0001749435 · SVP, Commercial Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,400

Underlying: Common Stock · 67,400 shares

Expires 2029-02-28

F2 · derivative.exercise_date: The options vest in three approximately equal annual installments beginning on February 28, 2020.

Read SEC document
December 06, 2018 Filed Dec 7, 2018 18:28 UTC
Maddux Randy JoeSVP Operations
PurchaseCommon Stock 5,000 $2.37 $11,850.00
Disclosure

SEC source: 0001019056-18-001118 · white_4.xml · nonDerivative · entry 1

Maddux Randy Joe · CIK 0001683826 · SVP Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Read SEC document
December 04, 2018 Filed Dec 6, 2018 15:23 UTC
White Marvin LDirector · President and CEO
PurchaseCommon Stock 10,000 $2.38 $23,800.00
Disclosure

SEC source: 0001019056-18-001110 · white_4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 203,603

F1 · price: The purchase price of $2.38 is reflective of the weighted average purchase price. The prices for the transactions reported on this line range from $2.38 to $2.39. Mr. White undertakes to provide, upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares purchased at each separate price.

Read SEC document
August 09, 2018 Filed Aug 13, 2018 20:45 UTC
Mitchell ShawnteSVP, GC and Corporate Affairs
Exercise / conversionRestricted Stock Units · Derivative 1,630 $0.00 $0.00
Disclosure

SEC source: 0001019056-18-000956 · ownership.xml · derivative · entry 3

Mitchell Shawnte · CIK 0001749432 · SVP, GC and Corporate Affairs

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,787

Underlying: Common Stock · 1,630 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 convert into shares of the Issuer's common stock on a one-for-one basis.

F2 · derivative.exercise_date: On August 10, 2015, the reporting person was granted 4,892 restricted stock units. 1,631 shares of common stock underlying the restricted stock units vested on each of August 9, 2016 and August 9, 2017, and 1,630 vested on August 9, 2018.

F2 · derivative.expiration_date: On August 10, 2015, the reporting person was granted 4,892 restricted stock units. 1,631 shares of common stock underlying the restricted stock units vested on each of August 9, 2016 and August 9, 2017, and 1,630 vested on August 9, 2018.

Read SEC document
August 09, 2018 Filed Aug 13, 2018 20:45 UTC
Mitchell ShawnteSVP, GC and Corporate Affairs
Tax withholdingCommon Stock 383 $4.50 $1,723.50
Disclosure

SEC source: 0001019056-18-000956 · ownership.xml · nonDerivative · entry 2

Mitchell Shawnte · CIK 0001749432 · SVP, GC and Corporate Affairs

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,752

Read SEC document
August 09, 2018 Filed Aug 13, 2018 20:45 UTC
Mitchell ShawnteSVP, GC and Corporate Affairs
Exercise / conversionCommon Stock 1,630 Not disclosed Not disclosed
Disclosure

SEC source: 0001019056-18-000956 · ownership.xml · nonDerivative · entry 1

Mitchell Shawnte · CIK 0001749432 · SVP, GC and Corporate Affairs

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 76,135

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 convert into shares of the Issuer's common stock on a one-for-one basis.

Read SEC document
June 01, 2018 Filed Jun 4, 2018 22:55 UTC GrantStock Option (right to buy) · Derivative 25,000 $0.00 Strike: $5.49 $0.00
Disclosure

SEC source: 0001019056-18-000788 · niederhuber_4.xml · derivative · entry 1

Niederhuber John · CIK 0001501240 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2028-05-31

F1 · derivative.exercise_date: The option vests in three equal annual installments beginning on May 31, 2019.

Read SEC document
June 01, 2018 Filed Jun 4, 2018 22:54 UTC GrantStock Option (right to buy) · Derivative 25,000 $0.00 Strike: $5.49 $0.00
Disclosure

SEC source: 0001019056-18-000786 · kunz_4.xml · derivative · entry 1

Kunz Barbara Lopez · CIK 0001679970 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2028-05-31

F1 · derivative.exercise_date: The option vests in three equal annual installments beginning on May 31, 2019.

Read SEC document
June 01, 2018 Filed Jun 4, 2018 22:52 UTC GrantStock Option (right to buy) · Derivative 25,000 $0.00 Strike: $5.49 $0.00
Disclosure

SEC source: 0001019056-18-000782 · grant_4.xml · derivative · entry 1

Grant Grady III · CIK 0001679966 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2028-05-31

F1 · derivative.exercise_date: The option vests in three equal annual installments beginning on May 31, 2019.

Read SEC document
June 01, 2018 Filed Jun 4, 2018 22:53 UTC GrantStock Option (right to buy) · Derivative 25,000 $0.00 Strike: $5.49 $0.00
Disclosure

SEC source: 0001019056-18-000784 · harsanyi_4.xml · derivative · entry 1

Harsanyi Zsolt · CIK 0001380184 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2028-05-31

F1 · derivative.exercise_date: The option vests in three equal annual installments beginning on May 31, 2019.

Read SEC document
June 01, 2018 Filed Jun 4, 2018 22:49 UTC
El-Hibri FuadDirector · 10% owner
GrantStock Option (right to buy) · Derivative 25,000 $0.00 Strike: $5.49 $0.00
Disclosure

SEC source: 0001019056-18-000780 · elhibri_4.xml · derivative · entry 1

El-Hibri Fuad · CIK 0001380185 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2028-05-31

F1 · derivative.exercise_date: The option vests in three equal annual installments beginning on May 31, 2019.

Read SEC document
June 01, 2018 Filed Jun 4, 2018 22:48 UTC GrantStock Option (right to buy) · Derivative 25,000 $0.00 Strike: $5.49 $0.00
Disclosure

SEC source: 0001019056-18-000778 · abdunnabi_4.xml · derivative · entry 1

Abdun-Nabi Daniel · CIK 0001380187 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2028-05-31

F1 · derivative.exercise_date: The option vests in three equal annual installments beginning on May 31, 2019.

Read SEC document
May 21, 2018 Filed May 23, 2018 20:08 UTC
White Marvin LDirector · President and CEO
Exercise / conversionRestricted Unit Stock · Derivative 35,644 $0.00 $0.00
Disclosure

SEC source: 0001019056-18-000739 · white_4.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 35,644 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: Each RSU converts into the Issuer's common stock on a one-for-one basis.

F2 · derivative.exercise_date: The RSUs were originally issued by Emergent BioSolutions, Inc. ("Emergent") on May 21, 2015. As a result of the spin-off of the Issuer from Emergent effective on August 1, 2016 (the "Spin-off"), each RSU was adjusted and assumed by the Issuer. The RSUs fully vested on May 21, 2018.

F2 · derivative.expiration_date: The RSUs were originally issued by Emergent BioSolutions, Inc. ("Emergent") on May 21, 2015. As a result of the spin-off of the Issuer from Emergent effective on August 1, 2016 (the "Spin-off"), each RSU was adjusted and assumed by the Issuer. The RSUs fully vested on May 21, 2018.

Read SEC document
May 21, 2018 Filed May 23, 2018 20:08 UTC
White Marvin LDirector · President and CEO
Tax withholdingCommon Stock 8,373 $5.61 $46,972.53
Disclosure

SEC source: 0001019056-18-000739 · white_4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 193,603

Read SEC document
May 21, 2018 Filed May 23, 2018 20:08 UTC
White Marvin LDirector · President and CEO
Exercise / conversionCommon Stock 35,644 Not disclosed Not disclosed
Disclosure

SEC source: 0001019056-18-000739 · white_4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 201,976

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: Each RSU converts into the Issuer's common stock on a one-for-one basis.

Read SEC document
March 19, 2018 Filed Mar 21, 2018 19:15 UTC Amendment
White Marvin LDirector · President and CEO
PurchaseCommon Stock 100,000 $2.93 $293,000.00
Disclosure

SEC source: 0001019056-18-000465 · white_4a.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 166,332

F1 · price: The purchase price of $2.93 is reflective of the weighted average purchase price. The prices for the transactions reported on this line range from $2.865 to $3.020, inclusive. Mr. White undertakes to provide, upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares purchased at each separate price.

F2 · price: This amendment is being filed to reflect the fact that the reported transaction was a purchase and not a sale of shares of the Issuer by Mr. White. Column 3 of Table I and footnote (1) of this Form 4 as originally filed incorrectly indicated that this transaction was a sale. Those references have been corrected on this amendment to the original Form 4 to reflect that the reported transaction was a purchase.

Read SEC document
March 19, 2018 Filed Mar 21, 2018 15:57 UTC
White Marvin LDirector · President and CEO
SaleCommon Stock 100,000 $2.93 $293,000.00
Disclosure

SEC source: 0001019056-18-000463 · white_4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 166,332

F1 · price: The selling price of $2.93 is reflective of the weighted average sale price. The prices for the transactions reported on this line range from $2.865 to $3.020, inclusive. Mr. White undertakes to provide, upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.

Read SEC document
March 10, 2018 Filed Mar 14, 2018 01:37 UTC
Lamothe Jeffrey G.SVP, CFO and Treasurer
Exercise / conversionRestricted Stock Unit · Derivative 6,747 $0.00 $0.00
Disclosure

SEC source: 0001019056-18-000435 · lamothe_4.xml · derivative · entry 4

Lamothe Jeffrey G. · CIK 0001679967 · SVP, CFO and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,318

Underlying: Common Stock · 6,747 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: Each RSU converts into the Issuer's common stock on a one-for-one basis.

F3 · derivative.exercise_date: The RSUs were originally issued by Emergent BioSolutions, Inc. ("Emergent") on March 10, 2015. As a result of the spin-off of the Issuer from Emergent effective on August 1, 2016, each RSU was adjusted and assumed by the Issuer. The RSUs fully vested as of March 10, 2018.

F3 · derivative.expiration_date: The RSUs were originally issued by Emergent BioSolutions, Inc. ("Emergent") on March 10, 2015. As a result of the spin-off of the Issuer from Emergent effective on August 1, 2016, each RSU was adjusted and assumed by the Issuer. The RSUs fully vested as of March 10, 2018.

Read SEC document
March 10, 2018 Filed Mar 14, 2018 01:37 UTC
Lamothe Jeffrey G.SVP, CFO and Treasurer
Tax withholdingCommon Stock 1,583 $3.13 $4,954.79
Disclosure

SEC source: 0001019056-18-000435 · lamothe_4.xml · nonDerivative · entry 2

Lamothe Jeffrey G. · CIK 0001679967 · SVP, CFO and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,876

Read SEC document
March 10, 2018 Filed Mar 14, 2018 01:37 UTC
Lamothe Jeffrey G.SVP, CFO and Treasurer
Exercise / conversionCommon Stock 6,747 Not disclosed Not disclosed
Disclosure

SEC source: 0001019056-18-000435 · lamothe_4.xml · nonDerivative · entry 1

Lamothe Jeffrey G. · CIK 0001679967 · SVP, CFO and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,459

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: Each RSU converts into the Issuer's common stock on a one-for-one basis.

Read SEC document
March 09, 2018 Filed Mar 14, 2018 01:36 UTC
Gross Jane ASee Remarks
Exercise / conversionRestricted Stock Unit · Derivative 9,728 $0.00 $0.00
Disclosure

SEC source: 0001019056-18-000433 · gross_4.xml · derivative · entry 4

Gross Jane A · CIK 0001684258 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,138

Underlying: Common Stock · 9,728 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: Each RSU converts into the Issuer's common stock on a one-for-one basis.

F3 · derivative.exercise_date: The RSUs were originally issued by Emergent BioSolutions, Inc. ("Emergent") on March 10, 2015. As a result of the spin-off of the Issuer from Emergent effective on August 1, 2016, each RSU was adjusted and assumed by the Issuer. The RSUs fully vested as of March 9, 2018.

F3 · derivative.expiration_date: The RSUs were originally issued by Emergent BioSolutions, Inc. ("Emergent") on March 10, 2015. As a result of the spin-off of the Issuer from Emergent effective on August 1, 2016, each RSU was adjusted and assumed by the Issuer. The RSUs fully vested as of March 9, 2018.

Read SEC document
March 09, 2018 Filed Mar 14, 2018 01:36 UTC
Gross Jane ASee Remarks
GrantEmployee Stock Options (Right to Buy) · Derivative 67,400 $0.00 Strike: $3.13 $0.00
Disclosure

SEC source: 0001019056-18-000433 · gross_4.xml · derivative · entry 3

Gross Jane A · CIK 0001684258 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,400

Underlying: Common Stock · 67,400 shares

Expires 2028-03-09

F2 · derivative.exercise_date: On March 9, 2018, the reporting person was granted 67,400 stock options vesting in three equal annual installments beginning on the first anniversary of the grant date.

Read SEC document
March 09, 2018 Filed Mar 14, 2018 01:36 UTC
Gross Jane ASee Remarks
Tax withholdingCommon Stock 2,282 $3.13 $7,142.66
Disclosure

SEC source: 0001019056-18-000433 · gross_4.xml · nonDerivative · entry 2

Gross Jane A · CIK 0001684258 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 103,155

Read SEC document
March 09, 2018 Filed Mar 14, 2018 01:36 UTC
Gross Jane ASee Remarks
Exercise / conversionCommon Stock 9,728 Not disclosed Not disclosed
Disclosure

SEC source: 0001019056-18-000433 · gross_4.xml · nonDerivative · entry 1

Gross Jane A · CIK 0001684258 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 105,437

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: Each RSU converts into the Issuer's common stock on a one-for-one basis.

Read SEC document
March 09, 2018 Filed Mar 13, 2018 21:39 UTC
Maddux Randy JoeSenior VP, Operations
GrantEmployee Stock Options (Right to Buy) · Derivative 67,400 $0.00 Strike: $3.13 $0.00
Disclosure

SEC source: 0001019056-18-000437 · maddux_4.xml · derivative · entry 1

Maddux Randy Joe · CIK 0001683826 · Senior VP, Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,400

Underlying: Common Stock · 67,400 shares

Expires 2028-03-09

F1 · derivative.exercise_date: On March 9, 2018, the reporting person was granted 67,400 stock options vesting in three equal annual installments beginning on the first anniversary of the grant date.

Read SEC document
March 09, 2018 Filed Mar 14, 2018 01:41 UTC
White Marvin LDirector · President and CEO
GrantEmployee Stock Options (Right to Buy) · Derivative 151,600 $0.00 Strike: $3.13 $0.00
Disclosure

SEC source: 0001019056-18-000441 · white_4.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 151,600

Underlying: Common Stock · 151,600 shares

Expires 2028-03-09

F1 · derivative.exercise_date: On March 9, 2018, the reporting person was granted 151,600 stock options vesting in three equal annual installments beginning on the first anniversary of the grant date.

Read SEC document
March 09, 2018 Filed Mar 14, 2018 01:40 UTC
Stromatt Scott CChief Medical Officer and SVP
Exercise / conversionRestricted Stock Unit · Derivative 13,892 $0.00 $0.00
Disclosure

SEC source: 0001019056-18-000439 · stromatt_4.xml · derivative · entry 3

Stromatt Scott C · CIK 0001679975 · Chief Medical Officer and SVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,269

Underlying: Common Stock · 13,892 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: Each RSU converts into the Issuer's common stock on a one-for-one basis.

F3 · derivative.exercise_date: The RSUs were originally issued by Emergent BioSolutions, Inc. ("Emergent") on March 10, 2015. As a result of the spin-off of the Issuer from Emergent effective on August 1, 2016, each RSU was adjusted and assumed by the Issuer. The RSUs fully vested as of March 9, 2018.

F3 · derivative.expiration_date: The RSUs were originally issued by Emergent BioSolutions, Inc. ("Emergent") on March 10, 2015. As a result of the spin-off of the Issuer from Emergent effective on August 1, 2016, each RSU was adjusted and assumed by the Issuer. The RSUs fully vested as of March 9, 2018.

Read SEC document
March 09, 2018 Filed Mar 14, 2018 01:40 UTC
Stromatt Scott CChief Medical Officer and SVP
GrantEmployee Stock Options (Right to Buy) · Derivative 67,400 $0.00 Strike: $3.13 $0.00
Disclosure

SEC source: 0001019056-18-000439 · stromatt_4.xml · derivative · entry 2

Stromatt Scott C · CIK 0001679975 · Chief Medical Officer and SVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,400

Underlying: Common Stock · 67,400 shares

Expires 2028-03-09

F2 · derivative.exercise_date: On March 9, 2018, the reporting person was granted 67,400 stock options vesting in three equal annual installments beginning on the first anniversary of the grant date.

Read SEC document
March 09, 2018 Filed Mar 14, 2018 01:40 UTC
Stromatt Scott CChief Medical Officer and SVP
Exercise / conversionCommon Stock 13,892 Not disclosed Not disclosed
Disclosure

SEC source: 0001019056-18-000439 · stromatt_4.xml · nonDerivative · entry 1

Stromatt Scott C · CIK 0001679975 · Chief Medical Officer and SVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 204,737

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: Each RSU converts into the Issuer's common stock on a one-for-one basis.

Read SEC document
March 09, 2018 Filed Mar 14, 2018 01:37 UTC
Lamothe Jeffrey G.SVP, CFO and Treasurer
GrantEmployee Stock Options (Right to Buy) · Derivative 67,400 $0.00 Strike: $3.13 $0.00
Disclosure

SEC source: 0001019056-18-000435 · lamothe_4.xml · derivative · entry 3

Lamothe Jeffrey G. · CIK 0001679967 · SVP, CFO and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,400

Underlying: Common Stock · 67,400 shares

Expires 2028-03-09

F2 · derivative.exercise_date: On March 9, 2018, the reporting person was granted 67,400 stock options vesting in three equal annual installments beginning on the first anniversary of the grant date.

Read SEC document
March 01, 2018 Filed Mar 6, 2018 00:37 UTC
Gross Jane ASee Remarks
Exercise / conversionRestricted Stock Unit · Derivative 9,140 $0.00 $0.00
Disclosure

SEC source: 0001019056-18-000417 · gross_4.xml · derivative · entry 2

Gross Jane A · CIK 0001684258 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,866

Underlying: Common Stock · 9,140 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: Each RSU converts into the Issuer's common stock on a one-for-one basis.

F2 · derivative.exercise_date: The RSUs were originally issued by Emergent BioSolutions, Inc. ("Emergent") on March 1, 2016. As a result of the spin-off of the Issuer from Emergent effective on August 1, 2016 (the "Spin-off"), each RSU was adjusted and assumed by the Issuer. The RSUs vest as follows: 9,140 on March 1, 2017, 9,140 on March 1, 2018 and 9,138 on March 1, 2019.

F2 · derivative.expiration_date: The RSUs were originally issued by Emergent BioSolutions, Inc. ("Emergent") on March 1, 2016. As a result of the spin-off of the Issuer from Emergent effective on August 1, 2016 (the "Spin-off"), each RSU was adjusted and assumed by the Issuer. The RSUs vest as follows: 9,140 on March 1, 2017, 9,140 on March 1, 2018 and 9,138 on March 1, 2019.

Read SEC document
March 01, 2018 Filed Mar 6, 2018 00:37 UTC
Gross Jane ASee Remarks
Exercise / conversionCommon Stock 9,140 Not disclosed Not disclosed
Disclosure

SEC source: 0001019056-18-000417 · gross_4.xml · nonDerivative · entry 1

Gross Jane A · CIK 0001684258 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,709

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: Each RSU converts into the Issuer's common stock on a one-for-one basis.

Read SEC document
March 01, 2018 Filed Mar 6, 2018 00:38 UTC
Lamothe Jeffrey G.SVP, CFO and Treasurer
Exercise / conversionRestricted Stock Unit · Derivative 7,320 $0.00 $0.00
Disclosure

SEC source: 0001019056-18-000418 · lamothe_4.xml · derivative · entry 3

Lamothe Jeffrey G. · CIK 0001679967 · SVP, CFO and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,065

Underlying: Common Stock · 7,320 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: Each RSU converts into the Issuer's common stock on a one-for-one basis.

F2 · derivative.exercise_date: The RSUs were originally issued by Emergent BioSolutions, Inc. ("Emergent") on March 1, 2016. As a result of the spin-off of the Issuer from Emergent effective on August 1, 2016 (the "Spin-off"), each RSU was adjusted and assumed by the Issuer. The RSUs vest as follows: 7,320 on March 1, 2017, 7,320 on March 1, 2018 and 7,318 on March 1, 2019.

F2 · derivative.expiration_date: The RSUs were originally issued by Emergent BioSolutions, Inc. ("Emergent") on March 1, 2016. As a result of the spin-off of the Issuer from Emergent effective on August 1, 2016 (the "Spin-off"), each RSU was adjusted and assumed by the Issuer. The RSUs vest as follows: 7,320 on March 1, 2017, 7,320 on March 1, 2018 and 7,318 on March 1, 2019.

Read SEC document
March 01, 2018 Filed Mar 6, 2018 00:38 UTC
Lamothe Jeffrey G.SVP, CFO and Treasurer
Tax withholdingCommon Stock 1,717 $3.04 $5,219.68
Disclosure

SEC source: 0001019056-18-000418 · lamothe_4.xml · nonDerivative · entry 2

Lamothe Jeffrey G. · CIK 0001679967 · SVP, CFO and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,712

Read SEC document
March 01, 2018 Filed Mar 6, 2018 00:38 UTC
Lamothe Jeffrey G.SVP, CFO and Treasurer
Exercise / conversionCommon Stock 7,320 Not disclosed Not disclosed
Disclosure

SEC source: 0001019056-18-000418 · lamothe_4.xml · nonDerivative · entry 1

Lamothe Jeffrey G. · CIK 0001679967 · SVP, CFO and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,429

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: Each RSU converts into the Issuer's common stock on a one-for-one basis.

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March 01, 2018 Filed Mar 6, 2018 00:36 UTC
Stromatt Scott CChief Medical Officer and SVP
Exercise / conversionRestricted Stock Unit · Derivative 16,269 $0.00 $0.00
Disclosure

SEC source: 0001019056-18-000416 · stromatt_4.xml · derivative · entry 2

Stromatt Scott C · CIK 0001679975 · Chief Medical Officer and SVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,161

Underlying: Common Stock · 16,269 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: Each RSU converts into the Issuer's common stock on a one-for-one basis.

F2 · derivative.exercise_date: The RSUs were originally issued by Emergent BioSolutions, Inc. ("Emergent") on March 1, 2016. As a result of the spin-off of the Issuer from Emergent effective on August 1, 2016 (the "Spin-off"), each RSU was adjusted and assumed by the Issuer. The RSUs vest in three equal annual installments on the anniversary of the grant date.

F2 · derivative.expiration_date: The RSUs were originally issued by Emergent BioSolutions, Inc. ("Emergent") on March 1, 2016. As a result of the spin-off of the Issuer from Emergent effective on August 1, 2016 (the "Spin-off"), each RSU was adjusted and assumed by the Issuer. The RSUs vest in three equal annual installments on the anniversary of the grant date.

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March 01, 2018 Filed Mar 6, 2018 00:36 UTC
Stromatt Scott CChief Medical Officer and SVP
Exercise / conversionCommon Stock 16,269 Not disclosed Not disclosed
Disclosure

SEC source: 0001019056-18-000416 · stromatt_4.xml · nonDerivative · entry 1

Stromatt Scott C · CIK 0001679975 · Chief Medical Officer and SVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 190,845

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: Each RSU converts into the Issuer's common stock on a one-for-one basis.

Read SEC document
February 03, 2018 Filed Feb 7, 2018 00:22 UTC
Gross Jane ASee Remarks
Exercise / conversionRestricted Stock Unit · Derivative 18,136 $0.00 $0.00
Disclosure

SEC source: 0001019056-18-000289 · gross_4.xml · derivative · entry 2

Gross Jane A · CIK 0001684258 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,006

Underlying: Common Stock · 18,136 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: Each RSU converts into the Issuer's common stock on a one-for-one basis.

F2 · derivative.exercise_date: On August 3, 2016, the reporting person was granted 36,271 RSUs, vesting in two equal installments on February 3, 2017 and February 3, 2018.

F2 · derivative.expiration_date: On August 3, 2016, the reporting person was granted 36,271 RSUs, vesting in two equal installments on February 3, 2017 and February 3, 2018.

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February 03, 2018 Filed Feb 7, 2018 00:22 UTC
Gross Jane ASee Remarks
Exercise / conversionCommon Stock 18,136 Not disclosed Not disclosed
Disclosure

SEC source: 0001019056-18-000289 · gross_4.xml · nonDerivative · entry 1

Gross Jane A · CIK 0001684258 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,569

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: Each RSU converts into the Issuer's common stock on a one-for-one basis.

Read SEC document
February 03, 2018 Filed Feb 7, 2018 00:23 UTC
Stromatt Scott CChief Medical Officer and SVP
Exercise / conversionRestricted Stock Unit · Derivative 27,381 $0.00 $0.00
Disclosure

SEC source: 0001019056-18-000291 · stromatt_4.xml · derivative · entry 2

Stromatt Scott C · CIK 0001679975 · Chief Medical Officer and SVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,430

Underlying: Common Stock · 27,381 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: Each RSU converts into the Issuer's common stock on a one-for-one basis.

F2 · derivative.exercise_date: On August 3, 2016, the reporting person was granted 54,762 RSUs, vesting in two equal installments on February 3, 2017 and February 3, 2018.

F2 · derivative.expiration_date: On August 3, 2016, the reporting person was granted 54,762 RSUs, vesting in two equal installments on February 3, 2017 and February 3, 2018.

Read SEC document
February 03, 2018 Filed Feb 7, 2018 00:23 UTC
Stromatt Scott CChief Medical Officer and SVP
Exercise / conversionCommon Stock 27,381 Not disclosed Not disclosed
Disclosure

SEC source: 0001019056-18-000291 · stromatt_4.xml · nonDerivative · entry 1

Stromatt Scott C · CIK 0001679975 · Chief Medical Officer and SVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 174,576

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: Each RSU converts into the Issuer's common stock on a one-for-one basis.

Read SEC document
February 03, 2018 Filed Feb 7, 2018 00:21 UTC
Lamothe Jeffrey G.SVP, CFO and Treasurer
Exercise / conversionRestricted Stock Unit · Derivative 25,340 $0.00 $0.00
Disclosure

SEC source: 0001019056-18-000287 · lamothe_4.xml · derivative · entry 3

Lamothe Jeffrey G. · CIK 0001679967 · SVP, CFO and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,385

Underlying: Common Stock · 25,340 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: Each RSU converts into the Issuer's common stock on a one-for-one basis.

F2 · derivative.exercise_date: On August 3, 2016, the reporting person was granted 50,680 RSUs, vesting in two equal installments on February 3, 2017 and February 3, 2018.

F2 · derivative.expiration_date: On August 3, 2016, the reporting person was granted 50,680 RSUs, vesting in two equal installments on February 3, 2017 and February 3, 2018.

Read SEC document
February 03, 2018 Filed Feb 7, 2018 00:21 UTC
Lamothe Jeffrey G.SVP, CFO and Treasurer
Tax withholdingCommon Stock 7,514 $3.24 $24,345.36
Disclosure

SEC source: 0001019056-18-000287 · lamothe_4.xml · nonDerivative · entry 2

Lamothe Jeffrey G. · CIK 0001679967 · SVP, CFO and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,109

Read SEC document
February 03, 2018 Filed Feb 7, 2018 00:21 UTC
Lamothe Jeffrey G.SVP, CFO and Treasurer
Exercise / conversionCommon Stock 25,340 Not disclosed Not disclosed
Disclosure

SEC source: 0001019056-18-000287 · lamothe_4.xml · nonDerivative · entry 1

Lamothe Jeffrey G. · CIK 0001679967 · SVP, CFO and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,623

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: Each RSU converts into the Issuer's common stock on a one-for-one basis.

Read SEC document
November 15, 2017 Filed Dec 8, 2017 18:06 UTC
Maddux Randy JoeSenior VP, Operations
PurchaseCommon Stock 25,000 $2.76 $69,000.00
Disclosure

SEC source: 0001019056-17-000796 · maddux_4.xml · nonDerivative · entry 1

Maddux Randy Joe · CIK 0001683826 · Senior VP, Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Read SEC document
August 01, 2017 Filed Aug 3, 2017 19:59 UTC
Gross Jane ASee Remarks
Exercise / conversionRestricted Stock Unit · Derivative 38,093 $0.00 $0.00
Disclosure

SEC source: 0001019056-17-000648 · gross_4.xml · derivative · entry 3

Gross Jane A · CIK 0001684258 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,142

Underlying: Common Stock · 38,093 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: Each RSU converts into the Issuer's common stock on a one-for-one basis.

F2 · derivative.exercise_date: The RSUs were originally issued on August 3, 2016 and fully vested on August 1, 2017.

F2 · derivative.expiration_date: The RSUs were originally issued on August 3, 2016 and fully vested on August 1, 2017.

Read SEC document
August 01, 2017 Filed Aug 3, 2017 19:59 UTC
Gross Jane ASee Remarks
Tax withholdingCommon Stock 10,076 $1.83 $18,439.08
Disclosure

SEC source: 0001019056-17-000648 · gross_4.xml · nonDerivative · entry 2

Gross Jane A · CIK 0001684258 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,433

Read SEC document
August 01, 2017 Filed Aug 3, 2017 19:59 UTC
Gross Jane ASee Remarks
Exercise / conversionCommon Stock 38,093 Not disclosed Not disclosed
Disclosure

SEC source: 0001019056-17-000648 · gross_4.xml · nonDerivative · entry 1

Gross Jane A · CIK 0001684258 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 78,509

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: Each RSU converts into the Issuer's common stock on a one-for-one basis.

Read SEC document
August 01, 2017 Filed Aug 3, 2017 20:00 UTC
Stromatt Scott CChief Medical Officer and SVP
Exercise / conversionRestricted Stock Unit · Derivative 78,123 $0.00 $0.00
Disclosure

SEC source: 0001019056-17-000649 · stromatt_4.xml · derivative · entry 2

Stromatt Scott C · CIK 0001679975 · Chief Medical Officer and SVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,811

Underlying: Common Stock · 78,123 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: Each RSU converts into the Issuer's common stock on a one-for-one basis.

F2 · derivative.exercise_date: The RSUs were issued on August 3, 2016 and fully vested on August 1, 2017.

F2 · derivative.expiration_date: The RSUs were issued on August 3, 2016 and fully vested on August 1, 2017.

Read SEC document
August 01, 2017 Filed Aug 3, 2017 20:00 UTC
Stromatt Scott CChief Medical Officer and SVP
Exercise / conversionCommon Stock 78,123 Not disclosed Not disclosed
Disclosure

SEC source: 0001019056-17-000649 · stromatt_4.xml · nonDerivative · entry 1

Stromatt Scott C · CIK 0001679975 · Chief Medical Officer and SVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 147,195

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: Each RSU converts into the Issuer's common stock on a one-for-one basis.

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.